 |
| ||||||||||||||||||||||||||||||||||||||||||||||||||
Figure
1. Appropriate arrangements to implement an emergency operation will be fundamental to its success. UNHCR has a unique statutory responsibility for the provision of international protection. However, there is no such unique statutory responsibility for the provision and distribution of material assistance to refugees, which might be carried out by other organizations - governmental, UN agencies, NGOs, as well as directly by UNHCR. There are a number of factors which will influence the implementing arrangements for assistance operations. This chapter outlines implementing arrangements and procedures in emergencies including monitoring, reporting and evaluation. UNHCR guidelines for standard procedures must be referred to for more detail.
2. Depending on the scale and needs of the emergency, a number of different implementing arrangements may be needed in the various sectors. One organization might have operational responsibility for health care, and another for logistics. Even within a sector, operational responsibility may have to be split up. Different operational partners might have responsibility for health care in different refugee sites or communities. In UNHCR terminology, an operating partner is an organization or agency that works in partnership with UNHCR to protect and assist refugees, and an implementing partner is an operational partner that signs an implementing agreement with UNHCR.
3.
|
Whenever possible UNHCR seeks to implement assistance indirectly through an implementing partner rather than directly. |
The origin of this policy is found in the Statute of UNHCR. Article 1 requires the High Commissioner to seek "permanent solutions for the problem of refugees by assisting Governments and, subject to the approval of the Governments concerned, private organizations...". In accordance with Article 10, the High Commissioner "shall administer any funds, public or private, which he/she receives for assistance to refugees, and shall distribute them among the private and, as appropriate, public agencies which he/she deems best qualified to administer such assistance".
Degree of Operational Responsibility of UNHCR
4. Although UNHCR normally seeks to implement indirectly through an implementing partner, there are circumstances in which it may be necessary and/or clearly in the interests of refugees for UNHCR to assume greater operational responsibility. UNHCR's degree of direct operational responsibility will vary for each emergency situation, and also with time as the operation evolves.
5. Factors influencing the degree of operational responsibility undertaken by UNHCR, other organizations and the government include the following:
i. The government's capacity to manage the refugee emergency, because of the scale, nature, location of the emergency, and ability of existing government structures to respond;
ii. The existence and capacity of other organizations in the country, and in the sectors where assistance is most needed;
iii. The stage of the emergency. At the start of an emergency, the government itself frequently has full operational responsibility. For example, a new influx is often first assisted by the local district and provincial authorities. On the other hand, in other circumstances, it is often at the start of an emergency where UNHCR has the greatest operational responsibility because there may be no suitable operational partner immediately available within the country.
6. Where UNHCR does assume a high degree of operational responsibility, swift action is needed to ensure that the necessary personnel and expertise are available, by obtaining the rapid deployment of sufficient UNHCR staff (see chapter 20 on administration and emergency staffing). At the same time, steps should be taken to identify and mobilize other organizations to assume responsibilities in the various sectors as soon as possible.
The Operational Role of the Government
7. Whatever the implementing arrangements, overall responsibility remains with the host government, assisted by UNHCR. The government's concurrence must, in accordance with Article 1 of the Statute, be sought on the proposed implementing arrangements.
8. The government may not have the capacity to be the primary operational organization, but may play a major role in the implementation of various activities of UNHCR and donors. In this case, it is preferable to ensure that the policy arm of the government (e.g. the Ministry of the Interior) is separate from the "operational" entities, since, as recipients of UNHCR funds, the relationship with the latter is substantially different.
|
It is preferable that the implementation of programmes be carried out by existing line ministries - e.g. the Ministry of Health for hearth programmes. As a rule, new government departments should not be specifically created to respond to the refugee emergency. |
Every effort should be made to resist the creation of such specialized departments.
The Operational Role of UN Agencies
9. UNHCR always retains responsibility for the protection needs of refugees, but the refugees' material needs are likely to fall within sectors for which other organizations in the UN system have special competence through their mandate, experience and capacity, e.g. WFP and UNICEF. The roles and responsibilities of UN agencies are defined through their mandates and MOUs, and situation-specific responsibilities are set out in exchanges of letters and agreements - this should avoid duplication, minimize gaps, and clarify roles on the basis of recognition of comparative advantages.
Non-Governmental Organizations
10. Where the government is not the implementing partner in a particular sector, there may be advantages to selecting a national organization or an NGO with the required capacity as a partner. National or locally-based organizations may already be delivering emergency assistance, would already have staff on the ground, and would already be familiar with the country.
