Audit of Human resources management for peacekeeping … · 2010-04-15 · oFFrcE oF TNTERNAL...

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Transcript of Audit of Human resources management for peacekeeping … · 2010-04-15 · oFFrcE oF TNTERNAL...

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TNTERNAL AUDIT DIVISTON

AUDIT REPORT

Human fesources management forpeacekeeping operatlons: recrultment,plaeement and retention of staff

Gomprehensive human resources strategy isneeded to meet the increasing staflingrequirements and reduce the hlgh vacancy ratesin peacekeeplng missions

{0 June 2009Asslgnment No. AP2OO8/6{5/02

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United Nations @ rurtions UniesI N T E R O F F I C E M E M O R A N D U M M E M O R A N D U M I N T E R I E U R

o F F r c E o F T N T E R N A L o v E R S t G H T s E R V r c E s B U R E A U o E s s E R v t c E S D E c o N T R o L E I N T E R N E

I N T E R N A L A U D T T O I V I S I O N D I V I S I O N D E L ' A U O I T I N T E R N E

ro, Ms. Susana Malcorra, Under-Secretary-Generale, for Field Support

oere, l0 June 2009

REFERENCE: lADt 09'Q7- 56"

rnou, Fatoumata Ndiaye, Acting Directorpe, Intemal Audit Division, OIOS

su BJEcr: Assignment No. AE!008/615/02 - Human resources management for peacekeeping operations:oBrEr: recruitment, placement and retention ofstaff

l. I am pleased to present the report on the above-mentioned audit.

2. In order for us to close the recommendations, we request that you provide us withthe additional information as discussed in the text of the report and also summarized inAnnex 1.

3. Please note that OIOS will report on the progress made to implement itsrecommendations, particularly those designated as high risk (i.e., recommendations l, 2,

.4 and 5) in its annual report to the General Assembly and semi-annual report to theSecretary-General.

Ms. Donna-Marie Maxfield, Chief of Staff, DPKOMr. Paul Johnson, OIlicer-in-Charge, Field Personnel Division, DFSMr. Swatantra Goclsarran, Executive Secretary, UN Board of AuditorsMs. Maria Gomez Troncoso, Officer-in-Charge, Joint Inspection Unit Secr€tariatMr. Seth Adza, Chiel Audit Response Team, DFSMr. Moses Bamuwamye, Chief, Oversight Support Unit, Department of ManagementMr. Byung-Kun Min, Programme Officer, OIOSMs. Eleanor Bums, Chief, Peacekeeping Audit Service, OIOS

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Fom At]}l 3 (2 Imu.ry 2009)

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CoNTAcrINFoRMATToN

INTERNAL AUDIT DIVISION

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"The Ofice shall, in accordance with the relevant provisions of theFinancial Regulations and Rules ofthe United Nations examine,review and appraise the use offinancial resources of the UnitedNations in order to guarantee the implementation ofprogrammes andIegislative mandates, ascertain compliance of programme managercwith the fnancial and administrative regulations and rules, aswell os with the approved recommendations of external oversightbodies, undertake management audits, reviews and suneys toimprove the structure of the Organization and its responsivenessto the requirements of programmes and legislative mandates, andmonitor the effectiveness of the systems of internal control ofthe Organization" (General Assembly Resolution 48/218 B).

ACTING DTRECToR:Fatoumata Ndiaye: Tel: +l .212.963.5648, Fax: +l.212.963.3388,e-mail: [email protected]

CHIEF, PEACEKEEPING AUDIT Sf,RvIcf, :Eleanor Bums: Tel: +1.212.917 .367 .2792. Fu<: +1.212.963.3388,e-mail: [email protected]

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E]XEGUTIVE SUMMARYHuman resources management for peacekeeping

operations: recruitment, placement and retention of staff

OIOS conducted an audit of human resources management forpeackeeping operations focusing on the recruitment, placement and retention ofstaff. The overall objective of the audit was to assess the effectiveness of theDepartment of Field Support (DFS) resources management function atHeadquarters and in field missions in recruiting staff. The audit was conducted inaccordance with the Intemational Standards for the Professional Practice ofInternal Auditing.

