Conference of the Parties to the WHO Framework Convention on Tobacco Control Fourth session Punta del Este, Uruguay, 15–20 November 2010 Provisional agenda item 7.1
FCTC/COP/4/19 15 September 2010
Performance report for the 2008–2009 workplan and budget Report of the Convention Secretariat
1. This performance report covers activities undertaken to implement the workplan and budget for the period 2008–2009 adopted by the Conference of the Parties at its second session (Bangkok, Thailand, 30 June – 6 July 2007) and follows the structure of that document.1 It also includes a section that reports on other activities envisaged in the 2010–2011 workplan, but that started in late 2009. This advance work was undertaken to enable the deadlines established by the Conference of the Parties to be met. 2. The work was carried out according to the five major areas identified in the workplan: (1) sessions of the Conference of the Parties; (2) reporting system under the Convention and support to Parties in fulfilling this obligation; (3) reports of the Convention Secretariat; (4) coordination with other relevant bodies and administrative arrangements; and (5) elaboration of guidelines and protocol and other activities. 3. Overall, 14 out of the 17 targets identified in the workplan – concerning sessions of the Conference of the Parties, reporting arrangements under the Convention, reports of the Secretariat, the work of subsidiary bodies for elaboration of a protocol and guidelines, and intercountry workshops on treaty specific matters – were fully met. Three targets, related to assistance to Parties in implementation and reporting, and international cooperation, were partially met, owing to the request made by the Conference of the Parties at its third session (Durban, South Africa, 17–22 November 2008) to prioritize the increased volume of work of subsidiary bodies, particularly the Intergovernmental Negotiating Body on a Protocol on Illicit Trade in Tobacco Products, not initially envisaged in the workplan. More detailed information on implementation is provided below.
1
See decision FCTC/COP2(11).
FCTC/COP/4/19
Sessions of the Conference of the Parties 4. The Convention Secretariat organized the activities requested by the Conference of the Parties at its second session, which included editing, translating, printing and disseminating relevant documents, including the summary records of committee meetings. 5. The Convention Secretariat organized the third session of the Conference of the Parties in cooperation with the Government of South Africa. The work included selecting the venue and meeting facilities, organizing conference services, preparing documentation, providing travel support to participants from low- and lower-middle-income countries, supporting the Bureau and President of the Conference of the Parties in convening the session, providing information to Parties on request, and supporting the committees, regional groups and ad hoc groups that met during the session. The Secretariat also carried out the necessary follow-up activities once the session had closed, such as the immediate tasks stemming from decisions taken by the Conference of the Parties and the production of decisions and official records. 6. The work also included preparing for the fourth session of the Conference of the Parties, including coordination with the authorities of Uruguay, the host country, concluding the agreement for hosting the session, preparing a list of meeting requirements and facilities, and planning document production. Following the proposals of the Convention Secretariat, the Bureau of the Conference of the Parties approved the dates and venue of the fourth session in the summer of 2009.
Reporting system under the Convention and support to Parties in fulfilling this obligation 7. Work in this area included: collection and analysis of the initial (two-year) implementation reports by Parties; revision of the first phase of the reporting instrument and preparation of its second phase; support to Parties in preparing and submitting their implementation reports, and preparation of annual summary reports on progress being made internationally in implementation of the Convention. 8. The Convention Secretariat prepared a revised format for the Group 1 questions, as requested, which was approved by the Bureau of the Conference of the Parties for provisional use and later formally adopted by the Conference of the Parties at its third session. The Secretariat also prepared a proposal for Group 2 questions, with the guidance of the Bureau and in cooperation with WHO staff and other international experts, which the Conference of the Parties adopted at its third session, with some amendments proposed during the session. Finally, the Secretariat prepared step-by-step instructions for the use of the reporting instrument by Parties, which is available on the FCTC web site.1 The web-based database containing the Parties’ reports was redesigned and published, with a more systematic and user-friendly format. 9. Regular contact has been maintained with Parties to assist them in fulfilling their reporting obligations, including answering their requests for clarification and assistance in the use of the reporting instrument, and providing them with data sources and links to national monitoring mechanisms. Assistance was also provided during individual meetings, on request. Reporting arrangements under the Convention were one of the main topics of discussion during the six regional and subregional workshops held in 2008–2009 in cooperation with WHO regional offices and with the participation of nearly 70 Parties. The number of Parties that received assistance from the Convention 1
http://www.who.int/fctc/.
2
FCTC/COP/4/19
Secretariat in this area in one form or another is well above the figure (25) targeted in the workplan. However, funding constraints (resulting from delays in the payment of voluntary assessed contributions by Parties, and the prioritization of the work of the Intergovernmental Negotiating Body and working groups as requested by the Conference of the Parties at its third session) prevented missions to individual countries from being undertaken and the convening of country-specific workshops. These would have enabled more in-depth assistance to be provided to the Parties, which would have been particularly useful for those Parties that submitted their reports with substantial delays or that have not yet reported despite the deadlines. 10. The 2008 summary report on progress being made internationally in implementation of the Convention, based on the reports of 81 Parties that had submitted their reports by 15 July 2008, was prepared and submitted to the third session of the Conference of the Parties (document FCTC/COP/3/14). The 2009 annual progress report included 117 Party reports received by 15 July 2009; it was prepared in the second half of 2009 and made available to Parties, after consultation with the Bureau of the Conference of the Parties, in January 2010. By 31 December 2009, the Convention Secretariat had received 128 Party reports out of 151 that were due for submission by that date. In accordance with the Annex to decision FCTC/COP1(14), all Party reports were made available on the WHO FCTC web site.
