Research Report

Appointing the UN Secretary-General

UN Secretary-General-designate Ban Ki-moon addressed the General The most important decision that the Security created 70 years ago. The next Secretary-General Assembly meeting after that body Council will take in 2016 will be the selection of will take on the job at a time when the organisa- endorsed his appointment as the next Secretary-General, 13 October the ninth Secretary-General of the UN. Secretary- tion is struggling to cope with increasingly intrac- 2006 (UN Photo) General Ban Ki-moon’s term ends on 31 Decem- table conflicts, deteriorating security situations ber 2016. Both the General Assembly and the and humanitarian and environmental disasters. Council have already begun considering the pro- As the time for the appointment decision cess. Unlike in previous years, a number of advo- approaches, Security Council Report will anal- cacy groups have chosen to focus on this issue in yse and preview specific developments, Coun-

2015, No. 2 order to bring greater transparency and inclusive- cil dynamics and possible options regarding the 16 October 2015 ness to the selection process. Coupled with the selection process. At this stage, our purpose in

This report is available online at changes in technology and communications since writing this Research Report is to provide rel- securitycouncilreport.org. the last competitive election for a UN Secretary- evant factual background on the history of the For daily insights by SCR on evolving General, this selection process promises to attract process and procedure, and proposals for reform. Security Council actions please subscribe to our “What’s In Blue” scrutiny from a wide and diverse audience. We also cover recent Council and General Assem- series at whatsinblue.org or follow Finding the right person for the role will be bly developments as Council members begin con- @SCRtweets on Twitter. crucial to the future of the UN. The world has sidering the process for the selection of the next changed dramatically since the position was Secretary-General. •

Security Council Report Research Report October 2015 securitycouncilreport.org 1 Part I: History of the Process and Procedure

Who Selects the Secretary-General? of the Open-ended High-Level Working 2 Part I: History of the Process The UN Charter, in Article 97, says that the Group on the Strengthening of the United and Procedure Secretary-General: Nations System—an early phase of the cur- 2 Who Selects the Secretary- ...shall be appointed by the General rent UN reform initiatives. The General General? Assembly upon the recommendation of the Assembly in adopting the Working Group’s 2 The Selection Process Security Council. report in resolution 51/241 on 31 July 1997, Appointments have traditionally been decided that: 3 How Important is the Veto? made by way of a General Assembly resolu- 57. The General Assembly shall make full 4 Term of Office tion, for example resolution 61/3 of 13 Octo- use of the power of appointment enshrined 5 Timing of the Decision ber 2006 appointing Secretary-General Ban in the Charter in the process of the appoint- 5 Regional Rotation and Gender Ki-moon to his first term of office. ment of the Secretary-General and the Equality For most of the UN’s history, however, the agenda item entitled “Appointment of the 6 Multiple Candidates role of the General Assembly in appointing Secretary-General of the United Nations”. 7 The Deputy Secretary-General the Secretary-General has been limited to the Furthermore, it outlined a role for the and other Senior Appointments formal act of appointment. president of the General Assembly: In the early years of the UN, the General 60. Without prejudice to the prerogatives 7 Criteria and Qualifications for Appointment Assembly’s role was not so limited. In 1946, of the Security Council, the President of at its very first session, the General Assembly the General Assembly may consult with 8 Part II: Highlights of the 2006 took the lead in setting procedures for the Member States to identify potential can- Process appointment process. In resolution 11(I) (A/ didates endorsed by Member States and, 9 Part III: Developments Since RES/1/11 in current numbering), it estab- upon informing all Member States of the 2006 lished ground rules for the appointment results, may forward those results to the 9 Joint Investigation Unit process, including terms and conditions of Security Council. Evaluation employment; length of term of office and pos- 10 The Delphi Symposium sibility of reappointment; and procedures for The Selection Process 10 Accountability, Coherence and appointment. In 1946 the General Assembly set up a pro- Transparency Group and Civil Significantly, this resolution stated that cess in resolution 11 (I) involving: Society Groups it was desirable that the General Assembly • the specific delegation of the lead role to 12 Recent General Assembly should be presented with a single name only the Council; Developments as a recommendation from the Council. • a decision that the Council undertake the 13 Part IV: Council Activity in 2015 In 1950 the General Assembly, in highly selection and recommend a single name; 13 UN Documents exceptional circumstances, took a prominent • required voting majorities in both the role in the appointment process. After a suc- Council and General Assembly; and 14 Useful Additional Resources cession of inconclusive votes in the Council • the requirement that discussion and deci- had led to deadlock, the General Assembly sion-making in both the Council and the decided by a majority vote to extend the term General Assembly be private. of Secretary-General Trygve Lie without a Confidentiality provisions were also recommendation from the Council. inserted into the Rules of Procedure of the Thereafter, until 1996, the General General Assembly (rule 141) and the Pro- Assembly adopted a passive role, accepting visional Rules of Procedure of the Security on each occasion the recommendation of the Council (rule 48). Both sets of rules require Council. In practice, the General Assembly’s that both voting and discussion be held in only choice has been to vote the recommen- private, but the General Assembly has tradi- dation of the Council up or down, and it has tionally made an important modification to never seriously considered rejecting a can- this provision. Since 1946 it has become the didate recommended by the Council. With custom, on the occasion of each appointment, the exception of Trygve Lie’s reappointment, for the General Assembly, on the proposal of the appointment of Secretaries-General has the president, to make the appointment in an always been determined by the Council—and open session, rather than in a closed session effectively by its five permanent members. as required in resolution 11 (I) and rule 141. In 1996 and 1997, however, in the wake of In 1950, the only occasion in which there was the US veto of the reappointment of Secre- a vote in the General Assembly, the meeting tary-General Boutros Boutros-Ghali, the role was open, but the vote was by secret ballot, as and appointment of the Secretary-General required by rule 141. emerged as an important issue in discussions The most significant evolutions that have