lntemal controls in human resources management were generally inplace. However, there is a need for DFS to review its recruitment strategy inorder to recruit more extemal candidates to meet the increasing staffingrequirements and reduce the high vacancy rates in field missions. The mainfindings are as follows:

o As of June.2008, vacancies for all categories of staff hadexceeded the 20 per cent vacancy rate benchmark established for start-upmissions, and the vacancy rates were highest among intemationalprofessional staff and national professional o{ficers, at approximately 40per cent for each ofthese personnel categories due to the low number ofexternal candidates recruited to fill international posts. In 2007/200E, thenumber of extemal candidates decreased to 946 or 13 per cent, whichwas only enough to offset the number of staff separating frorn fieldmissions (952 staff) in the same period;

o Due to a high attrition rate, about 60 per cent of internationalstaff in the field had less than two years of United Nations workexperience;

. No assessment was done to determine the effectiveness of theuse ofTernporary Duty Assignments in supporting start-up missions;

. About 110 intemational posts in stable missions remained vacantfor more than two years (in some cases, up to five years) with norecruitment action taken;

r Of the over 250,000 applications received in the Galaxy systemin 2007 /2008, 146,048 or 58 per cent wei€ not reviewed by the FieldPersonnel Division of DFS; and

r There was a delay in implementing the Human Resources ActionPlans (HRAP) launched in July 2008 to monitor the achievement ofhuman resources targets in field missions. Agreements with fieldmissions on HRAP goals and performance indicators were not finalized,

TABLE OF GOHTENTS

Ghapter

I. INTRODUCTION

II. AUDIT OBJECTTVES

III, AUDIT SCOPE AND METHODOLOGY

IV. AUDIT FINDINGS AND RECOMMENDATIONS

A. Recruitment, placement and retention of staff in field missions

B. Intemal controls in human resources management

C. Implementation of previous audit recommendations

V. ACKNOWLEDGEMENT

ANNEX I - Status of Audit Recommendations

Paragraphs

1-5

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7 -8

9 -24

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I. II{TRODUGTION

1. The Office of Intemal Oversight Services (OIOS) conducted an audit ofhuman resources management for peacekeeping operations focusing on therecruitmen! placement and retention of staff. The audit was conducted inaccordance with the Intemational Standards for the Professional Practice ofInternal Auditing.

2- ln 2005, OIOS conducted an audit of human resources management(AP2005/600/18) as part of the comprehensive management audit of DPKO(N6017 17). A number of initiatives have since. been undertaken by tle Secretary-General, including the harmonization of conditions of service in peacekeepingmissions (N61/861), sta{fing of field missions (N611732), and the humanresources management reform (N62/7lAdd.l4). Also, at the request of theGeneral Assembly, the Intemational Civil Service Commission (ICSC) reviewedthe contractual arrangements and conditions of service for staff in field missions.lBased on the results of the ICSC review, the General Assembly on 24 December2008 adopted resolution 63/250 on human resources management with proposalsto streamline contractual arangements of staff in the United Nations, toharmonize conditions of service and to improve recruitment proc€sses.

3. The O{fice of Human Resources Management (OHRM), Department ofManagement (DM) is vested with the central authority to establish organization-wide policies and standards governing all human resources matters including therecruitment and placement of staff, staff administration, staff development,performance management, career support and conditions of service for staff.OHRM delegated human resources authority to the Field Personnel Division(FPD) of the Department of Field Support (DFS) for the recruitment andadm in istration of mission staff.

4. As of June 2008, FPD was responsible for the recruitment andadministration of staffin 18 peacekeeping missions, l5 political missions and theUnited Nations Logistics Base. As shown in Figure l, a total of 30,007 civilianstaff posts were authorized in financial year 2007/2008, representing an increaseof 10,000 posts in the last three years. In 2007 -and 2008, FPD fi.rrther delegatedsome human resources management authorities' to field missions to expedite therecruitment of staff.