Reports of the Convention Secretariat 11. Work in this area included preparation and submission of the report of the Convention Secretariat on its activities between the second and third sessions of the Conference of the Parties, and the reports of the working groups and the study group established by the Conference of the Parties. 12. The Convention Secretariat report on progress made since the second session of the Conference of the Parties (document FCTC/COP/3/3) was prepared and submitted 60 days before the third session of the Conference of the Parties, as required. The report covered: the status of the Convention; activities for implementation of the decisions of the second session of the Conference of the Parties; arrangements related to other articles of the Convention and decisions of the Conference of the Parties; coordination with intergovernmental and other organizations; and preparations for the third session of the Conference of the Parties. 13. The reports of working groups on the elaboration of draft guidelines for the implementation of Article 5.3, Article 11 and Article 13, and information on progress made with regard to guidelines on Articles 9 and 10 and Article 12 were prepared and submitted to the third session of the Conference of the Parties on time. Parties were invited to make comments on the draft guidelines and progress reports six months before the third session of the Conference of the Parties, as stated in decisions FCTC/COP2(8) and FCTC/COP2(14). The report of the study group on economically sustainable alternatives to tobacco growing, that was produced following the second meeting of the group, was also prepared and submitted to the Conference of the Parties on time. In 2009 the Convention Secretariat also published and disseminated the four guidelines adopted by the Conference of the Parties at its second and third sessions, to promote their use by Parties in implementing the Convention.
Coordination with other relevant bodies and administrative arrangements 14. The work in this area included establishing and extending cooperation with relevant international partners, support to Parties in assessing their needs and resources for implementation, and support for the work of the Bureau of the Conference of the Parties.
3
FCTC/COP/4/19
15. The Convention Secretariat carried out substantial work to promote international coordination and outreach with regard to the implementation of the Convention. This included convening meetings with the permanent missions of the Parties in Geneva, with senior officials in governments and intergovernmental and regional economic integration organizations, and with representatives of civil society, as well as giving presentations at major professional forums. The Convention Secretariat also invited international intergovernmental and nongovernmental organizations with relevant expertise to participate in the working groups established by the Conference of the Parties. 16. Cooperation and partnerships were discussed and initiated with several international organizations and bodies, particularly in relation to preparations for the third session of the Conference of the Parties and the work of the Intergovernmental Negotiating Body, the intergovernmental working groups preparing guidelines and the study group on economically sustainable alternatives to tobacco growing. The organizations and bodies included, among others: the Secretariat of the United Nations Social and Economic Council; the United Nations Ad Hoc Inter-Agency Task Force on Tobacco Control; the United Nations Treaty Section; the United Nations Office on Drugs and Crime; the World Customs Organization; and the International Agency for Research on Cancer. A meeting with nongovernmental organizations accredited as observers to the Conference of the Parties was held in January 2009; a follow-up meeting was held in July 2009 with those attending the third session of the Intergovernmental Negotiating Body. The Convention Secretariat also began to produce a quarterly newsletter, and expanded and redesigned its web site, in order to promote broader awareness of the treaty, and the progress and international cooperation in its implementation. 17. The external partnerships work, however, needs substantial strengthening, particularly in order to increase awareness and outreach, international cooperation, and resource mobilization for implementation of the Convention. Broader involvement of United Nations bodies and agencies, and the engagement of international organizations, particularly those with observer status to the Conference of the Parties, would be of a particular importance. 18. Strengthening cooperation with WHO’s Tobacco Free Initiative (TFI) and other relevant WHO departments and offices was another important component of the work undertaken in 2008–2009. Regular meetings with TFI included, inter alia, review and promotion of work and synergies in areas such as reporting and surveillance arrangements, TFI’s progress in preparing reports as requested by the Conference of the Parties, needs assessment and country work, workplan alignment, etc. Two broader coordination meetings were held in January 2009 in Geneva, and in November 2009 in Tunisia, at which representatives of WHO regional offices and invited national experts also participated. The Convention Secretariat provided support to regional offices, as requested, in reflecting treaty provisions and the decisions of the Conference of the Parties in their biennial workplans. 19. Work in this area also included meeting with WHO regional directors and senior staff, as well as with more than 30 heads of WHO country offices, during country visits and in Geneva. The issues jointly reviewed and discussed included: support to governments in promoting the treaty angle of tobacco control when mobilizing intersectoral action; utilizing the potential of the United Nations interagency coordination mechanism at country level, particularly from the perspective of the development agenda and supporting countries in meeting their international obligations; and addressing country-specific challenges such as meeting obligations under time-bound articles of the Convention, resources for implementation, etc. Joint coordination efforts with WHO departments and offices continued in 2010 and will be presented in the 2010–2011 interim performance report submitted to the Conference of the Parties.