2 whatsinblue.org Security Council Report Research Report October 2015 Part I: History of the Process and Procedure(con’t) occurred since 1946 have been in the prac- Clearly there is greater flexibility under International Labour Organization, the World tice of the Council. These changes in process the straw-ballot procedure. And there is the Health Organization and the World Trade have taken place in closed, informal consulta- possible advantage that permanent members Organization have specified qualifications tions and seem not to have been recorded as may find it easier to resile from a “red” straw or criteria that must be met. These organisa- Council decisions. As a result, their status is ballot than a formal veto cast in the Council tions, as well as the Food and Agricultural unclear. They include: chamber. On the other hand, it has made the Organization, have detailed timelines for the • In 1981, the Council began the practice process even more secret. appointment process, including opening and of conducting “straw polls” under which In an uncontested re-election, past practice closing dates for nominations, and curricu- members would indicate either “encour- suggests the Council is likely to dispense with la vitae are made publicly available on the agement” or “discouragement”. the informal balloting procedures developed organisation’s website. Meetings are also held • In 1991, the practice of colour-coded bal- for contested elections. Instead, the president with candidates where they are able to pres- lots, i.e. “red” for permanent member and is likely, after taking soundings of members, to ent their vision for the organisation. “white” for elected member, emerged in circulate a draft resolution in informal consul- In 1997, the General Assembly recog- later stages of the straw polls. tations, and then to convene a formal closed nised that a greater level of transparency was • In 1996, colour coding was used again, meeting of the Council at which the resolu- indeed desirable for the appointment of the distinguishing the votes of permanent and tion would be adopted by acclamation. Secretary-General, and it decided in resolu- elected members. An important practical evolution which tion 51/241 that: • In 2006, the straw ballot allowed Council occurred in the lead up to the 1996 appoint- 56. The process of selection of the Secretary- members to signify one of three options: ment was the informal paper, prepared in General shall be made more transparent. “encouragement; “discouragement”; or November 1996 under the presidency of The General Assembly also established “no opinion”. Indonesia as a private aide-memoire to mem- the role for the president of the General The straw-ballot process was suggested by bers. It set out their common understandings Assembly in identifying potential candidates. Ambassador Olara Otunnu (Uganda) dur- as to how the process would work in practice ing Uganda’s presidency of the Council in that year. Although the paper was agreed to How Important is the Veto? December 1981, in order to move beyond the at a Council lunch on 12 November 1996, it The exercise of the veto by permanent deadlock between Secretary-General Kurt was never published officially as a document. members of the Council has been a key Waldheim (Austria), who was running for a However, in December 1996, after the deci- feature in the choice of almost every new third term, and Ambassador Salim Ahmed sion had been made to appoint Kofi Annan, a Secretary-General. Salim (Tanzania), who had been endorsed copy of the paper was unofficially distributed The secrecy of the process makes it dif- by the Organization of African Unity. The by the permanent representative of Italy, who ficult to determine the number of vetoes cast two candidates were asked to suspend their was Council president that month. In hon- in previous selections. The picture is further candidacies while the viability of other candi- our of the Indonesian Ambassador who had clouded by the shift midway through the vot- dates was considered in a series of straw polls. prepared the paper, it became known as the ing in 1981 to the system of straw ballots, Eventually Javier Pérez de Cuéllar (Peru) “Wisnamurti Guidelines”. about which even less information is avail- emerged as an acceptable candidate. By The 1996 paper had no ongoing status. able. But since negative straw ballots from a using this process, votes could be cast infor- Nevertheless, in February 2006 the UN Sec- permanent member have had an effect simi- mally without having an official meeting in retariat made available an informal fact sheet, lar to a veto, they are included to the extent the Council chamber or casting formal votes. which usefully provided a summary of the possible in the list below. As a result, there were fewer official meetings way the process had worked in the Securi- • 1946 Trygve Lie (Norway) selected, with devoted to the selection process. ty Council in the past. The fact sheet clearly all other candidates opposed either by the The reduction in “official meetings” had drew in part on the 1996 paper. USSR or the US. a significant effect. When an official -meet The next major development took place • 1950 Lie’s reappointment persistent- ing is held—even if it is a “closed meeting” in 1996/97 in the General Assembly Work- ly vetoed by the USSR but eventually under rule 55 of the Provisional Rules of Pro- ing Group on the Strengthening of the Unit- renewed by the General Assembly with- cedure—the Secretary-General must issue a ed Nations System. A number of delega- out a Council recommendation. communiqué summarising the outcome. In tions noted that best practice for high-level • 1953 Dag Hammarskjöld (Sweden) even- the past, some communiqués have contained appointments had significantly evolved in tually selected after several candidates the results of the voting and occasionally many countries and in some other interna- were eliminated due to lack of majority, information on whether any votes were vetoes. tional organisations, and that transparent and Lester Pearson (Canada) was vetoed By contrast, when straw-balloting takes place processes were regarded as best practice for by the USSR. in informal meetings, there is no official infor- high-level appointments. • 1957 Hammarskjöld reappointed for a mation. The only information available to the In this regard, it should be noted that the second term, with no vetoes. international community comes by way of selection processes for other executive head • 1961/62 U Thant (Burma) appointed, unofficial announcements by delegations or positions in the UN have become more trans- with no vetoes. (In 1961 U Thant was through leaks. parent. The posts of Directors-General of the appointed acting Secretary-General for

Security Council Report Research Report October 2015 securitycouncilreport.org 3 Part I: History of the Process and Procedure (con’t)

the remaining portion of Hammarskjöld’s (India), Vaira Vīķe-Freiberga (Latvia) and term was extended by two months when he term of office following his death in an air Zeid Ra’ad Zeid Al-Hussein (Jordan)— initially decided not to run for a second term, crash.) either had low support or had negative but agreed he would serve until the end of the • 1966 U Thant reappointed, with no votes believed to be from a permanent General Assembly session. vetoes. member. In practice, the term of office for most • 1971 Kurt Waldheim (Austria) eventu- • 2011 Ban was reappointed, with no Secretaries-General has been determined by ally appointed despite fourteen vetoes; vetoes. the Council rather than the General Assem- Max Jakobson (Finland) and Carlos Ortiz The veto has therefore very often proved bly. The Council has done this by including de Rozas (Argentina) each met with 12 decisive. However, the ten elected members specific dates in its recommendation to the vetoes. have an important role to play. While not able General Assembly. This practice began with • 1976 Waldheim’s reappointment initially to use their majority to affirmatively deter- resolution 400 of 7 December 1976, which vetoed by China, then accepted. mine the outcome, they have in the past established the second term of the fourth • 1981 Javier Pérez de Cuéllar (Peru) even- contributed to the elimination of a candi- Secretary-General, Kurt Waldheim, by rec- tually emerged as a new candidate and date during the early stages. Any appointee ommending that the term of office run “from was selected after Waldheim, running for requires the support of a significant number 1 January 1977 to 31 December 1981.” a third term of office, received 16 vetoes of Council members during the straw poll A different term of office is a possibility. from China. Salim Ahmed Salim (Tanza- stage. Over the years, many candidates have The General Assembly could adopt a revised nia) received 15 vetoes from the US, and been eliminated because they had little sup- decision on the matter, or the Council could Sadruddin Aga Khan (Iran) one veto from port from the elected members at the early address it in an ad hoc manner by specifying a the USSR. stages of voting. different term of office in its recommendation • 1986 Pérez de Cuéllar reappointed, with The appointment of a new Secretary-Gen- as envisaged in resolution 11(I). no vetoes. eral in 1996 is an example of how the weight In 1996/97 the general question of the • 1991 Boutros Boutros-Ghali (Egypt) was of majority opinion can influence a perma- Secretary-General’s term of office was the selected after most candidates were elimi- nent member. During the “straw” ballots, subject of detailed discussion and negotia- nated on the basis of their level of overall Kofi Annan received a “red” ballot in seven tions in the Working Group on the Strength- support. No vetoes were cast. rounds, indicating lack of support from a per- ening of the United Nations System. • 1996 Kofi Annan (Ghana) was select- manent member. However, as the “encour- There was strong support in the Work- ed. The US veto of a draft resolution on agements” for Annan moved up to 14, in the ing Group in early 1996 for establishing a Boutros Boutros-Ghali’s reappointment eighth round the ballot changed colour and maximum of seven years for any individual is well-known. What is less well-known is Annan was ultimately selected after France, to serve as Secretary-General. Options can- the huge number of subsequent “vetoes,” which had opposed his candidacy, changed vassed included a single non-renewable term or negative straw ballots, cast by per- its vote, in the face of support from all other of seven years and an initial term of four years manent members after Boutros-Ghali members and reportedly after Annan agreed with a possibility of renewal for three years. suspended his candidature. The exact to appoint a French national to head the The concept of a maximum term limit number is uncertain but it was probably Department of Peacekeeping Operations. was close to reaching consensus. However, more than 30 spread over the four candi- in 1996, Secretary-General Boutros Boutros- dates. (The candidates who came in after Term of Office Ghali, who had previously indicated that he Boutros-Ghali withdrew, in addition to The UN Charter, in Article 97, does not spec- would not seek a second term, decided to Kofi Annan, were Foreign Minister Amara ify a term of office for the Secretary-General. stand again. His candidacy was opposed by Essy (Côte d’Ivoire), Ambassador Ahm- In 1946, the General Assembly decided in the US, and the issue of the term of office edou Ould-Abdallah (Mauritania) and resolution 11(I) that the first Secretary-Gen- became politically controversial. In such cir- Secretary-General of the Organization of eral should have a term of five years, renew- cumstances, it became impossible to make the Islamic Conference, Hamid Algabid able for a further five years. But the resolution progress on a general approach to term lim- (Nigeria). specifically provided that: its. Accordingly, there was no mention in the • 2001 Annan reappointed, with no vetoes. The General Assembly and the Security Working Group’s 1996 recommendations • 2006 Ban Ki-moon (Republic of Korea) Council are free to modify the term of office (A/50/24). However, other proposals that was selected after four straw polls. He of future Secretaries-General in the light were discussed, but not agreed to, including was the leading candidate in “encourage” of experience. the proposal for a Deputy Secretary-General, votes, but received one negative or “dis- A term of five years has become customary, were eventually implemented. courage” straw ballot in each of the first but this is entirely discretionary. The power of In 1997, in the improved atmosphere after three straw polls, believed not to be from modification has been used. Trygve Lie was the appointment of Kofi Annan, the Working a permanent member. The other candi- reappointed in 1950 for three years, and U Group agreed to the following: dates—Jayantha Dhanapala (Sri Lanka), Thant was appointed in 1962 for four years 58. The duration of the term or terms of Ashraf Ghani (Afghanistan), Surakiart after he served for one year as Acting Sec- appointment, including the option of a Sathirathai (Thailand), Shashi Tharoor retary-General. In October 1966, U Thant’s single term, shall be considered before the