Figure l: Annual statistics of authorized posts in peacekeeping missions

'N6ll30/Add.l' z July 2008 - delegation oftechnical clearance authority up to the D- I level; l9September 2008 - delegation of recruitment authority for National Professional Officen

Intemational Field Service staff

5. Comments made by DFS are shown in r7aftcs.

II. AUDIT OBJEGTIVES

6. The main objective of the audit was to assess the effectiveness of theDFS human resources management frrnction at Headquarters and in fieldmissions in recruiting mission staff. The audit focused on assessing the:

(a) Appropriateness of the human resources shategy for recruitingstaff in field missions and compliance with existing policies andprocedures;

(b) Adequacy and effectiveness of intemal controls on humanresources management, including the delegation of authority for certainhuman resources functions from OHRM to DFS and from DFS to fieldmissions; and

(c) Effectiveness of action taken to implement OIOS' previousrecommendations on human resources management.

III. AUDIT SCOPE AND METHODOLOGY

7. The audit reviewed DFS' human resources activities for the period fiom1 January 2006 to 31 December 2008. It included a follow-up of the status ofimplementation of OIOS' previous recommendations on human resourcesmanagement. The audit did not cover contractual arrangements and conditions ofservice for staffin field missions as these were the subiect ofa review conductedby the ICSC in 2006.

8. The audit methodology comprised reviews of relevant policies,procedures and administrative guidelines for human resources management inpeace operations. It also included the assessment of internal controls in DFS andthe analysis of supporting human resources data for field missions. Interviewswere conducted with responsible personnel in FPD and other departments atHeadquarters involved in the recruitment and administration offield personnel.

IV. AUDIT FII{DIIIGS ANDREGOMMENDATIONS

A Recrultment, placement and retention of staff in fieldniss:ons

Need for a revised stratery in human resources management to address highvacancy rates in field missions

9. The groMh of staffing requirements to address the expanding peaceoperations and the increasingly difficult conditions in field missions represent asignificant challenge to DFS' human resources management function. In the last

three years, overall missions' staff vacancies increased from 4,215 or 21 per centin 2005/2006 to E,168 or 27 per cent in 2007 /2008. As of June 2008, vacanciesfor all categories of staff had exceeded the 20 per cent vacancy rate benchmarkestablished for start-up missions. The vacancy rates were highest amonginternational professional staff and national professional officers, atapproximately 40 per cent for each ofthese personnel categories (see Figure 2).

Figur€ 2: Vacancy rates by staff cstegory

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10. The high vacancy rates in field missions were due to the low number ofextemal candidates recruited to fill intemational posts, which declined over theperiod with most of the posts being filled by internal staff. Of the 2,780 staffrecruited in 2006/2007, 1,090 candidates or 40 per cent were extemal, while in200712008, the number of extemal candidates decreased to 946 or 13 per cent,which was only enough to offset the number of staff separating from fieldmissions (952 staff) in the same period. As a result, there was no overallreduction in vacancy rates in field missions.

I l. To address the high vacancy rates, FPD implemented various initiatives,including the following:

o A further delegation of recruitment authority to field missions inAugust and September 2008 for the recruitment of international staff upto the D-l level and national professional staff;

. The Programme for Advanced Compendium of Trainees fortraining selected extemal candidates in key administrative functions priorto their deployment to field missions; and

r The use of staff to fill posts in start-up missions on temporaryduty assignments.