4
FCTC/COP/4/19
20. The Convention Secretariat provided support to the Bureau of the Conference of the Parties by preparing and organizing six face-to-face meetings in the intersessional period, following up on the Bureau’s decisions as necessary, and convening telephone conferences and in-session meetings of the Bureau on request. The Bureau took decisions on upcoming sessions of the Conference of the Parties and the Intergovernmental Negotiating Body, the preparation of guidelines by the working groups, the revised reporting instrument for provisional use, and other issues related to the work of the Conference of the Parties. The Bureau reviewed and provided guidance to the Convention Secretariat on a number of issues, such as implementation of the workplan and budget, reports requested by the Conference of the Parties, outreach and visibility of the Convention, and the review of the observer status of nongovernmental organizations. The Convention Secretariat also provided support to the work of the Bureau of the Intergovernmental Negotiating Body, particularly through the organization of two faceto-face meetings in the intersessional period, e-mail communication and teleconferences, as well as in-session meetings on request. 21. Support to Parties through treaty-specific tools and mechanisms remained underfunded during the biennium, owing to the increased needs of subsidiary bodies established by the Conference of the Parties and the request of the Conference of the Parties to prioritize the work of these bodies. Work was undertaken to update the database on internationally available resources and the organization of regional and subregional workshops in cooperation with WHO regional offices. Assistance to countries in undertaking needs assessments, as projected in this section of the workplan, started in the second half of 2009. Four pilot needs assessments were convened in consultation with the Bureau and jointly with the governments involved (Bangladesh, Jordan, Lesotho and Papua New Guinea) and with the participation of TFI and WHO country offices. This work, as a key tool in treaty implementation, is projected to expand substantially in the current biennial workplan; the pilot needs assessments established the platform necessary to achieve this work successfully. Work also started in 2009 to promote the transfer of expertise and technologies in line with Article 22 of the Convention. The work is also projected to expand in the current biennium.
Elaboration of guidelines and protocols, and other activities 22. This area includes support for the work of the Intergovernmental Negotiating Body, the working groups and the study group established by the Conference of the Parties. It also includes technical assistance to Parties on treaty-specific issues. 23. The Convention Secretariat provided all necessary assistance for the organization of meetings of the five working groups established by the Conference of the Parties for the preparation of implementation guidelines. All the working groups convened their meetings as planned; three (on Article 5.3, Article 11 and Article 13) produced draft guidelines later adopted by the Conference of the Parties at its third session; two (on Articles 9 and 10 and Article 12) produced progress reports. The Conference of the Parties noted these reports at its third session, requesting that the work continue with a view to the working groups submitting draft guidelines at the subsequent session of the Conference of the Parties. The composition of the working groups and the outcomes of their meetings were described in document FCTC/COP/3/3 submitted to the Conference of the Parties at its third session. 24. The second meeting of the study group on economically sustainable alternatives to tobacco growing was convened in June 2008. The report of the study group was presented to the Conference of the Parties at its third session (document FCTC/COP/3/11). The Conference of the Parties extended the scope of work in this area by establishing a working group on economically sustainable alternatives to tobacco growing.
5
FCTC/COP/4/19
25. The Intergovernmental Negotiating Body held the three sessions as envisaged by the 2008–2009 workplan (with the dates and venues established by the Bureau of the Conference of the Parties: 11–16 February 2008; 20–25 October 2008 and 28 June – 5 July 2009). The sessions were attended by more than 130 Parties to the Convention. Several States non-Parties and intergovernmental and nongovernmental organizations also attended as observers. The progress report of the Intergovernmental Negotiating Body to the third session of the Conference of the Parties was contained in document FCTC/COP/3/4. The Conference of the Parties requested the Intergovernmental Negotiating Body to continue its work, with a view to presenting a draft protocol for the consideration of the Conference of the Parties at its fourth session in 2010. The Intergovernmental Negotiating Body convened its fourth session on 14–21 March 2010, transmitting a draft protocol to the Conference of the Parties. 26. The Convention Secretariat ensured the necessary organizational, technical and budgetary arrangements for the sessions of the Intergovernmental Negotiating Body. An in-kind contribution by direct payment of conference services, travel and accommodation costs in the amount of €836 386 was provided by the European Commission, to support the convening of the third session of the Intergovernmental Negotiating Body. The Convention Secretariat also organized additional intersessional work (expert reviews, country assessment missions, regional consultations and the work of drafting groups) not previously budgeted in the 2008–2009 workplan but which the Conference of the Parties at its third session and later the Intergovernmental Negotiating Body requested be undertaken as a priority. This required shifting resources from other parts of the 2008–2009 workplan, particularly from the area of implementation and reporting assistance to Parties. 27. The Convention Secretariat ensured the provision of treaty-specific information and assistance to countries on request. In addition, six regional/subregional workshops were organized in cooperation with WHO regional offices (Kingston, Jamaica, 12–15 August 2008; Manila, Philippines, 20–22 August 2008; Lima, Peru, 9–12 September 2008; Geneva, Switzerland, 16–18 October 2008; Kiev, Ukraine, 7–8 December 2008; and Cairo, Egypt, 3–5 November 2009). The aim of the workshops was to provide information and assistance concerning treaty instruments, reporting arrangements, treaty-specific measures with deadlines, and areas of work prioritized by the regions, such as issues related to Article 5.3, Article 11 and Article 13 of the Convention. More than 60 Parties in total participated in the workshops, which in most cases also included bilateral reviews of countryspecific issues and challenges in implementing the Convention. The workshops in the meantime revealed that there is much need for individual assistance to countries in treaty implementation, for which the Convention Secretariat had limited capacity owing to lack of funds and the priority given to supporting the extra work of subsidiary bodies at the request of the Conference of the Parties.