4 whatsinblue.org Security Council Report Research Report October 2015 Part I: History of the Process and Procedure (con’t)

appointment of the next Secretary-General. represented a marked change from previous • 1966 Burma The General Assembly approved this con- practice. That year the Council agreed to start • 1971 Argentina, Austria, Finland clusion in resolution 51/241 of 22 August the process earlier to allow the new Secretary- • 1976 Austria 1997, and it became effective on 1 January General adequate transition time. The rec- • 1981 Austria, Iran, Peru, Tanzania 1998. The use of the term “next Secretary- ognition of the advantages to the system if • 1986 Peru General” as opposed to “next appointment” a last-minute appointment could be avoided • 1991 Burundi, Cameroon, Canada, seems to make it clear that this was not to was first acknowledged with the reappoint- Egypt, Gabon, Iran, the Netherlands, apply to a decision regarding Kofi Annan’s ment of Kofi Annan six months before the Nigeria, Norway, the Philippines, Sierra reappointment in 2001. However, no such expiry of his first term. Leone, Zimbabwe further consideration took place. The conclusions of the Working Group on • 1996 Côte d’Ivoire, Egypt, Ghana, Mau- the Strengthening of the United Nations Sys- ritania, Niger Timing of the Decision tem on the timing of the appointment were • 2001 Ghana This issue was not addressed in 1946, and endorsed by the General Assembly in 1997 • 2006 Afghanistan, India, Jordan, Latvia, the practice relating to the first three Secre- in resolution 51/241: Republic of Korea, Sri Lanka, Thailand taries-General does not provide any helpful 61. In order to ensure a smooth and effi- • 2011 Republic of Korea guidance. The early resignation of the first cient transition, the Secretary-General The list of candidates over the years shows Secretary-General, and the death in office in should be appointed as early as possible, that particularly in the early years regional 1961 of the second, presented cases in which preferably no later than one month before rotation was clearly not a factor. U Thant’s member states had to respond to unforeseen the date on which the term of the incum- appointment as Acting Secretary-General situations well before the expected expiry of bent expires. came in the aftermath of Hammarskjöld’s the terms. The problems in 1966, triggering In this regard, it is significant that a num- tragic death and does not indicate a decision the need for a short rollover of U Thant’s ber of international organisations, including by Asia to field a candidate for the post. term, appear to have arisen more as a result the International Labour Organisation and There is evidence that at the time of Pérez of indecision by the Secretary-General than World Health Organisation, have had suc- de Cuéllar’s selection in 1981, Latin Ameri- due to any timing factor. cessful experiences with early appointment can delegations invoked a principle of rotation. The more recent practice, with the term of decisions and the consequential opportuni- But as the range of candidates indicates, there the Secretary-General ending on 31 Decem- ties for planned transitions. seemed to be no agreement at that time on ber, is as follows: such a principle. Furthermore, his candidacy • 1971 Kurt Waldheim (appointment), Regional Rotation and Gender Equality only emerged at a very late stage, after candi- Security Council recommendation: 21 The UN Charter, in Article 97, provides no dates from other regions were eliminated in a December guidance regarding rotation of the post of bruising process involving many vetoes. • 1976 Kurt Waldheim (reappointment), Secretary-General. The range of candidacies that emerged Security Council recommendation: 7 There is disagreement as to whether there before Boutros-Ghali’s appointment in 1991 December is any requirement for rotation. The actual raises further doubt as to whether Pérez de • 1981 Javier Pérez de Cuéllar (appoint- history of the terms allocated between the Cuéllar’s selection was based on any accept- ment), Security Council recommenda- regional groups does not establish anything ed policy of conscious rotation. However, the tion: 11 December that might be called a clear practice. The dis- outcome of the voting indicates that many • 1986 Javier Pérez de Cuéllar (reappoint- tribution of Secretaries-General by region members were open to it being Africa’s “turn’. ment), Security Council recommenda- has been: Western Europe, 6 terms; Africa, 3 In 1996, there was a very strong feeling tion: 10 October terms; Asia, 4 terms; Latin America, 2 terms; that if Boutros-Ghali was refused a second • 1991 Boutros Boutros-Ghali (appoint- and Eastern Europe, no terms. term, his successor should also be from Afri- ment), Security Council recommenda- The pattern of candidacies that have been ca. That was clearly reflected in the way that tion: 21 November presented over the years is also an impor- member states from other regions held back • 1996 Kofi Annan (appointment), Security tant indicator. It reveals that on the majority from offering candidates. Council recommendation: 13 December of past occasions candidates from multiple The history now needs to be seen in light • 2001 Kofi Annan (reappointment) , Secu- regions were presented and seriously consid- of the developments in 1996/7 in the High- rity Council recommendation: 27 June ered, suggesting that both the candidates and Level Working Group. On 22 August 1997, • 2006 Ban Ki-moon (appointment), Secu- the governments nominating them did not the General Assembly endorsed its conclu- rity Council recommendation: 9 October accept the existence of a norm of rotation at sions on rotation in resolution 51/241: • 2011 Ban Ki-moon (reappointment), least until 1996. The pattern is as follows, with 59. In the course of the identification and Security Council recommendation: 17 the country of the winning candidate in italics: appointment of the best candidate for the June • 1946 Norway post of Secretary-General, due regard shall The 2006 decision, in which the appoint- • 1953 Canada, India, the Philippines, continue to be given to regional rotation ment of Ban Ki-moon was made almost three Poland, Sweden and shall also be given to gender equality. months before the expiry of the previous term, • 1961/62 Burma This decision carried important

Security Council Report Research Report October 2015 securitycouncilreport.org 5 Part I: History of the Process and Procedure (con’t) implications for the next appointment. It Pérez de Cuéllar’s successor. In 2006 Vaira It may be, therefore, that the Charter is speaks of: Vīķe-Freiberga, the President of Latvia, was open to the possibility of the Security Council • Identifying “the best candidate for the nominated jointly by three countries—Esto- proffering either one or multiple candidates post” nia, Latvia and Lithuania. She was the only in its recommendation. • Due regard for “regional rotation” candidate not from the Asia Group in the The simple repeal by the General Assem- • Due regard for “gender equality” selection process that resulted in the appoint- bly of resolution 11(I), which would remove Regional rotation is thus mentioned for ment of Ban Ki-moon. the 1946 statement that a single candidate the first time in a resolution regarding the was “desirable”, would seem to be possible appointment of the Secretary-General. This Multiple Candidates and valid. carefully balanced decision was the result of Since 1946, the Council has consistently fol- The General Assembly is the plenary significant negotiation in which merit (“the lowed the practice of proffering only one can- organ of the UN and is the body entrusted best candidate”) was established as the pri- didate. Arguments have been raised that it with the widest range of functions. Never- mary criterion, but the resolution also intro- would be contrary to the UN Charter for the theless, the Charter does give distinct roles duced two principles to which “due regard” General Assembly to adopt a resolution indi- to each of the UN organs. And it is also rel- must be given: regional rotation and gender cating that the Council should proffer more evant that under Article 10 of the Charter, equality. It is hard to read into the 1997 deci- than one name. the General Assembly can only make “rec- sion the conclusion that either of these prin- The Charter itself provides little guidance ommendations” to the member states or the ciples should necessarily trump the other. in Article 97. There seems to be no disagree- Security Council. Nor is it possible, on the language approved ment that the Charter does impose some lim- There do seem to be possibilities of valid by the General Assembly, to claim that either its on the capacity of the General Assembly General Assembly action short of seeking of these two principles trumps the first crite- with respect to the appointment. For instance, to impose a binding obligation on Council rion—that of “best candidate.” the General Assembly has no power (except members. In this regard resolution 11(1) There continues to be disagreement on perhaps in the emergency situation which it seems to establish an important precedent. the matter, including on the interpretation of faced in 1950, when the Council was dead- As is evident in that resolution, in 1946 the the words approved in resolution 51/241 and locked due to vetoes and unable to make a General Assembly did consider that it was on the weight to be given to the various prin- recommendation): competent to make far reaching recommen- ciples. There seem to be quite different posi- • to act without a recommendation of the dations about institutional issues affecting the tions held by at least three different groups of Council; or Security Council, including relating to the member states: • to appoint a person who had not been procedure and methods of work in the Secu- • Those who assert that a principle of rota- included in a recommendation of the rity Council as they applied to the appoint- tion exists and should be followed strictly. Council. ment decision. The members of the Security • Those who believe that no principle of However, Article 97 of the Charter does Council seem to have concurred in this. rotation binds the Security Council, but not make clear what is meant by the differ- This precedent seems to be consistent who in practice are prepared to vote on entiated roles of the General Assembly and with Article 10 of the Charter. It would indi- an ad hoc basis in a manner that supports the Council, or what is meant by the word cate that a resolution of the General Assem- wider diversity. “recommendation”. bly could recommend a new practice to the • Those who reject any principle of rotation The UN Preparatory Commission, in its Council, but not seek to decide the matter. and support the freedom to champion the report PC/20 of 23 December 1945 gave One practical issue of which many delega- best candidate from whatever region. consideration to the practical implementa- tions are conscious is that if multiple names Notwithstanding the principle of gender tion of the appointment provision in Article are included in the recommendation, there equality, in the history of the Secretary-Gen- 97. The Commission decided to recommend is a risk that a new Secretary-General could eral selection process there appears to have that: be appointed after a closely fought election been only three formal nominations of female It would be desirable for the Security campaign in the General Assembly by a slim candidates. The first time a female candi- Council to proffer one candidate only for majority, and then have to work with a pola- date was nominated was in 1953. Follow- the consideration of the General Assembly… rised organisation, many of whose members ing Trygve Lie’s announcement that he was The use of the words “it would be desir- had voted against him or her. resigning from the post of Secretary-General, able” suggests fairly conclusively that the On the other hand, others point out the Soviet Union nominated Vijay Lakshmi Commission was not convinced that the that most of the past Secretaries-General Pandit, an Indian diplomat who went on to Charter required the proffering of a single have had to deal with situations in which become the first female president of the Gen- candidate. the Council has been polarised even to the eral Assembly, later that year. Thirty-eight The terms of General Assembly resolution point of prolonged exercise of the veto or years later, in 1991, Gro Harlem Brundtland, 11(I) of 24 January 1946 do not take the issue the “red straw ballot” by permanent mem- who was Prime Minister of Norway, was add- any further. The resolution simply provided bers, including the repeated “veto” of Kofi ed to the list of candidates during one of the that the conclusions of the Preparatory Com- Annan in 1996 by one permanent member. straw polls conducted in the search for Javier mission be “noted and approved”. And although the straw ballots are nominally