11. Many international NGOs have great experience of refugee emergencies and some can deploy teams and resources at short notice, both for specific sectors and for general management. In addition to their own staff, they will also know of a wide circle of individuals with the appropriate skills and experience. International NGOs already working in the country may be strengthened by their headquarters. For instance, under the overall responsibility of the national Red Cross or Red
Crescent Society, the IFRCRCS may be able to help strengthen quickly the capacity of the national society to implement the emergency operation.
12. Criteria for the selection of implementing partners may be found in Chapter 4 of the UNHCR Manual.
|
Implementing procedures are subject to change. The forms, terms, documentation, procedures and references (e.g. chapter 4 of the UNHCR Manual) referred to in this section from paragraphs 13 to 31 may change from time to time. However, the basic principles should remain the same. |
13. Authority to implement the activities envisaged in the operations plan must be given formally through implementing instruments. These define the conditions which govern project implementation and authorize the obligation and expenditure of funds.
14. Authority to implement is firstly delegated internally within UNHCR. This is usually given through a Letter of Instruction (LOI) which authorizes the UNHCR Representative to implement projects directly or to enter into implementing agreements with implementing partners. Based on the internal delegation of authority, implementing agreements can be signed with UNHCR's implementing partners.
|
Any party disbursing UNHCR funds must have a formal signed agreement with UNHCR. |
The Emergency Letter of Instruction (ELOI)
15. An Emergency Letter of Instruction (ELOI) is simpler in form and procedure than a "normal" LOI and is used to delegate implementing authority rapidly to the field. It is usually sent via e-mail, fax or telex. The ELOI gives the Representative in a country where an emergency is rapidly evolving the immediate authority to incur expenditures, and to enter into agreements for project implementation with implementing partners. It is not intended to cover the entire emergency operation, but to permit a rapid response to immediate needs, pending the formulation of an assistance project based on a detailed needs and resources assessment. Thus, in order to ensure continued assistance once these funds are exhausted or the ELOI project is terminated the manager of the operation should, as soon as possible, send Headquarters a detailed project proposal for the issuance of an LOI, in accordance with the procedures set out in Chapter 4 of the UNHCR Manual.
16. The minimum information which the Field Office must send to Headquarters in order that an ELOI be prepared is a budget proposal in US dollars at sector level. No project description or workplan is required.
17. Headquarters can then issue an ELOI with the following basic information:
i. Total requirements;
ii. Initial obligation level;
iii. Purpose of the expenditure (at sector level);
iv. Any time limit applicable to the expenditure;
v. Project symbol;
vi. Summary budget at sector level.
18. Actual expenditure under an ELOI must be recorded at a more detailed level (sector activity or, preferably, sub-item). It must be charged to the appropriate project under which implementation is taking place. A voucher must be completed to record every disbursement made, showing the name of the payee, the amount, the project symbol, the purpose and date of disbursement. The voucher should be signed by the payee or supported by receipted bills and sent to Headquarters with the monthly accounts.
19. In certain circumstances, the ELOI may not be necessary, as it will be possible to reallocate funds under an existing LOI.
Implementing Agreements
20. Implementation of all or part of a project may be sub-contracted to one or more implementing partners. A party disbursing UNHCR funds must have a formal signed agreement with UNHCR. The agreement must be based on the internal delegation of authority, and must comply with the terms of the authority (LOI, ELOI, etc.) and the Financial Rules. The standard clauses which must figure in any implementing agreement are described in Chapter 4 of the UNHCR Manual.
21. If the government or an international organization advances relief supplies from their own resources, UNHCR may agree in writing to reimburse them in cash or kind, provided the maximum US dollar commitment is specified and does not exceed unobligated funds available under the ELOI or other existing authority. Any such commitments should immediately be reported to Headquarters.
22. An agreement with the government covering the provision of assistance is quite separate from the administrative agreement that governs the status of the High Commissioner's representation in the country. Where this administrative agreement (often referred to as the "UNHCR Cooperation Agreement") needs to be concluded, special instructions will be given by Headquarters. See also annexes to the Checklist for the Emergency Administrator for examples of such agreements.
Letter of Intent
23. If the implementing partner must start providing assistance before there is time to conclude an agreement, a signed "Mutual Letter of Intent to Conclude an Agreement" can authorize the obligation of funds. This is a temporary arrangement until there has been time to develop the detail of the agreement. The letter must include certain basic clauses. Annex 1 contains a sample format for such a letter and the basic clauses.