Other activities (early commencement of part of the 2010–2011 workplan) 28. Two elements of the 2010–2011 workplan, concerning the work of the Intergovernmental Negotiating Body and the working groups established by the Conference of the Parties, started in late 2009 to enable the adhesion to timeline established by the Conference of the Parties. 29. The Intergovernmental Negotiating Body requested at its third session that two drafting groups prepare draft text for several articles of the negotiating text before its fourth session. The Convention Secretariat was also requested to prepare a report outlining possible options for the institutional and financial arrangements covered by Parts VI and VII of the negotiating text, in the same period. The Convention Secretariat organized this work between September and December 2009, as requested, releasing the reports of the drafting groups and the report of the Secretariat on time.
6
FCTC/COP/4/19
30. The first meetings of the working groups mandated by the Conference of the Parties were also organized before the start of the new biennium to allow for further work and the finalization of draft guidelines and reports by May 2010, as requested by the Conference of the Parties. Meetings of the working groups on the various articles of the Convention took place as follows: Article 14 (Seoul, Republic of Korea, 2–4 September 2009); Articles 17 and 18 (New Delhi, India, 16–18 September 2009); Articles 9 and 10 (Amman, Jordan, 20–22 October 2009); and Article 12 (Istanbul, Turkey, 18–20 November 2009). The work of all four working groups continued in early 2010, with the submission of draft guidelines and reports for comments by Parties as planned.
Lessons learnt and observations 31. The continued increase in the number of Parties (168 at the end of the biennium compared with 151 at the end of 2007 and 87 at the end of 2005) demonstrates the importance that countries attach to the Convention. 32. The shift of the sessions of the Conference of the Parties from an annual to a biennial cycle, starting from the third session, increased the volume of intersessional work and revealed the need for a more systematic approach to its organization. 33. The expectations placed on treaty implementation instruments, in the form of a protocol and guidelines, remained high during the biennium. Feedback from Parties demonstrated the need for broader dissemination and assistance in implementation of the adopted guidelines. The process of elaborating guidelines has also demonstrated the importance of wider regional and sectoral representation in working groups to ensure the best possible technical and geographical balance. 34. The work undertaken over the biennium demonstrated the multisectoral dimension of the Convention and the growing involvement of different government sectors in its implementation. It also confirmed the role that the Convention, and the mechanisms and bodies established under it, can play in stimulating intersectoral interest and coordination. The potential of the multisectoral dimension and impact of the treaty should therefore be explored and utilized further. 35. Work to support Parties in undertaking needs assessments in the light of their obligations under the Convention, as called upon by the Conference of the Parties, began on a pilot basis. The pilot phase highlighted the importance of utilizing the information and the potential already in place in different government sectors, and the role of health ministries in activating multisectoral action. It also showed the importance of linking needs assessments to the promotion of access to existing donor and development resources, in order to support implementation efforts. The value of involving international development partners in the process was clearly demonstrated, particularly given the aim of bringing implementation of the Convention within the United Nations Development Assistance Framework (UNDAF) at country level. Further strengthening of collaboration with development partners and utilizing their potential for supporting treaty implementation is required, which the Convention Secretariat will explore and promote after the pilot phase. 36. There has been notable progress in the submission of implementation reports by the Parties (85% of the Parties expected to report by the end of 2009 submitted their reports, compared with 60% two years ago). Yet many Parties are missing their individual deadlines in submitting their reports. Late and/or incomplete reporting may, in most cases, be linked to a lack of surveillance programmes, national capacities (particularly in view of various international data collection initiatives), and the resources and infrastructure needed for the collection, analysis and submission of data. This indicates the need for further efforts to establish and improve tobacco surveillance programmes, for the
7
FCTC/COP/4/19
provision of support to Parties when necessary in the preparation of their national reports, and for harmonization of data collection initiatives at the international level. 37. Analysis of Party reports and intercountry workshops highlighted the value that stronger international cooperation at bilateral and multilateral level, including South-South and tripartite cooperation, could add to efforts to implement the Convention. Discussions at the fourth session of the Conference of the Parties could lead to notable progress in this area. 38. Cooperation with WHO’s Tobacco Free Initiative and other relevant WHO departments allowed for improved technical synergy and complementarity, particularly in some critical areas, such as country needs assessments and harmonization of data collection initiatives. Promoting such synergy at all levels will remain a priority for the Convention Secretariat. 39. Challenges in the administrative procedures faced during the transition to a new Global Management System in WHO, which also affected the work of the Convention Secretariat, were gradually addressed and in most areas solved. Further effort will be needed to sustain progress in cooperation with the relevant WHO departments. 40. The level of payment of voluntary assessed contributions by Parties improved towards the end of the biennium. Although the total amount of unpaid contributions is relatively low, a large number of Parties did not pay their contributions for one or both of the previous bienniums. Parties’ attention will be needed to ensure the payment of such arrears. In addition, timely payment of the voluntary assessed contributions of the current biennium will allow for improved planning and implementation of activities under the workplan.