6 whatsinblue.org Security Council Report Research Report October 2015 Part I: History of the Process and Procedure (con’t) secret the origin of the votes is well known. the Secretary-General and, as a result, would (para 15) Yet despite this he (and his predecessors who not be elected, appointed or confirmed by the • Skills to lead a team recruited from many had to deal with similar and even more pola- General Assembly. different countries and build the necessary rised situations) managed to quickly develop A further report from the Secretary-Gen- team spirit. (para 15) effective working relationships with all of the eral on 7 October 1997 (A/51/950/Add.1), • Moral authority to model the independent permanent members. explained the job description: role required by Article 100 of the Char- A second practical point raised by some • Assisting in leading and managing the ter. (para 15) delegations is that if multiple candidates are operations of the Secretariat. • Ability to play a role as a mediator. (para recommended, the level of confidence which • Acting for the Secretary-General during 16) is thought desirable between the Secretary- his absences from headquarters. • Capacity to act as an informal adviser—or General and the P5 would be diminished. On • Ensuring inter-sectoral and inter-institu- confidant—to many governments. (para the other hand, others point out that the pro- tional coherence of activities that cross 16) and (para 19) cess whereby the Council must affirmatively functional sectors. • The highest qualities of political judgment, recommend the candidates, thus allowing the • Assisting with public awareness and con- tact and integrity, because of the need at application of the veto to each name, means tact with member states. times “…to take decisions which may just- that all of the P5 can satisfy their need to • Representing the Secretary-General at ly be called political”, not only because ensure that each of the candidates they rec- conferences and functions. of the political role that is expected, but ommend for consideration by the General • Overseeing UN reform. also because of the power “to bring to the Assembly is one that they can live with. • Harmonising the work of the UN on the attention of the Security Council any mat- economic and social side with its work in ter (not merely any dispute or situation) The Deputy Secretary-General and the field of peace and security. which in his opinion may threaten interna- other Senior Appointments • Helping the Secretary-General elevate the tional peace and security.”(para 16) The proposal for a Deputy Secretary-Gener- leadership of the UN as a leading centre • Communications and representation al position emerged in the discussions in the for development policy and development skills to represent the United Nations to High-Level Working Group in 1996 and 1997. assistance. the public at large and secure the “active It had very strong support, but there was no On 19 December 1997, the General and steadfast support of the peoples of agreement when the report of the Working Assembly established the post of Deputy Sec- the world” without which “the United Group was finalised in mid-1997, mainly due retary-General (A/RES/52/12B) as proposed Nations cannot prosper nor its aims be to disagreement over whether there should be by the Secretary-General. realised.” (para 17) a single deputy or more than one. • Overall qualities which demonstrate to the The issue was promptly resolved by Kofi Criteria and Qualifications for world at large that personally the candi- Annan a few months later. Some bold pro- Appointment date “embodies the principles and ideals posals for reform were set out in his report Criteria and qualifications for appointment of the Charter to which the Organisation “Renewing the United Nations: A Pro- of the Secretary-General were discussed at seeks to give effect.” (para 17) gramme for Reform” (A/51/950) of 14 July some length in 1945 and are set out in the It is interesting to note from the list above 1997, including the appointment of a single report by the United Nations Preparatory just how far-sighted member states were in Deputy Secretary-General. Commission, PC/20, of 23 December 1945, 1945 about the full range of skills which they The proposal was for the Deputy Secre- in section 2B. expected to see associated with the role of tary-General to be a staff member, appointed The Preparatory Commission identified the Secretary-General. The 1945 job descrip- by the Secretary-General, for a period not to the following qualities that would be required tion in effect mandates a very wide ranging exceed his own term of office. Remuneration for appointment of a Secretary-General: political and representational role for the was to be set at the midpoint between the • Administrative and executive qualities to Secretary-General—way beyond the narrow Secretary-General and the next most senior integrate the activity of the whole complex confines of a pure administrator. position in the system. The position was to of United Nations organs. (para 12) There was little further discussion of the be established on the basis that the Deputy • Leadership qualities to determine the criteria and qualifications for the Secretary- would derive authority by delegation from character and efficiency of the Secretariat. General until 2006.

Security Council Report Research Report October 2015 securitycouncilreport.org 7 Part II: Highlights of the 2006 Process

