DFAM Simplified Standard Operating Procedures (SSOPs) in Level 3 Emergencies Contents

Transcription

1 DFAM Simplified Standard Operating Procedures (SSOPs) in Level 3 Emergencies Contents Introduction... 2 Manage Operations of Office Temporary Offices Assessing office finance and administrative capacity Travel Arrangements Guest Houses UNICEF Vehicles... 4 Manage Accounting and Internal Controls of Office Segregation of Duties and Internal Controls Financial System Cash Transfers Organization Management Budget Allotments... 7 Manage the Cash Resources of the Offices Cash Accounts and Obtaining Cash Bank Accounts Safety of staff, cash and financial assets Contract Review Committee

2 Introduction All the following exceptional procedures take effect upon pronouncement of a level 3 emergency status and last for the duration of this status as per guidelines contained under CF/EXD/ , dated 21 March 2011 UNICEF s Corporate Emergency Activation Procedure. These procedures are specifically for level 3 emergencies and do not replace any other guidance. These procedures are a simplification of the existing UNICEF Financial and Administrative Policies to allow an effective response in Level 3 emergencies. The Head of Office mentioned in these procedures is the Country Office Representative or the individual identified by the Global Emergency Coordinator (GEC) (within the step aside arrangements). The Comptroller will identify a DFAM focal point for each emergency. Manage Operations of Office 1. Temporary Offices CO Rep DFAM/GEC/DHR CO Rep a) The need for a temporary office should be reviewed immediately by the Head of Office if the UNICEF office is inaccessible. b) If a temporary office is required, for officially declared UNICEF assisted emergencies, a country office can sign an office lease agreement, without prior approval of DFAM, Administration Management, although consultation is encouraged, but it must comply with all of the following: Consult with the regional office. Give preference to sharing premises with other UN agencies. Obtain security clearance from the UN Department of Safety and Security (UNDSS). Ensure funds are available to meet the financial commitments of the lease and Minimum Operating Security Standards. Use the UN standard lease agreement approved by UN Office of Legal Affairs. Have the lease reviewed by the contracts review committee (CRC) if it exceeds local CRC limits. Promptly notify DFAM (Deputy Director Administration Management) of all such leases Ensure adequate office facilities e.g. generators and air conditioners. 2

3 2. Assessing office finance and administrative capacity CO Rep DFAM/GEC/DHR CO Rep a) The Head of Office should immediately evaluate the number and experience of current staff to handle the anticipated larger workload associated with accelerating financial and administrative management procedures in an emergency. b) If additional staff is required, the Head of Office should approach the regional office as early as possible to request the temporary deployment of experienced UNICEF staff at the appropriate level (including staff member experienced in processing day to day activities) to support the emergency. 3. Travel Arrangements CO Rep DFAM/RO/EMOPS CO Rep a) In emergency situations, staff can arrange travel with the airlines directly if a travel agency is not accessible making all efforts to obtain lowest airfare. b) Staff can also contact NYHQ, OPSCEN and Regional Offices to arrange travel when needed. c) Processing of travel authorizations must be expedited for staff deployed in emergencies. The office may issue manual TAs to be subsequently entered into the system. 4. Guest Houses CO Rep DFAM/GEC/DHR CO Rep a) For emergency situations, UNICEF can set up a guesthouse for staff on assignment, visitors and staff on official duty travel if: Suitable accommodation is not available (from the Government or private rentals); or Staff need to be grouped together within compounds for security purposes. 3

4 b) Where the situation permits, a proposal and a draft lease must be submitted to DFAM (Deputy Director Administration Management Services) and the Regional Chief of Operations for review and approval, prior to signature. The proposal should include: Projected costs and timeframe. Security clearance from the UN Department of Safety and Security (UNDSS). c) Where the situation does not permit (no access to communication) a lease agreement can be signed without approval by DFAM (Deputy Director Administration Management Services). The signed lease agreement should then be shared with DFAM (Deputy Director Administration Management Services) as communication is restored. d) In all situations, the lease agreement should follow the standard lease agreement approved by UN Office of Legal Affairs. e) In all situations, the daily rate for guesthouse accommodation must cover all operating costs. 5. UNICEF Vehicles a) In exceptional situations and emergency duty stations, the Head of Office can authorize and assign UNICEF vehicles for non-official use by staff members. Where non-official use has been authorized, staff members must reimburse UNICEF for using a vehicle for personal reasons based on the standard UN km/mileage allowance rates established for the duty station. b) Regional Office can authorize loan of vehicles to the emergency location with notification to DFAM Administration Management Services (Field Services). c) Offices, as part of emergency preparedness, should have in place standby agreement with local suppliers for renting of equipment & vehicles. Manage Accounting and Internal Controls of Office 6. Segregation of Duties and Internal Controls 4