Financial implementation 41. The initial core budget for 2008–2009 approved by the Conference of the Parties at its second session amounted to US$ 8 010 000. At that session the Conference of the Parties also adopted an additional budget of US$ 4 950 000 for the work of Intergovernmental Negotiating Body that was not covered in its core budget. This brought the total biennial budget approved by the Conference of the Parties to US$ 12 960 000. 42. The total available funds amounted to US$ 12 199 394, including voluntary assessed contributions of US$ 9 170 598. However, out of the latter amount, voluntary assessed contributions of US$ 885 629 remained unpaid for the financial period of 2008–2009. In addition, voluntary assessed contributions of US$ 238 261 remained unpaid for the financial period of 2006–2007, making the total amount of unpaid contributions for the last two bienniums US$ 1 123 890 as at 31 December 2009. As at 31 May 2010, the date on which this report was finalized, this amount had decreased to US$ 978 706 owing to payment of arrears by nine Parties. 43. Expenditures came to a total of US$ 11 050 735, including salary costs in the amount of US$ 4 613 575, activity costs of US$ 5 554 798 and programme support costs (payable to WHO) of US$ 882 362. The balance as at 31 December 2009 amounted to US$ 1 148 659. 44. Annex 1 presents the status of financial implementation. The tables include information on overall implementation; distribution of available funds, including distribution of voluntary assessed contributions; distribution of expenditure – by staff costs, activities and programme support costs – as well as a detailed distribution of activity cost, both by type of activity and by workplan and budget lines (more details on activity costs are presented in Annex 2). Annex 1 also contains a statement of
8
FCTC/COP/4/19
funds available and cash as at 31 December 2009. A certified statement of income and expenditure issued by WHO’s Chief Accountant is attached as Annex 3. Finally, Annex 4 presents the status of payments of voluntary assessed contributions by individual Parties for the financial periods of 2006–2007 and 2008–2009. 45. The figures in the attached statement of income and expenditure for the period 1 January 2008 to 31 December 2009 are incorporated into WHO’s financial statements on which the External Auditor has issued an unqualified opinion. There are, however, certain adjustments, notably owing to a change in policy on the recording of programme support costs by WHO, that are shown in Annex 3 and which reduce the funds available from US$ 1 148 659 to US$ 872 529. This balance is also required to pay existing commitments (encumbrances) of US$ 159 537, which leaves an amount of US$ 712 992 available for new expenditure. However, to support the use of these funds for future budgetary implementation, the payment of arrears of voluntary assessed contributions by Parties should be accelerated.
ACTION BY THE CONFERENCE OF THE PARTIES 46. The Conference of the Parties is invited to note this report.
9
FCTC/COP/4/19
ANNEX 1 FINANCIAL IMPLEMENTATION 2008–2009
Table 1.
Overall implementation (US$) 12 199 394 11 050 735 1 148 659
Total available funds Expenditure Balance Table 2. Distribution of available funds (US$)
Opening balance 1 January 2008 Income Voluntary assessed contributions 2008–2009 Voluntary assessed contributions 2006–2007 paid in 2008–2009 Additional contributions receiveda Total income Adjustmentsb Total available funds a
2 259 699 8 682 348 488 250 737 768 9 908 366 31 329 12 199 394
Extrabudgetary contributions from Australia (US$ 100 000) and the Netherlands (US$ 173 228), as well as South Africa’s contribution to cover additional costs for hosting the third session of the Conference of the Parties (US$ 464 540). b Savings on unliquidated obligations 2006–2007.
Table 3.
Voluntary assessed contributions (VAC) for the financial period 2008–2009 (US$) Number of Parties Parties that have made payment 84b Parties that have not made payment 62 VAC 2008–2009 Total Paid Outstanding
Parties at the time of COP2a Countries that became Parties after COP2a Total a b
146
8 010 000
7 656 362
353 638
14 160
6 90
8 70
672 348 8 682 348
140 357 7 796 719
531 991 885 629c
COP2: second session of the Conference of the Parties (Bangkok, Thailand, 30 June – 6 July 2007). Of which four Parties made a partial payment. c Owing to continued payment of arrears, as at 31 May 2010 the amount of outstanding VAC for the financial period 2008–2009 had decreased to US$ 743 528.
11
FCTC/COP/4/19
Annex 1
Table 4. 4.1
Distribution of expenditure
Overall distribution of expenditure (US$) 4 613 575 5 554 798 882 362 11 050 735
Staff costs Activities Programme support costs (13%)a Total a
Programme support costs of US$ 1 399 865 should have been charged by WHO in 2008–2009. Therefore, the balance of US$ 517 503 will be charged in 2010.
4.2
Distribution of activity cost by type of activity (US$) 2 878 842 1 263 097 708 178 575 102 49 263 41 469 23 189 15 658 5 554 798
Travel Supplementary staff cost Contractual services General operating cost Telecommunications Equipment Consulting/research Direct finance cooperation Total
12
Annex 1
FCTC/COP/4/19
4.3
Distribution of activity cost by 2008–2009 workplan budget lines (US$) 1 613 091 42 057 17 096 153 249 3 054 369 2 557 929a 307 332b 189 108
1. Third session of the Conference of the Parties 2. Reporting system under the Convention and support to Parties in fulfilling this obligation 3. Reports of the Convention Secretariat 4. Coordination with other relevant bodies and administrative arrangements 5. Elaboration of guidelines, protocol and other activities – Intergovernmental Negotiating Body – Working groups – Technical assistance to Parties Other: Early commencement of part of the 2010–2011 workplan to meet the deadlines established by the Conference of the Parties – Working groups – Intersessional work following the third session of the Intergovernmental Negotiating Body Amount charged to the Convention Secretariat in error to be corrected in 2010 Total a
644 413 228 489 415 924 30 523 5 554 798
In addition, in-kind contributions by direct payment of conference services, travel and accommodation costs in the amount of €836 386 were provided by the European Commission for convening the third session of the Intergovernmental Negotiating Body. This amount is net of US$ 416 207 which was spent in late 2007 for the early commencement of the work of the working groups envisaged in the 2008–2009 workplan, in order to meet the deadline for the elaboration of guidelines established by the Conference of the Parties. b
Table 5.