It may be useful as the process for the next was held on 18 April. At the meeting the did lead to a statement of the criteria for Secretary-General gets underway to highlight following points were canvassed, on behalf Secretary-General in General Assembly res- key steps of the 2006 process. of the Council, by its president that month, olution 60/286 of 8 September 2006. The On 30 January 2006, the P5 met to dis- Ambassador Wang Guangya (China): resolution “emphasises the importance of cuss the issue of the Secretary-General selec- • Preliminary agreement had been reached candidates for the post of Secretary-General tion. In February, the US as president of the to start the process in June/July with a view possessing and displaying, inter alia, com- Council began consultations with the elect- to completing the selection by September/ mitment to the purposes and principles of ed members on this issue, and at the end of October. the Charter of the United Nations, extensive that month Council members had their first • Agreement had been reached on further leadership, and administrative and diplomat- discussion. In March, under the presidency increasing transparency and interactions ic experience”. of Argentina, and again in April, under the with the General Assembly, but the Coun- Other developments included a formal presidency of China, the Security Council cil would continue to recommend only position adopted by the Non-Aligned Move- discussed the possibility of some wider role one candidate. ment (NAM) that the next Secretary-General in the selection process for member states not • Measures which the Council may consider should be selected from the Asian region. This represented on the Council. China, Argen- could include ongoing informal briefing was communicated to the Security Council in tina, Japan, France and the UK all made pub- meetings between the two presidents. a letter from the Chair of the NAM Coordi- lic statements during this period expressing • Candidates may be encouraged to pres- nating Bureau, Malaysia (S/2006/252). Asian openness to some review of the process. It ent to regional groups and/or to informal countries were firmly of the view, based on seems that while there was wide support for external events. their position that there is an applicable prin- the need for the Council to show greater President of the General Assembly Jan ciple of rotation, that it was now Asia’s “turn” openness, some P5 members, in particular Eliasson briefed the co-chairs of the Ad-Hoc for a Secretary-General. Russia and the US, were more cautious than Working Group and subsequently circulated In May, NAM delegations in New York others. Eventually, Council members agreed informally a note of his conversation with the met to discuss the Indian approach. Elements that the president of the Council should meet president of the Security Council to member of a draft resolution were prepared. The most with the president of the General Assembly to states. significant element envisaged was a proposed discuss the issue. On 19 April, a meeting of the General operative paragraph which would decide that Meanwhile, in February 2006, the Cana- Assembly’s Ad Hoc Working Group on Revi- the Security Council “...will proffer two or dian delegation circulated an informal talization of the work of the General Assem- more well qualified candidates for the consid- paper calling for the General Assembly to bly was convened. The co-chairs relayed to eration of the General Assembly…” revisit the appointment process. The paper the members an oral account of the 18 April Many observers had suggested that there called attention to the lack of transparency meeting between the two presidents. The is a case for repealing resolution 11(I) and and inclusiveness of the selection process Working Group meeting itself was relatively starting again. Most of the resolution is now and raised the question of a possible role for low key. Interventions were for the most part redundant and every paragraph has key pro- the wider membership of the UN, including cautious. However, a number of important visions that are obsolete: some actual participation in the selection opinion leaders, such as Canada and India, • para 1 assumes the SG will be a “man”; process prior to receiving the Security Coun- spoke forcefully of the need for real change • para 2 sets a salary that has long since cil recommendation. in 2006. India suggested repealing the 1946 been overtaken by other decisions; In particular, the Canadian paper General Assembly resolution 11(I) which • resolution 51/241 mandates a review of proposed: requested that only one name be recommend- para 3 before the appointment of Kofi • The selection should be “anchored in ed by the Security Council. India proposed Annan’s successor, which should have agreed criteria/qualifications”. instead adopting a decision that three names taken place in 2006; • A search committee should be asked to should be recommended, thereby leaving the • para 4 no longer reflects the Charter in identify potential candidates. final choice to the General Assembly. terms of the required majority to take deci- • There should be opportunities for can- It seems that the Working Group discus- sions in the Council (due to the amend- didates to meet with all members of the sion left many delegations with a growing ment of the Charter adopted in 1963); General Assembly—perhaps through sense, after the debate, that much more was • the practice of the General Assembly regional group meetings. required than had been suggested by the regarding its meetings on appointments • The presidents of the General Assembly Security Council. However, there was rela- has evolved, they are now open; and and the Security Council should orga- tively little attempt by other delegations at that • the references to procedure are unneces- nise some informal events, under their meeting to develop the practical implications sary since the Provisional Rules of Proce- joint auspices, to permit an “exploration of either the Canadian proposals, or of the dure of the Council now exist. (They did of the perspectives and positions of the 1997 decisions of the General Assembly on not exist when 11(I) was adopted.) candidates”. the appointment process in resolution 51/241. Eventually, however, NAM members did The first substantive meeting between the However, the raising of the issue of agreed not push for a vote on the matter in the Gen- Council and General Assembly presidents criteria/qualifications in the Canadian paper eral Assembly.

8 whatsinblue.org Security Council Report Research Report October 2015 Part II: Highlights of the 2006 Process (con’t)

The issues raised by the draft resolution, Assembly informed through its president; representative concerned will also be given and the prospect of it being voted through the • noted that member states may present the highest and lowest scores received by a General Assembly by the 116 NAM mem- candidates at any stage of the process; but candidate without attributing these to any bers, led to a number of private discussions • stated that in early July the Council would individual candidate. amongst Council members, including discus- “…start the process of consideration of The Security Council agreed informal- sion at meetings of the P5. While there was a candidacies…”. ly that prior to actually considering names, range of views within the P5 regarding their The president of the General Assembly France, the president for July, should circu- respective willingness to accord a greater role was notified of the start of the selection pro- late a paper setting out the way the process for the General Assembly and greater trans- cess by the president of the Security Coun- would work. This was essentially a descrip- parency, a firm position apparently shared by cil, Ambassador Jean-Marc de La Sablière tion of past practice which was produced as a all five was that the General Assembly cannot (France), orally on 2 July 2006. The General “guideline” for the process in 2006. dictate to the Security Council whether it rec- Assembly president then circulated a letter on On 25 July 2006, the first straw poll ommends one or more candidates. 6 July to all member states with a memo of his was held for four candidates: Ban Ki-moon The elected members of the Council, meeting with the Council president. Accord- (Republic of Korea), Jayantha Dhanapala (Sri while generally open to finding more effective ing to the memo, the Council president con- Lanka), Surakiart Sathirathai (Thailand) and options for wider involvement of the Gener- firmed that the Council had decided to start Shashi Tharoor (India). The second straw al Assembly, seemed in many cases to agree the process by conducting straw-polling in poll was on 14 September, by which time with the P5 on this specific point. the second half of July. He noted that straw Zeid Ra’ad Zeid Al-Hussein (Jordan) had It was not surprising, therefore, that at the polls are not formal votes and are only indica- entered the race. The third straw poll, adding end of May the Council developed the text tive, but have been helpful in the past to facil- Ashraf Ghani (Afghanistan) and Vaira Vīķe- of a draft letter which was agreed on 1 June itate agreement between Council members Freiberga (Latvia) as candidates was con- 2006 and transmitted on 2 June 2006 to the and allow candidates to assess the support ducted on 28 September 2006. Throughout, president of the General Assembly. they enjoy. Ban was leading the candidates in “encour- The letter carefully signalled on the one It also set out the following guidelines for age” votes (12 in the first round, 14 in the hand a willingness to pursue cooperation— the straw ballot: second and 13 in the third), but also con- within certain parameters—but also, on the • The straw polls will permit Council mem- sistently had one discourage in each round. other hand, it demonstrated a degree of firm- bers to encourage or discourage candi- On 2 October, a differentiated straw poll ness and Council unity. The letter: dates and also to express no opinion. was held and Ban got 14 “encourage” and • underlined the fact that the Charter • The number of “encouragements/dis- 1 “no opinion” (i.e., there would be no veto). assigned different roles to the Council and couragements” or “no opinion” expressed Finally, on 9 October the formal vote on a the General Assembly on the question of received by candidates will be communi- resolution recommending Ban as the next the selection of the Secretary-General; cated to the candidate as well as to the per- Secretary-General was held. • confirmed a desire to work closely with the manent representative of the state present- General Assembly in the spirit of transpar- ing that candidate. ency and dialogue, keeping the General • The candidate and the permanent

Part III: Developments Since 2006

Since the last contested election in 2006, and the 2010 Delphi Symposium. Joint Investigation Unit Evaluation there has been debate at various times among There has also been much discussion and In 2009, as part of the agenda on Strength- member states on the process by which the criticism by civil society that the selection pro- ening of the United Nations System, the JIU Secretary-General is selected. In recent years cess lacks transparency and needs updating as evaluated the legal and institutional frame- this has taken place largely through the Ad it is out of touch with best practices in high- work and practices in the selection of the Hoc Working Group on Revitalization of the level public sector appointments in most coun- Secretary-General and other executive heads work of the General Assembly. tries and other international organisations. in the UN system. The report, transmitted in Two significant endeavours since the 2006 In this section we cover the suggestions A/65/71 on 8 April 2010, examines conditions Secretary-General selection process were the emerging from the JIU evaluation and 2010 of service with the objective of establishing 2009 evaluation of the selection of the Sec- Delphi Symposium, current civil society pro- harmonised selection criteria and ensuring the retary-General and other executive heads in posals and the latest developments in the highest quality leadership and management at the UN system conducted by the Joint Inves- General Assembly. the executive levels. The report contains rec- tigation Unit (JIU) as part of the agenda on ommendations based in part on the opinions Strengthening the United Nations System, expressed by member states on the selection