12. However, these initiatives were not fully effective partly because:

r The measures were reactive and ad hoc in nature; and

There was no svstematic analvsis of:

- The causes of staff resignation. Although exit interviewsare required of every staff leaving the Organization, noinformation had been compiled on what were the major factorsfor staff resignation. Exit surveys conducted in the field collectedand analyzed only minimal data;

- The real needs and concems of field staff and theconditions necessary for staff to acc€pt job offers, particularly atextreme hardship duty stations; and

- The effectiveness of the use of staff to fill posts in start-up missions on temporary duty assignm€nts. OIOS audits of theuse of Temporary Duty Assignments (TDY) in UNAMID,MINURCAT and UNMIN showed long delays in deployment ofstaffon TDY. In some instances, TDY was too short for staff toprovide required support to start-up missions, and programmemanagers on TDY left start-up missions before the replacementsarrived, therefore, no handover took place.

13. In developing its human resources shategy, DFS may consider adoptingthe following:

o A policy to retain staff in field missions for a minimum period ofone year or longer would: (a) facilitate the hiring of extemal candidatesresulting in the reduction of vacancy rates; (b) reduce costs related totransfers of staff between missions; and (c) enable staff to build up theirwork experience in missions. About 60 per cent of intemational staff inthe field had less than two years of United Nations work e;.perience; and

. Using the National Competitive Examination (NCE) roster. Asof 3l July 2008, the Organization had approximately 400 selected NCEcandidates. Out of this number, the geographical representation status of175 candidates changed to over-represented countries, limiting theiropportunity to be selected for NCE posts. Some NCE candidates hadexpressed interest in taking up appointments in field missions.

14. As regards the NPOs, due to t}le disruption in educational and livingconditions in post-conflict environments, most applicants lacked the requirededucational requirements and work experience. In addition, field missions couldnot in most cas€s verifu the oandidates' credentials as documents were either lostor destroyed during the conflict periods. Because of this situation the Secretary-General proposed that flexibility be allowed in the application of standards forthe recruitment ofNPOs based on the unique circumstances in missions.

15. In OIOS' opinion, there is a need for DFS to comprehensively review itshuman resources stratery to come up with a holistic and well-studied approach tomeeting the human resources challenges facing missions.

Figure 3: Aging analysis ofvacancies in field rnissions

Recommendation I

(1) The DFS Administration should, in coordination withDM, develop a comprehensive strategy to meet the increasingstaffing requirements and address the high vacancy rates inmissions. The following measures, inter alia, should be partof the strates/ including: (a) recruiting more externalcandidatesl @) placing interested candidates from theNational Competitive Examinations roster to field missionposts; and (c) allowing flexibility in recruiting NationalProfessional Officers with close monitoring ofthe process.

16. The DFS Administation accepted recommendation I and stated that theDepartment rras taking several initiatiees with lhe intention of reducing vacancyrates and improving applications and rosler management. The establishmmt of"Tiger Teams " and movement to an established practice coupled with outreachactivities and improved conditions of service would also address high vacancy/a/es. Recommendation 1 remains open pending specific measures taken torecruit more extemal candidates, use NCE candidates and allow flexibility in therecruitment of NPO staff.

Need to abolish long outsranding vacancies

17. There is a need to monitor vacant posts in field missions on a continuousbasis to ensure that appropriate action is taken to fill vacancies. OIOS' review ofvacancies in peacekeeping missions as at 3l August 2008 showed that some ofthe posts had not been filled for up to five years, and no recruitment action hadbeen started for some posts. In stable missions, 327 posts were vaoant for one tofive years and, in start-up missions, 760 posts were vacant for one to two years(see Figure 3).

18. As regards the I 10 posts for which no recruitment action had been takenfor more than two years, as shown in table 3 above, OIOS is ofthe opinion thatDFS should assess whether there is a real need for these posts.

19. Paragraph 2.7.l of lhe standard operating procedures on stalfing tablesand post management states that DFS is responsible for the proper utilization ofits approved staffrng resources. Programme managers in field missions failed toinitiate timely recruitment actions to fill authorized posts. DFS did not monitorthe process to ensure that missions utilized the resoutces in a timely manner orthat the necessary recruitment action had been taken.