Statement of funds available and cash as at 31 December 2009 (US$) 1 148 659 238 261 (27 411) 30 523 (517 503) 872 529 (159 537) 712 992 (1 123 890) (410 898)
Balance as at 31 December 2009 per certified statement Add outstanding balance of voluntary assessed contributions from 2006–2007 not yet recorded as income Less programme support costs to be collected in 2010 Add amount charged to the Convention Secretariat in error to be corrected in 2010 Less adjustment to programme support costs to be made in 2010 Adjusted fund balance as at 31 December 2009 Less encumbrances – undelivered orders Funds available for future expenditure Less accounts receivable Cash deficit as at 31 December 2009
13
14
FCTC/COP/4/19
ANNEX 2 DISTRIBUTION OF ACTIVITY COSTS BY TYPE OF ACTIVITIES AND WORKPLAN BUDGET LINES Travel Third session of the Conference of the Parties (COP3) Reporting system under the Convention and support to Parties in fulfilling this obligation Report of the Convention Secretariat Coordination with other relevant bodies and administrative arrangements Elaboration of guidelines and protocols and other activities – Intergovernmental Negotiating Body (INB) – Working groups – Technical assistance to Parties Activities related to 2010–2011 workplana – Working Groups mandated by COP3 – Post-INB3 intersessional work Other (charged to the Secretariat in error to be corrected in 2010) Sub total Unliquidated Obligations Total a
General operating costs 184 181
Contractual services 376 217
Supplementary staff costs 396 314
Consulting, research 15 653
Telecommunication 144
Direct finance cooperation -
Equipment
Sub total
Unliquidated obligations -
Total
640 582
-
1 613 091
1 613 091
2 172
27
28 265
6 458
5 135
-
3 158
-
45 215
(3 158)
42 057
-
-
17 096
-
-
-
-
-
17 096
-
17 096
158 729
33 104
4 368
56 058
-
31 673
-
34 246
318 178
(164 929)
153 249
1 679 683
464 774
233 872
674 853
2 401
15 350
-
7 223
3 078 156
(23 787)
3 054 369
1 225 694 275 508 178 481 400 834 211 145 189 689 2 882 000 (3 158) 2 878 842
430 007 29 735 5 032 57 422 2 748 54 674 523 740 031 (164 929) 575 102
218 389 15 483 18 360 18 360 30 000 708 178 708 178
661 266 7 992 5 595 153 201 153 201 1 286 884 (23 787) 1 263 097
2 401 23 189 23 189
15 350 2 096 2 096 49 263 49 263
12 500 12 500 15 658 15 658
7 223 41 469 41 469
2 557 929 331 119 189 108 644 413 228 489 415 924 30 523 5 746 672 (191 874) 5 554 798
(23 787) (191 874) -
2 557 929 307 332 189 108 644 413 228 489 415 924 30 523 5 554 798 5 554 798
Due to early commencement of part of the 2010–2011 workplan to meet the deadlines established by the Conference of the Parties.
FCTC/COP/4/19
ANNEX 3
WORLD HEALTH ORGANIZATION
ORGANISATION MONDIALE DE LA SANTE
VOLUNTARY FUND FOR HEALTH PROMOTION SECRETARIAT OF THE WHO FRAMEWORK CONVENTION ON TOBACCO CONTROL Statement of Income and Expenditure for the period 1 January 2008 to 31 December 2009 (expressed in US dollars) Opening Balance 01 January 2008 Income Voluntary Assessed Contributions 2008–2009 Voluntary Assessed Contributions 2006–2007 Additional Contributions received Total Income Adjustments Savings on unliquidated obligations 2006–2007 Total Available Funds Expenditure (Details attached) 2008–2009 Balance as at 31 December 2009 2 259 699
8 682 348 488 250 737 768 9 908 366
31 329 12 199 394
11 050 735 1 148 659
I certify that the above statement reflects correctly the income and expenditure
15
FCTC/COP/4/19
Annex 3
Expenditure details of Secretariat of the WHO Framework Convention on Tobacco Control
For the period 1 January 2008 to 31 December 2009 Expenditure Staff Costs Staff Costs (Supplementary) Direct Finance Co-operation Consulting, Research Expenses Contractual Services Equipment Vehicles and Furniture Travel General Operating Costs Telecommunications Programme Support Costs * Total Amount in USD 4 613 575 1 263 097 15 658 23 189 708 178 41 469 2 878 842 575 102 49 263 882 362 11 050 735
* Programme Support Costs of USD 1 399 865 should have been charged in 2008–2009. Therefore the balance of USD 517 503 will be charged in 2010. This brings the calculation of PSC to the new WHO policy of charging it at the time income is recognized.