5 a) If less than four staff with the delegated authority are available at a location, a minimum of two staff must execute temporary internal controls on any transaction. b) If there is only one staff member, DFAM Comptroller s Office should be notified. c) The Head of Office may delegate the authority to another office to manage specific components or the full budget allocated to the office (e.g. on behalf of and at the request of the Head of Office, allow Supply Division to raise supply requisitions, DHR to raise payroll requisitions, where office location is not accessible, allow a neighboring office to process financial transactions, etc.). d) Where required, consider providing financial authority to International Response Team (IRT) members. 7. Financial System CO Rep DFAM/RO/ITSS CO Rep If the system cannot be accessed directly or remotely for financial management and accounting purposes, the Head of Office can: a) Revert to manual accounting system to prevent delay. This includes the use of manual, basic cash book, cash verification report, cash request vouchers, deposit slips and statement of receipts. These must be sent to the nearest office (safe haven) and should be recorded promptly; b) Delegate the financial management and accounting function to an office which has sufficient capacity to handle the additional workload and complexity; and/or c) Delegate to another office a specific budget allotment as to allow issuance of requisitions/commitments. 8. Cash Transfers 5

6 a) The Head of Office shall have access to the roster of implementing partners and will engage with these partners at the onset of the crisis without further verification. The roster will be based on the results of the micro-assessment and will include partners suitable for rapid response in times of unforeseen emergencies. b) The Head of Office is authorized to disburse funds to implementing partners with Direct Cash Transfers (DCT) outstanding for periods over 6 months but not exceeding 9 months. In exceptional situations, authorization can be provided by the Regional Director for disbursements to partners with reports outstanding for periods over 9 months. c) The Head of Office is authorized to re-programme unutilized funds in in the context of the revised work-plan priorities. The due date for the submission of the FACE is extended for the duration of the agreed implementation period (three months or exceptionally, up to six months). d) Where required, the Head of Office is authorized to release cash transfers to implementing partners for periods up to six months providing strengthened monitoring and assurance activity and assuming high risk ranking. 9. Organization Management a) The Regional Director in consultation with the GEC and at the request of the Head of Office has the authority to endorse changes in the Posts and Organizational Structure. These would include: Creation of a new office Closing of an office Change of office type Internal re-organization (section/unit) Establishment/abolishment/extension of project funded posts b) The process of endorsing and approving changes in the organizational structure takes into account simplified criteria for physical presence of UNICEF at specific locations: Political environment Security, logistics, infrastructure 6

7 Socio-economic indicators and programmatic strategy Government capacity UN coherence and coordination c) The process for endorsing and approving changes in post structure takes into account new human resource requirements, management structures and the available funding. 10. Budget Allotments a) Budget allotments will be issued in accordance with Business Continuity Plan access to budgeting tool is ensured off-site outside NYHQ office hours. b) To accommodate the requirement for swift deployment of emergency teams, access to the approved country allotment of EPF loans is provided to EMOPS (Global Emergency Coordinator) directly, when such access is necessary. This access is: i) time-bound; ii) up to a financial limit as defined in the operating procedure/epf guidance; iii) the Head of Office is accountable towards the full reimbursement of the EPF loan. c) GEC may need to consider extending the funding for acquisition of immediate supply needs. d) Cost recovery and requirements for payment of transportation costs by the donor (current policy requires a 7% cost recovery for Government donations and goods to be delivered to UNICEF by the Donor free of cost) can be waivered for IKAs. Manage the Cash Resources of the Offices 11. Cash Accounts and Obtaining Cash The Head of Office should assess level of operations to determine if Petty Cash or Cash on Hand is required. a) Petty cash accounts A petty cash account up to $1000, may be established in each office, sub-office and sublocation. Petty cash must be kept secure under lock and under the control of the custodian. 7

8 b) Cash on hand accounts (COHA) A COHA may be established if more than US $1,000 is needed (with DFAM approval). A COHA is used when the banks are not operating or the petty cash account is insufficient for cash needs. Cash on hand must be kept secure under lock and under the control of the custodian. c) Third party cash providers Third party cash providers (including other UN Agencies and well- established organizations) may be used to make payments or to replenish cash accounts with approval from DFAM (Deputy Director Finance). In situations where there are no banking facilities, cash accounts must be replenished with banknotes brought in from another area (another UNICEF country office in the region or from well-established organizations). 12. Bank Accounts CO Rep DFAM/RO DFAM (DD Finance) a) Bank accounts In instances where there is less than three staff with delegated financial authority, a single signatory bank account can be used with DFAM approval. 13. Safety of staff, cash and financial assets CO Rep DFAM/RO/Security CO Rep a) If at all possible, with approval from DFAM (Deputy Director Finance) hire a service provider for transportation, handling and disbursement of cash, especially when cash must be disbursed outside of the country office. Options might be money dealers, any traditional money service, a company, or even a bank. b) If cash funds must be transferred, the office should consider the following: Minimize the number of people who know about the transfer or storage of the funds. Plan carefully all movements of the money from start to finish with contingency plans in case the plan agreed upon cannot be carried out due to unforeseen circumstances. Staff security must never be compromised or put at risk. 8

9 14. Contract Review Committee CO Rep DFAM/CRC CO Rep c) In level 3 emergency situations, a UNICEF Representative can change the way the CRC works to help expedite the review process including: Location: A sub-crc can be convened at a zone office Composition: The Composition of CRC can be changed by the UNICEF Representative to include as members/alternates any appropriately experienced staff member that would have joined the country office following the emergency Quorum of CRC: Must have three voting members even in emergency; but members can be polled to approve contracts. The emergency submission must be submitted to the next meeting to be recorded. Frequency of meeting: As frequently as needed in an emergency 9