Security Council Report Research Report October 2015 securitycouncilreport.org 9 Part III: Developments Since 2006 (con’t) process and evaluates relevant and oft-debat- possibility of having a Secretary-General’s search for a new Secretary-General, and in an ed aspects of the process such as transparency, mandate expire before a replacement has been effort to select the most effective candidate, criteria for candidates and timing. appointed. Alternatively, others argued that the General Assembly might commission a The JIU evaluation found that there was clear timetables are not necessary as member small group to study the challenges likely to consensual understanding among member states are aware of the terms of office and that be faced in the near future. states that the selection of the Secretary-Gen- the flexibility of the selection process ought The participants of the Symposium eral is unique in comparison to other execu- not to be compromised unnecessarily by time- stressed that the selection process ought to tive appointments, given the leading role of line restrictions. However, the JIU inspectors be more transparent and that the General the P5 and their right to oppose any candi- recommended that “legislative bodies of the Assembly should be involved in a more active date. The majority of member states support- UN system organisations, which have not way and at a much earlier stage. It was sug- ed the call for increased transparency and for yet done so, should establish timetables for gested that, in the interest of respecting the the process to be made more inclusive of all the selection process of their executive heads independence and authority of the General members at an earlier phase. Many believed ending at least three months before the expir- Assembly, the Council should consider for- that the General Assembly, which represents ing date of the mandate of the incumbent, in warding more than one name to the General the whole UN membership, should be more order to ensure a smooth transition”. Assembly for its selection. involved in identifying candidates at an early Symposium participants generally agreed stage and ought to hold formal hearings or The Delphi Symposium that in order for the best candidates to emerge, meetings with candidates. The Delphi Symposium, organised in hon- a search and screening process was desirable, According to the JIU report, while many our of Javier Pérez de Cuéllar, the fifth Sec- such as establishing an international commit- member states strongly supported the call retary-General of the UN, was held in Delphi, tee of distinguished and experienced persons for increased transparency in the selection Greece on 27-30 May 2010. The Symposium set up by the Council to identify and interview process, other members believed that a more engaged 21 participants (including former candidates, or having the Council consult with transparent process may not necessarily lead foreign ministers, former ambassadors and representatives of regional groups. The group to a more credible one and may hamper UN secretariat officials) in discussions on generally felt that formal nominations should the decision-making process. These states strengthening the role of the Secretary-Gen- only be made by sovereign governments, and expressed the view that in practice most of eral and improving the process of selection. individual campaigns, even if supported by a the candidates aspiring for the position are At the Symposium, the qualities necessary government did not contribute to an effec- already known within the diplomatic com- in an effective Secretary-General were dis- tive selection process. It was also agreed that munity and as such, increased transparency cussed. Participants agreed that there was an more effort should be made to include women is not a major concern. urgent need to consider the role and quali- among candidates for consideration. Regarding qualities and qualifications, the ties of the Secretary-General in relation to The Delphi Symposium also addressed JIU evaluation noted that member states had the enormous challenges of the 21st century, the issue of the length of term in office of divergent views on the issue of criteria. Some and that the most important qualities in a the Secretary-General. There was wide sup- member states felt that the criteria outlined in Secretary-General included: port among the group for a single term of resolution 60/286 were too general, and that • integrity, independence, moral courage office, perhaps of seven years duration, “on if more detailed requirements were elaborat- and impartiality; the grounds that such an arrangement would ed it would contribute to a more transparent • capacity for moral and intellectual as well strengthen the position and independence of and effective process. Others felt that addi- as political leadership; the Secretary-General and give the incum- tional requirements could lead to the process • the sophisticated diplomatic skills essen- bent a clear run to achieve long term goals”. becoming too rigid and preferred to maintain tial for a mediator and crisis manager; the flexibility afforded by the current criteria. • capacity to manage the organisation effec- Accountability, Coherence and The report also found that many member tively and provide leadership to the wider Transparency (ACT) Group and Civil states supported the idea of holding hear- UN system; Society Groups ings with candidates in the General Assem- • strong problem-solving capacity and polit- In 2015, there has already been a groundswell bly to allow members to interact more closely ical instincts; and of attention and interest in the process to with prospective appointees, so long as this • charisma and contemporary media skills select the Secretary-General who will replace occurred in compliance with the roles of the of a global communicator. Ban Ki-moon. The selection process got off principal organs outlined in Articles 7, 27 The participants firmly agreed that a to an early and active start, partly due to the and 97 of the UN Charter. The report rec- strong and independent Secretary-General efforts of the 25 member states that are part ommended utilising such a forum. should be accepted and “even demanded”, of ACT, and to civil society groups includ- The JIU inspectors discovered that there and stated that in the past it has been clear ing 1 for 7 Billion, an alliance of NGOs, and were varying perspectives on the matter of that some member states have been reluctant The Elders, a group of global leaders working timelines among member states. Some felt about the appointment of a strong and inde- to promote peace and human rights. These that the adoption of clear timetables would pendent post-holder. groups have provided concrete suggestions be advisable as this would minimise the The group recommended that prior to the for improving the transparency and openness

10 whatsinblue.org Security Council Report Research Report October 2015 Part III: Developments Since 2006 (con’t) of the selection process, and through their a deadline or closing date for the nominations. the Council should be encouraged to present activities have raised awareness among mem- The 1 for 7 Billion campaign would like two or more candidates to the General Assem- ber states of the need for reform. candidates to provide a manifesto of their bly. Both issues are strongly opposed by per- The desire for a woman Secretary-Gen- policy priorities. Hearing from candidates manent members of the Council. eral after eight male Secretaries-General has is another priority for both, with ACT sug- Reference is likely to be made to how high- led to the formation of groups advocating gesting formal presentation of the candidates level appointment processes are conducted in this goal, including the “Campaign to Elect in the General Assembly, as well as Council other international organisations. ACT and a Woman Secretary-General” made up of hearings and Arria-formula meetings. The 1 the 1 for 7 Billion campaign have asked that women academics and civil society leaders, for 7 Billion campaign is advocating that the identification and appointment of the Secre- and the “Group of Friends in Favor of a General Assembly organise open sessions with tary-General be in line with best practices of Woman for Secretary-General of the United the candidates. Both groups also believe that it other international organisations. Nations” initiated by Colombia and made up is important to encourage female candidates. The Elders and the 1 for 7 Billion cam- of 48 member states (as of October 2015). Both ACT and 1 for 7 Billion have strong- paign have also focused on the need for can- All these groups are likely to intensify ly suggested the need for a timetable, with didates not to make promises to individual their activities as the selection process moves ACT asking for the selection process to be countries on senior appointments. The Elders towards the nominations phase. finalised preferably three months prior to the state that the Secretary-General “must not be ACT, 1 for 7 Billion and The Elders have assumption of the office. The issue of timing under pressure, either before or after being worked together to organise events on the is likely to be a difficult one in this selection appointed, to give posts in the Secretariat to selection of the Secretary-General. The first process, as some permanent members have people of any particular nationality in return such event was a panel discussion on 30 June indicated opposition to a rigid timetable and for political support, since this is clearly con- organised by ACT, where representatives from in particular to a closing date. trary to the spirit of the Charter.” The Elders and 1 for 7 Billion, as well as the With respect to geographical distribu- Another issue where there is likely to be UK permanent representative, presented their tion, ACT proposes that due regard be given increasing interest as the selection process views on different aspects of the selection pro- to equal and fair geographical distribution gets underway is the Deputy Secretary-Gen- cess. On 26 September, ACT and The Elders through rotation, while The Elders and 1 for eral position. The term of appointment of the co-hosted a high-level discussion among a 7 Billion argue that the best person should Deputy Secretary-General is linked to that panel comprising the President of Costa Rica, be chosen irrespective of his or her country of the Secretary-General. This established Luis Guillermo Solís-Rivera, Estonia’s Min- of origin. The Group of Eastern European linkage between the two posts raises inter- ister for Foreign Affairs, Marina Kaljurand, (EEG) states are of the view that there is an esting issues about the nature of the “top Finland’s Permanent Representative to the applicable principle of rotation, and that it is team.” The independence of the Secretary- UN, Kai Sauer, together with two of The now Eastern Europe’s turn for a Secretary- General with respect to the appointment is Elders, former Prime Minister of Norway Gro General. The Chair of the EEG states wrote clearly established. However, that does not Harlem Brundtland and former President of to UN member states in November 2014, preclude the possibility that some aspirants Mexico Ernesto Zedillo. The panel, as well as reiterating the EEG’s interest in holding the for the post of Secretary-General, wishing to member states and civil society representatives, position of the next Secretary-General, and enhance the attractiveness of their candidacy, focused on the implementation of the recent recalling that Eastern Europe is the only may find it useful to present—at least behind resolution and on ways of improving the pro- regional group that has not had a Secretary- the scenes—not only their own candidacy cess. Among the topics covered were the Secre- General. This issue is likely to be widely dis- but also that of a “running mate.” Clearly tary-General’s term of office, the need to hear cussed once the candidates are announced. such a “package” approach would increase from the candidates and the qualities needed Two of the most controversial issues for the ways in which a balance of skills, rotation in the next Secretary-General. this selection process are expected to be the and gender could be achieved. But this pos- ACT, The Elders and the 1 for 7 Billion proposals for a single term of office and for sibility may further increase interest in greater campaign have all focused on issues that multiple candidates to be recommended by transparency of process. would bring greater transparency and inclu- the Council to the General Assembly. Both the Related to this is the proposal for a second siveness to the selection process. Regarding 1 for 7 Billion campaign and The Elders argue Deputy Secretary-General. The High-Level the nomination process, ACT has pressed for that the term of office should be limited to a Panel on Threats, Challenges and Change in a joint letter by the presidents of the General single, non-renewable period of seven years— 2004 proposed establishing a second Depu- Assembly and the Council inviting UN mem- according to The Elders, this is “in order to ty Secretary-General in charge of peace and ber states to present nominations, particularly strengthen his or her independence and avoid security activities. However, there was oppo- female candidates. The 1 for 7 Billion cam- the perception that he or she is guided by sition to this idea, particularly from countries paign is asking for the position and qualifi- electoral concerns.” Without taking a position, of the South. More recently, the High-Level cations to be advertised in all countries with ACT has suggested that there is merit in dis- Panel on Peace Operations made the same proposed candidacies coming from member cussing the term of office. On the issue of mul- proposal in its report to the Secretary-Gen- states, but also from parliaments and civil soci- tiple candidates, ACT is silent, while the 1 for 7 eral. It was not, however, referred to in the ety organisations. Both groups have advocated Billion campaign and The Elders suggest that Secretary-General’s report which outlined his