16
ANNEX 4 Status of collection of voluntary assessed contributions (VAC) for the financial periods of 2006–2007 and 2008–2009, as of 1 July 2010 2006–2007 Parties VAC 610 9 224 120 366 248a 197 509 106 571 620 3 602 1 241 1 241 2 233 132 624 124 248 124 1 117 1 489 188 949 4 218 2 109 Outstanding balance 610 9 224 0 0 0 0 0 620 3 602 1 241 0 2 233 0 0 248 0 1 117 0 0 0 0 VAC 680 9 633 340 227 227 202 534 100 536 567 3 740 1 133 1 020 2 267 124 903 113 113 113 680 1 587 99 290 2 947 2 267 2008–2009 Outstanding balance 680 9 633 0 0 0 0 0 567 3 740 1 133 0 2 267 0 113 113 0 680 0 0 0 0 Outstanding VAC as of 1 July 2010 1 290 18 857 0 0 0 0 0 1 187 7 342 2 374 0 4 500 0 113 361 0 1 797 0 0 0 0 FCTC/COP/4/19
Albania Algeria Angola Antigua and Barbuda Armenia Australia Austria Azerbaijan Bahrain Bangladesh Barbados Belarus Belgium Belize Benin Bhutan Bolivia (Plurinational State of) Botswana Brazil Brunei Darussalam Bulgaria 17
18 2006–2007 Parties VAC 243 124 248 908 348 991 124 124 123 27 666 254 703 0 124 120a 124 0 0 4 838 1 241 372 89 078 124 121a 2 305 Outstanding balance 0 0 0 0 0 25 124 123 0 0 0 124 0 124 0 0 0 1 241 0 0 124 0 0 VAC 227 113a 113 1 020 337 410 113 113 113 18 246 302 277 11 870a 113 113a 113 3 244 5 072 4 987 793 340 83 763 113 113a 2 380 2008–2009 Outstanding balance 0 0 0 0 0 113 113 113 0 0 0 113 0 113 3 244 0 0 793 0 0 113 0 0 Outstanding VAC as of 1 July 2010 0 0 0 0 0 138 237 236 0 0 0 237 120 237 3 244 0 0 2 034 0 0 237 Burkina Faso Burundi Cambodia Cameroon Canada Cape Verde Central African Republic Chad Chile China Colombia Comoros Congo Cook Islands Costa Rica Croatia Cyprus Democratic People’s Republic of Korea Democratic Republic of the Congo Denmark Djibouti Dominica Ecuador 0 0
FCTC/COP/4/19 Annex 4
2006–2007 Parties VAC 14 888 248 1 489 310 159 496 66 126 748 117 120 367 1 074 677 496 64 955 120 3 722 0 124 620 15 632 4 218 52 231 19 478 0 43 422 57 938 0 Outstanding balance 0 248 0 1 146 0 0 0 0 0 0 0 0 120 0 0 0 620 0 4 218 0 0 0 0 0 0 VAC 9 973 227 1 813 283 328 340 63 919 714 158 113 340 972 123 453 67 545 113 3 627 113 113 567 27 653 4 193 50 999 20 400 1 699 50 432 47 486 515 631
2008–2009 Outstanding balance 0 227 0 0 0 0 0 113 0 0 0 0 113 0 113 0 567 0 4 193 0 20 400 0 0 35 000 515 631 Outstanding VAC as of 1 July 2010 0 475 0 1 146 0 0 0 113 0 0 0 0 233 0 113 0 1 187 0 8 411 0 20 400 0 0 35 000 515 631
Annex 4
Egypt Equatorial Guinea Estonia European Union Fiji Finland France Gambia Georgia Germany Ghana Greece Grenada Guatemala Guinea Guyana Honduras Hungary Iceland India Iran (Islamic Republic of) Iraq Ireland Israel Italy 19
FCTC/COP/4/19
20 2006–2007 Parties VAC 993 1 762 200 1 365 3 004 1 117 124 19 777 122 121 1 861 2 976 a
FCTC/COP/4/19
2008–2009 VAC 1 133 1 762 200 1 360 3 287 1 133 113 20 626 113 113 2 040 3 853 a
Outstanding balance 0 0 1 365 3 004 30 0 0 0 121 0 16 0 16 376 0 0 0 0 0 0 0 0 0 0 a
Outstanding balance 0 0 1 360 0 1 133 113 0 113 113 0 0 113 782 0 0 227 0 0 0 0 113 0 0 a
Outstanding VAC as of 1 July 2010 0 0 2 725 3 004 1 163 113 0 113 234 0 16 113 17 158 0 0 227 0 0 0 0 113
Jamaica Japan Jordan Kazakhstan Kenya Kiribati Kuwait Kyrgyzstan Lao People’s Democratic Republic Latvia Lebanon Lesotho Libyan Arab Jamahiriya Lithuania Luxembourg Madagascar Malaysia Maldives Mali Malta Marshall Islands Mauritania Mauritius
124 16 376 2 978 9 553 372 25 185 124 248 1 737 124 124 1 365
113 7 027 9 633 227 21 533 113 113 1 927 113 113 1 247 a
3 513
Annex 4
0 0
2006–2007 Parties VAC 233 612 124 124 122 1 241 744 124 481 209 668 27 418 0 124 5 211 124 84 239 8 684 6 824 124 2 357 366 1 443 11 414 11 786 55 431 58 310 Outstanding balance 0 124 124 0 0 0 25 481 0 0 0 124 0 0 0 0 6 824 124 2 357 366 1 443 11 414 0 55 431 0 VAC
2008–2009 Outstanding balance 0 113 113 0 0 680 113 340 0 0 227 113 0 0 0 0 6 687 113 2 607 227 567 8 840 0 0 0 Outstanding VAC as of 1 July 2010 0 237 237 0 0 680 138 821 0 0 227 237 0 0 0 0 13 510 237 4 964 593 2 010
Annex 4