Recommendations 2 and 3

The DFS Administration should:

(2) In coordination with field missions, assess whetherthere is a need for the 110 posts for which no recruitmentaction had been taken for two to five years and considerabolishing unneeded posts; and

(3) Monitor, on a regular basis, the age ofvacancies andestablish a requirernent to abolish posts for which norecruitment action is taken within two years from the date ofthe approval of the posts.

20. The DFS Administration accepted recommendation 2 and stated that theDeparlment would review with missions posts which had been vacant for aprolonged period and propose their abolition during presentation of draftbudgets- kecammendation 2 remains open pending the completion of the reviewof the I 10 posts vacant for a period from two to five years and action taken toabolish or redeploy' these posts.

21. The DFS Adminisftation accepted recommendation 3 and stated that theDepartment will review the stafing tables to monitor identifcation of the agingof vacancies and their abolition if necessary. Recommendation 3 temains openpending receipt by OIOS of DFS' instructions to field missions to reviewvacancies older than two years from the date of their approval for which norecruitment took place.

Need to expedite the processing ofaoolicalions

22. The existing system tbr the recruitment of staff in both headquarters andfield missions, Galaxy, lacked automated tools to process the high volume ofapplications received by the United Nations. Galaxy does not have the sortingand filtering capabilities to automatically process applications. As a result, theinitial processing of applications is done manually by FPD's Recruitment andOutreach Unit (ROU), consisting of ten staff members. As shown in Figure 4, in200'7 /2008, a total of 252,446 applications were received, of which 146,048 or 58Der cent were not reviewed.

Figure 4: Proportion of Galaxy applications processed in 2007i2008

Initially cleared14,2M

6%Technically cleared

8,01030/.

Applications notreviewed146,04Esv/o

Applications notmeeting postrequrremgflS

E4,tU330/.

23. At the time of the audit, DFS, in conjunction with OHRM, hadcompleted the procurement of a new talent management system to replaceGalaxy. The new system to be implemented in July 2009 is expected to automatethe review of applications against the minimum requirements. Until the newsystem is implemented, OIOS is ofthe view that the ROU should be strenglhenedas a temporary measure to increase the level of application processing.

Recommendation 4

(4) The DFS Administration should considerstrengthening the Recruitment and Outreach Unit of theField Personnel Division as a tempomry measure until theimplementation of the new talent management system.

24. The DFS Administration accepted recommendation 4 and stdted that theprofle of the Recruitment and Outreach Unit has been reconfgured and that theDepartment has requested to establish twelve general temporary assistancepositions at the P-3 level for Occupalional Group Managers- These new staffwilldevelop and manage the occupational groaps and liaise with programmemanagers in the field to facilitate the placement of candidates. Recommendation4 remains open pending confirmation that the ROU has been strengthened.

B. Internal controls in human resources management

Human Resources Action Plans

25. In order to meet the goals and targets mandated in General Assemblyresolutions and respond to previous recommendations of oversight bodies on thelack of a human resources monitoring mechanism for peacekeeping operations,FPD developed the Human Resources Action Plan (HRAP) framework,comprising an HRAP portal and a template with a set of performance targets inthe Nucleus system, to be implemented by field missions. The HRAP portal is aweb-based application in Nucleus designed to assist missions in filling humannesources management information in order to facilitate the preparation,performance monitoring and reporting ofestablished human resources goals.

26. The HRAP framework was piloted in five missions on 15 October 2007and rolled out in all other missions on 28 July 2008. Since the HRAP cycle mnsconcurrently with the budget cycle, the initial period of implementation wasscheduled from July 2008 to June 2009 for missions funded from thepeacekeeping budget and from January to December 2009 for missions fundedfrom the regular budget. For HRAP to be implemented, a consensus must bereached with each field mission on specific performance targets based on aformalized agreement. It is the responsibility of FPD to ensure that theagreements are finalized with the field missions and to conduct periodic reviewsof the status of the HRAP implementation. Although the mid-term review wasdue in December 2008, no formal agreements had been signed with fieldmissions as of January 2009 and therefore, the HRAP as a tool for performancemonitoring and measurement was not yet operational. FPD explained that fieldmissions were still compiling the required baseline data as of December 2008,but no timelines had been established for its comoletion.