Security Council Report Research Report October 2015 securitycouncilreport.org 11 Part III: Developments Since 2006 (con’t) priorities in taking forward the panel’s rec- flexible. It also argued for inclusion of the • “equal and fair distribution based on gen- ommendations between now and 2016, and idea that not taking part in these informal der and geographical balance” to be taken is generally regarded as an issue for the next dialogues would not be prejudicial to can- into consideration, and member states to Secretary-General. There appears to be con- didates who chose not to participate, so as consider presenting women as candidates; cerns about whether this would create anoth- to show that the dialogues are not an official and er level of bureaucracy in the UN. This issue part of the selection process. • the need for a Secretary-General, besides may be debated in the coming months as the On the criteria for a Secretary-General, displaying a firm commitment to the pur- selection process gets going. Russia and the US felt it was too prescriptive poses and principles of the UN, to embody to present a very specific list of characteris- “the highest standards of efficiency, com- Recent General Assembly tics expected in a future Secretary-General. petence and integrity”. Developments Other issues that required some negotiation For the first time in a General Assem- Many of the themes contained in proposals related to language on female candidates and bly resolution, joint activity by the General over the years by the General Assembly, as the timeframe for the selection process. Some Assembly and Security Council and a deci- well as more recently by ACT and civil soci- members wanted stronger language on gender sion for the General Assembly to hear from ety, featured in this year’s discussions of the equality. Some, including Russia and the US, candidates is clearly spelled out. It should Ad Hoc Working Group on the Revitalization were clearly opposed to a rigid timeline that also be noted that for the first time since res- of the work of the General Assembly. could prevent candidates entering at the late olution 60/286 of 2006, a General Assembly Members expressed their views publicly stages. Agreement was eventually reached on resolution elaborated on the qualities expect- on this issue on 27 April, when the Ad Hoc having candidates presented in a timely man- ed in a Secretary-General. Working Group held a thematic debate on the ner, although there is no reference to a specific Two areas that were not explicitly selection and appointment of the Secretary- timetable, and encouraging member states to addressed in the final draft were multiple can- General. Thirty-three delegations spoke, with present female candidates for the position. didates and a single term of office. The NAM many calling for specific improvements in the Resolution 69/321 on the revitalisation group pushed for language on multiple candi- process, particularly in relation to strengthen- of the General Assembly, which includes dates but this was opposed by Russia and the ing the General Assembly’s role and, there- significant language on the selection of the US. Regarding the Secretary-General’s term by, enhancing transparency. Areas that were Secretary-General, was thus adopted on 11 of office, there was an attempt by Costa Rica covered include regional rotation and gen- September. The resolution includes new and Liechtenstein to include language that der equality, establishing a clear timetable language on themes which had been raised would limit the Secretary-General’s term to a and open exchanges with candidates includ- over the years in relation to this issue. ACT “single, non-renewable period of seven years”. ing through the timely holding of informal members worked together during the negoti- This was, however, opposed by a number of meetings of the General Assembly, interac- ations on resolution 69/321 and were success- member states. tive dialogues, or a Security Council process ful in getting inclusion of a number of their However, resolution 69/321: open to member states. Multiple candidates key demands in the final text. Some NAM 44. Affirms its readiness to continue dis- and a single term of office were also raised members who had strong views on a num- cussing all issues relating to the selection by some members, while others emphasised ber of issues, including multiple candidates, and appointment of the Secretary-General the importance of early deadlines and a list raised the possibility of putting the resolu- in all their aspects within the Ad-hoc Work- of candidates. tion to a vote, but it was eventually adopted ing Group on Revitalization of the work Of the permanent members, only the UK by consensus. of the General Assembly during its 70th spoke positively about the reform of the Sec- The resolution includes: session, including those contained in the retary-General selection process, suggesting • a call for the Security Council and General Report of the Ad-hoc Working Group on a clear “structure”, including a deadline for Assembly presidents to start the process Revitalization of the work of the General candidate declarations and a timetable for the through a joint letter describing the selec- Assembly in document A/69/1007. appointment. Russia and the US made state- tion process and inviting candidates to be The report of the Ad Hoc Working Group ments in favour of the status quo using the presented in a timely manner; notes that during the thematic debate on the Charter to underline the Council’s primary • a request for the two presidents to jointly selection of the Secretary-General, “some responsibility in choosing the Secretary-Gen- circulate information on candidates on an speakers were in favour of reviewing reso- eral. China was similarly in favour of not mak- ongoing basis; lution 11 (I) in relation to proffering only ing any changes to past procedure. France did • selection criteria for candidates that one candidate...” and that “some members not express strong views at this stage. include “proven leadership and manage- raised the issue of a single term...” .Thus Negotiations on a draft resolution led by rial abilities, extensive experience in inter- the president of the General Assembly has the co-chairs of the Ad Hoc Working Group, national relations, and strong diplomatic, a clear mandate to take up issues that were Croatia and Namibia, began in June, and communication and multilingual skills”; not resolved by the time of the adoption of revealed clear divisions on a number of key • a decision that the General Assembly the resolution. issues. The US was keen to keep the language would conduct informal dialogues or on the format for interaction with candidates meetings with candidates;

12 whatsinblue.org Security Council Report Research Report October 2015 Part IV: Council Activity in 2015

Discussion on the selection process for the this process. Venezuela suggested that the of the Council that will decide on the next Sec- next Secretary-General has started in the official presentation of candidates should be retary-General is in place. Both Russia and the Council earlier than at any other time in the done early enough to “ensure better interac- US are opposed to a rigid timeline as they do history of the appointment. tion between the Security Council and the not want to close off the possibility of candi- During the 30 June public wrap-up ses- General Assembly.” Russia, on the other hand, dates coming in at a later stage. sion on the Council’s activities for June the made clear that it felt it was too early to start The UK explains its position through three Secretary-General selection process was this discussion, and that any proposals for principles: equality, clarity and transparency. raised by several members. On 1 June, ACT greater participation by member states in the It would like to see a wide field that includes had sent a letter to the president of the Coun- process required careful study. women so that the best possible candidate cil, as well as to the president of the General Council members had their first informal can be chosen, a clear indicative timetable for Assembly, with the group’s proposals, includ- discussion on the process for selecting the clarity and increased interaction with leading ing that the process should be initiated by a next Secretary-General during the presidency candidates as a way of increasing transpar- joint letter from the two presidents. Malay- of New Zealand on 22 July under “any other ency. The UK has also said that it plans to sia, as president of the Council for June, had business”. This meeting provided an oppor- hold an Arria-formula meeting next year with circulated a concept note for the wrap-up tunity for Council members to express initial the candidates. France has indicated open- session which included the selection of the views on this issue in a closed setting. ness to a more transparent process but has Secretary-General among the topics that These meetings, together with posi- not made concrete proposals for improving members might want to focus on. In their tions taken during the negotiations and transparency. China, too, has been relatively statements, Chile, Spain, the UK and Ven- open debate on revitalisation of the work low key in its views. ezuela supported a transparent and inclusive of the General Assembly earlier in the year, The P5 are likely to be united in their process for the next selection. Spain addition- provide an indication of current positions resistance to recommending multiple candi- ally spoke about the possible establishment of Council members. Many of the elected dates to the General Assembly and to the idea of a list of candidates and the presentation members are in favour of a more transpar- of a single, non-renewable term. It is unclear of candidates “in sufficient time to allow for ent process, with ACT members like Chile at this stage how much the idea of the best interaction with member states”. The UK and New Zealand, as well as Venezuela candidate for the job versus considerations said that the broadest selection of candi- being particularly supportive. of geographic rotation and gender is going dates should be encouraged and was open The P5 are divided on a number of issues. to be a divisive factor among the P5. Russia to the process being widened so that mem- Russia does not see the need to move away has shown support for the idea that it is East- ber states and civil society could assess the from how things have been done in the past. It ern Europe’s turn, while others, like the UK, candidates’ credentials, while stressing that also argues that it would be better to start this have argued for the best candidate for the job, it is the Council that should take the lead in discussion next year when the full membership regardless of region or gender.