Mexico Micronesia (Federated States of) Mongolia Montenegro Myanmar Namibia Nauru Nepal Netherlands New Zealand Nicaragua Niger Nigeria Niue Norway Oman Pakistan Palau Panama Papua New Guinea Paraguay Peru Philippines Poland Portugal 21
255 812a 113 113 113 567 680 113 340 212 281 29 013 227 113 5 440 113 88 636 8 273 6 687 113 2 607 227 567 8 840 8 840 56 779 59 726
FCTC/COP/4/19
20 254 0 55 431 0
22 2006–2007 Parties VAC 7 940 222 818 7 353 0 124 248 124a 372 122 88 457 620 2 327 248 48 137 6 327 10 173 124 36 227 312 641 2 109 993 248 123 816 4 714 Outstanding balance 0 0 0 0 0 19 0 372 122 88 457 0 0 0 0 0 10 173 124 0 0 0 993 248 0 0 VAC 9 633 246 292 7 933 132 793 113 113 113a 340 113 84 783 453 2 380 227 39 326 7 140 10 880 32 866 336 390 1 813 1 133 227 121 389 1 813 a
FCTC/COP/4/19
2008–2009 Outstanding balance 0 0 0 0 25 113 0 340 113 84 783 410 0 0 0 0 27 113 0 0 1 813 1 133 227 0 0 Outstanding VAC as of 1 July 2010 0 0 0 0 25 132 0 712 235 173 241 410 0 0 0 0 10 200 237 0 0 1 813 2 126 475 0 0
Qatar Republic of Korea Romania Russian Federation Rwanda Saint Lucia Samoa San Marino Sao Tome and Principe Saudi Arabia Senegal Serbia Seychelles Singapore Slovakia Slovenia Solomon Islands South Africa Spain Sri Lanka Sudan Swaziland Sweden Syrian Arab Republic
113
Annex 4
2006–2007 Parties VAC 25 929 729 124 124 124 2 729 46 152 124 720 4 757 29 155 760 163 720 5 955 124 20 788 2 605 721 0 8 216 004b Outstanding balance 0 729 0 0 0 0 0 0 0 4 757 0 0 720 0 124 0 0 721 0 234 440 VAC 21 080 567
2008–2009 Outstanding balance 0 567 57 0 0 0 0 113 0 5 100 0 0 680 0 113 0 41 793 0 721 374 a a
Annex 4
Outstanding VAC as of 1 July 2010 0 1 296 57 0 0 0 0 113 0 9 857 0 0 1 400 0 237 0 41 1 514 0 955 933
Thailand The Former Yugoslav Republic of Macedonia Timor-Leste Togo Tonga Trinidad and Tobago Turkey Tuvalu Uganda Ukraine United Arab Emirates United Kingdom of Great Britain and Northern Ireland
113a 113 113 3 060 43 179 113 340 5 100 34 226 752 804 680 3 060 113 22 666 2 720 793 113a 8 682 348c
= = = 23
United Republic of Tanzania Uruguay Vanuatu Venezuela Viet Nam Yemen Zambia TOTAL a b
VAC received or applied after 31 December 2009.
FCTC/COP/4/19
Including US$ 206 004 VAC of countries that became Parties after the first session of the Conference of the Parties (6–17 February 2006), in accordance with the scale of assessments adopted at that session (see decision FCTC/COP1(11)). Including US$ 672 348 VAC of countries that became Parties after the second session of the Conference of the Parties (30 June – 6 July 2007), in accordance with the scale of assessments adopted at that session (see decision FCTC/COP2(11)). C
Conference of the Parties to the WHO Framework Convention on Tobacco Control Fourth session Punta del Este, Uruguay, 15–20 November 2010 Provisional agenda item 7.1
FCTC/COP/4/19 Add.1 2 November 2010
Performance report for the 2008–2009 workplan and budget Report of the Convention Secretariat ADDENDUM Update on the receipt of voluntary assessed contributions for 2006–2007 and 2008–2009 as at 31 October 2010 1. In addition to the information provided in Annex 4 of document FCTC/COP/4/19, between 1 July 2010 and 31 October 2010 payments of arrears of voluntary assessed contributions for the financial periods 2006–2007 and 2008–2009 were received from six Parties (Kenya, Nepal, Panama, Paraguay, Swaziland and United Republic of Tanzania). One Party (Viet Nam) paid the arrears for the financial period 2008–2009, and for one Party (Israel), the amount previously shown as an excess payment for 2010–2011 was accounted against the arrears of 2008–2009, at the request of that Party. 2. The total amount of voluntary assessed contributions for the financial periods 2006–2007 and 2008–2009 received between 1 July 2010 and 31 October 2010 amounted to US$ 15 869 (out of which US$ 5279 was for the financial period 2006–2007 and US$ 10 590 was for the financial period 2008–2009). 3. A consolidated status of the collection of voluntary assessed contributions for the financial periods 2006–2007, 2008–2009 and 2010–2011, as at 31 October 2010, is presented in document FCTC/COP/4/INF.DOC./5.
=
=
=