Recommendation 5

(5) The DFS Administration should ensure thrtagre€ments on the human resources action plans arefinalized with all freld missions to enable theirimplementation and provide a basis for performancemeasurem€nt against established human nesourcesmanagement targets.

27. The DFS Administration accepted recommendation 5 stating that theDepartment was working towards its full implementation. Issues such as datagathertng which had prevented HMP roll-out had been resolved and Heads ofMissions were being .instructed about HMP agreements. Implementation wassdid to be taking place in time for the 2009/2010 cycle. Recommendation 5remains open pending the roll-out of the 200912010 cycle HRAP agreements andDFS' confirmation of its implementation.

Non-implementation of automated selection process in field missions

28. The HRAP vacancy management goals and targets involve the reductionof both high vacancy rates and selection timelines (the average number of daysbetween the identification of a vacancy and the reporting date of the selectedcandidate). In anticipation of the implementation of the HRAP, FPD delegatedthe authority and responsibility to field missions effective I March 2008 toinitiate the automated selection of candidates in the vacancy management modulein the Nucleus system in order to identi! delays and bottlenecks in therecruitment process.

29. However, as shown in Figure 5, the field missions did not use Nucleus torecord recruitment actions during the selection process and entered data in thesystem on a post facto basis. As a result, FPD could not monitor the selectiontimelines in missions.

Figure 5: Examples of post facto r€cording of recruitment data in Nucleus

30. In OIOS' opinion, DFS should enforce the timely posting of data in theNucleus system by activating its automated controls at the initial stage of theselection process, thereby not allowing further recruitment steps until tltevacancy tracks in the system are created. In addition, the implementation of theautomated selection process will provide a management trail for monitoring therecruitment process and serve as a tool to alert recruitment officers whenovercandidates are under consideration by othor missions to avoid duplication ofrecruitment efforts.

Recommendation 6

(6) The DFS Administration should ensure that the FieldPersonnel Division activates automated controls in theNucleus system at the beginning of the selection process toenable field missions to record recruitment actions formonitoring and control purposes.

31. The DFS Administration accepted recommendation 6 and stated that as acontrol measure FPD would limit access to the roster search functionality thatwill ensure that further recruitment steps do not proceed until all steps of theautomated selection process at the mission level have been completed.Recommendation 6 remains open pending DFS' confirmation that limited accessto the roster search functionality has been implemented in the field missions thusallowing all steps ofthe selection process in Nucleus.

G. lmplementation of previous audit recommendations

32. In 2005, OIOS audited the human resources managem€nt function atHeadquarters (AP2005/600/18) as part of the comprehensive management auditof the Department of Peacekeeping Operations (N601717), where the followingweaknesses were identified: (a) insufficient monitoring of the delegated humanresources management authority from OHRM/DM to DPKO; (b) the need forfurther delegation of authority to field missions; (c) the absence of humanfesources performance targets and a mechanism to monitor vacancies in fieldmissions; (d) inadequate succession plans; (e) lack of segregation of dutiesbetween recruitment and roster management; and (f) inadequate administration oftraining plans and maintenance of training records. OIOS issued 17

1 5 8 1 7

recommendations aimed at addressing these deficiencies and improving humanresources management in field missions.

33. As of 1 January 2009, 14 recommendations have been implemented andthre€ were in progress: (a) expanding the generic job profiles for field servicestaffto cover all functional areas in field missions; (b) developing comprehensivetraining packages for human resources offtcers in field missions; and (c) the needfor DM to conduct a comprehensive assessment of the delegation of certainhuman resources authority to DFS and the effectiveness of DFS in exercisingthese delegated authorities.

V. ACKI{OWLEDGEMENT

34. We wish to expfess our appreciation to the Management and staff of DFSfor the assistance and cooperation extended to the auditors during thisassisnment.

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