UN Documents

SECURITY COUNCIL RECOMMENDATIONS AND S/RES/400 (7 December 1976) recommends the Eighth Year, 617th Meeting (31 March 1953). RESOLUTIONS reappointment of Kurt Waldheim. Letter recommending appointment of Trygve Lie: S/RES/1987 (17 June 2011) recommends the reap- S/RES/306 (21 December 1971) recommends the Official Records of the Security Council, First Year, pointment of Ban Ki-moon. appointment of Kurt Waldheim. First Series, no. 1 page 44 (30 January 1946). S/RES/1715 (9 October 2006) recommends the S/RES/229 (2 December 1966) recommends the GENERAL ASSEMBLY RESOLUTIONS appointment of Ban Ki-moon. reappointment of U Thant. A/RES/69/321 (11 September 2015) on the revitalisa- S/RES/1358 (27 June 2001) recommends the reap- S/RES/227 (28 October 1966) recommends tempo- tion of the work of the General Assembly included pointment of Kofi Annan. rary rollover of the appointment of U Thant. decisions on the selection of the Secretary-General. S/RES/1091 (13 December 1996) acknowledges Security Council Official Records, Seventeenth Year, A/RES/65/282 (21 June 2011) renews the appoint- Boutros Boutros-Ghali’s contributions. 1026th Meeting (30 November 1962) recommends ment of Ban Ki-moon. the appointment of U Thant. S/RES/1090 (13 December 1996) recommends the A/RES/61/3 (31 October 2006) appoints Ban appointment of Kofi Annan. S/RES/168 (3 November 1961) recommends the Ki-moon. appointment of U Thant as acting Secretary-General. S/RES/720 (21 November 1991) recommends the A/RES/60/260 (8 May 2006) is on management appointment of Boutros Boutros-Ghali. Letter recommending renewal of appointment of reforms. Dag Hammarskjöld: Official Records of the Security S/RES/589 (10 October 1986) recommends the A/RES/60/286 (8 September 2006) includes deci- Council, Twelfth Year, 792nd Meeting (26 September reappointment of Javier Pérez de Cuéllar. sions on revisions to the process for appointing the 1957). Secretary-General. S/RES/494 (11 December 1981) recommends the Letter recommending appointment of Dag Ham- appointment of Javier Pérez de Cuéllar. A/RES/55/277 (6 July 2001) renews the appointment marskjöld: Official Records of the Security Council, of Kofi Annan.

Security Council Report Research Report October 2015 securitycouncilreport.org 13 UN Documents (con’t)

A/RES/52/12B (19 December 1997) establishes the SECURITY COUNCIL MEETING RECORDS Hammarskjold being appointed Secretary-General. post of Deputy Secretary-General. S/PV.7479 (30 June 2015) is the record of the wrap- SECRETARY-GENERAL’S REPORTS A/RES/51/241 (31 July 1997) adopted decisions on up session of the Council activities in June. A/51/950 (14 July 1997) is the report of the Secre- strengthening the UN system. S/PV.6556 (17 June 2011) is the communiqué of the tary-General Renewing the United Nations: a Pro- A/RES/51/200 (17 December 1996) appoints Kofi meeting where the Council decided to recommend gramme for Reform proposing the post of Deputy Annan. the appointment of Ban Ki-moon to a second term Secretary-General. as Secretary-General. A/RES/49/252 (23 September 1994) establishes A/51/950/Add.1 (7 October 1997) is the report the Working Group on the Strengthening of the UN S/PV.5547 (9 October 2006) is the communiqué of explaining the job description for the Deputy System. the meeting where the Council recommended Ban Secretary-General. Ki-moon be appointed as Secretary-General. A/RES/46/21 (3 December 1991) appoints Boutros OTHER Boutros-Ghali. S/PV.4337 (27 June 2001) is the communiqué of the A/69/PV.103 (11 September 2015) is the record of meeting where the Council recommended the reap- A/Res/41/1 (10 October 1986) renews appointment of the meeting where resolution A/RES/59/321 was pointment of Kofi Annan. Javier Pérez de Cuéllar. adopted. S/PV.3725 (13 December 1996) is the communiqué A/RES/36/137 (15 December 1981) appoints Javier A/69/1007 (3 September 2015) is the report of the of the meeting where the Council recommended Pérez de Cuéllar. Ad Hoc Working Group on the Revitalization of the Kofi Annan be appointed as Secretary-General work of the General Assembly. 31/60 (8 December 1976) renews appointment of and adopted a resolution acknowledging Boutros Kurt Waldheim. Boutros-Ghali’s contributions. A/65/71 (8 April 2010) is the letter transmitting the report of the Joint Inspection Unit entitled “Selection 2903 (XXVI) (22 December 1971) appoints Kurt S/PV.1026 (30 November 1962) is the communiqué and conditions of service of Executive Heads in the Waldheim. of the meeting where the Council recommended the United Nations system organizations”. appointment of U Thant. 2161 (XXI) (2 December 1966) renews appointment 6 July 2006 letter from the president of the General of U Thant. S/PV.612 (11 March 1953) is the communiqué on Assembly to member states on his meeting with the the private meeting on the recommendation for the 2147 (XXI) (1 November 1966) briefly extends appoint- President of the Security Council. appointment of the Secretary-General which con- ment of U Thant. tains the names of several candidates. 2 June 2006 letter from the president of the General 1771 (XVII) (30 November 1962) appoints U Thant. Assembly to member states attaching letter from the S/PV.613 (13 March 1953) is the communiqué of the President of the Security Council on the Secretary- 1640 (XVI) (3 November 1961) appoints U Thant as private meeting on the recommendation of the Sec- General selection process. Acting Secretary-General. retary-General containing information on candidates and voting, including that there was a negative vote S/2006/252 (20 April 2006) is the letter from Malay- 1229 (XII) (14 December 1957) renews appointment by a permanent member. sia, Chair of the NAM Coordinating Bureau, to the of Dag Hammarskjöld. Security Council, communicating NAM’s formal posi- S/PV.614 (19 March 1953) is the communiqué of the 709 (VII) (7 April 1953) appoints Dag Hammarskjöld. tion that the next Secretary-General should be from private meeting where the Soviet Union proposed Asia. 492 (V) (1 November 1950) extends appointment of that the Council should recommend the appointment Trygve Lie for three years, without a Security Council of V.L. Pandit. A/50/24 (23 July 1996) is the report of the Open- recommendation. ended High Level Working Group on the Strengthen- The 617 meeting of the Security Council (31 March ing of the UN System. 64 (II) (1 February 1946) appoints Trygve Lie. 1953) is the communiqué of the private meeting on the recommendation of the Secretary-General PC/20 (23 December 1945) is the report of the UN 11 (I) (24 January 1946) establishes terms and pro- containing the results of the vote which led to Dag Preparatory Commission. cess for appointment.

Useful Additional Resources

The Procedure of the UN Security Council, Lor- Selecting the Next UN Secretary-General, A UNA- WEBSITES raine Sievers and Sam Daws, Fourth Edition, USA Report, May 2006, New York 1 for 7 Billion, http://www.1for7billion.org (Oxford:Oxford University Press, 2014) and its update The Horseshoe Table, An Inside View of the UN Secu- website www.scprocedure.org The Elders, http://theelders.org rity Council, Chinmaya R Gharekhan (Pearson Educa- Secretary or General, The UN Secretary-General in tion), 2006 Campaign to Elect a Woman Secretary-General, World Politics, Simon Chesterman (Ed), Cambridge http://www.womansg.org Surrender is Not an Option: Defending America at University Press, 2007 the United Nations, John Bolton, (Simon and Shus- ter), 2007

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