Agreements
24. The form of the agreement will depend on the circumstances and on the identity of the implementing partner. The agreements exist in two different formats. Bipartite agreements are for projects implemented by a governmental or a non-governmental organization. Tripartite agreements are for projects implemented by an non-governmental organization and where the host government is a third signatory to the agreement. The individual signing on behalf of UNHCR should be the addressee of the ELOI or LOI. The agreement sets out the responsibilities of each party, for example the government's contributions to the programme (land, services etc.) and its undertakings on facilitating the import and transport of relief supplies (traffic and landing rights, tax and customs exemptions, etc.).
Administrative Expenditure by Implementing Partners
25. UNHCR looks to implementing partners to contribute their own resources to the refugee programme, and to develop the capacity to meet their own support costs, in particular their headquarters support costs. UNHCR recognizes, however, that certain types of support costs could be a legitimate charge on UNHCR voluntary funds. Support costs (as opposed to operational costs) are defined in Chapter 4 of the UNHCR Manual, as are the guidelines applicable to the coverage of such costs.
Direct UNHCR Expenditure
26. In many cases, there may be a need for direct UNHCR project expenditure in addition to programme delivery, and administrative support. This might include international procurement by UNHCR, clearing, storage and internal transport expenses for contributions in-kind, and initial direct operational expenditure by UNHCR Field Officers at the refugee site.
Procurement
27. The Representative may enter into a contract (or series of related contracts1 for the procurement of goods and services up to a certain limit (US$100,000 in 1998), without special Headquarters approval, but subject always to the appropriate authority (e.g. the ELOI) and procedures.
28. Where the Representative needs to enter into a contract (or series of related contracts) in excess of this amount, approval must be obtained either from Headquarters, or from the Local Committee on Contracts. A Local Committee on Contracts can be established when circumstances demand, for example at the beginning of an emergency where required goods and services are available locally. It can only be established with the approval of Headquarters (according to the procedures in Annex 2).
29. In all cases, the Representative must ensure that there is always due assessment of the available alternatives, including competitive bidding, before procuring any goods or services.
30. Procurement procedures are described in Chapter 4 of the UNHCR Manual, and set out in Annex 2. See also chapter 18 on supplies and transport.
Contributions In Kind
31. Contributions in kind may be made towards needs foreseen under the emergency programme. Whether these are made bilaterally or through UNHCR, their value (generally assessed on the same basis as foreseen in the budget costing) will normally be credited against the appropriate budget item, and the cash requirements through UNHCR for that item reduced accordingly. This mechanism may need to be carefully explained to the government and implementing partners. For all contributions in kind made through UNHCR, a separate project or an "in kind LOI" will be established by Headquarters for the value of the contribution. The addressee of the relevant LOI is required to provide reports from the field to Headquarters on the arrival and distribution of the contribution. Paragraph 53 of chapter 9 on external relations discusses contributions in kind received by the Field.
1 Related purchases are contracts entered into with one supplier within the previous 90 days which amount to $100,000 or more, not including contracts that have been approved by the Committee on Contracts.
32. Control of UNHCR funds by the UNHCR field office and operational partners, and monitoring and evaluation, should be in accordance with established UNHCR procedures and the relevant clauses of the ELOI or LOI. Proper project control, including the close monitoring of obligation and expenditure levels, is particularly important in an emergency because of the risk of over-expenditure and the need to reallocate under-used resources without delay.
33. Careful and close monitoring of the activities and outputs is essential. Whatever the implementing arrangements, a UNHCR presence at, or at least frequent visits by the same person to, the site of the refugees will be required.
34. Monitoring is the ongoing review of an operation or project during its implementation to ensure that inputs, activities, and outputs are proceeding according to plans (including budget and work schedules). Monitoring tracks progress towards objectives, and that progress should be analyzed and evaluated by management, who can make improvements and take corrective measures to better achieve those objectives. Monitoring can be summed up in the question: "Are we doing the thing right?".
35. Projects should also be evaluated to analyze the goals of the project themselves: their relevance and achievability - this can be summed up in the question "Are we doing and have we done the right thing?".
|
Sufficient information must be available to decision-makers so that the operation can be adjusted to meet changing needs or to correct shortcomings. |
36. Monitoring and evaluation should not be considered as time consuming detractions from protecting and assisting refugees, but as important tools in an emergency to ensure that activities being carried out retain their relevance in rapidly changing situations, and continue to address the most urgent problems. The circumstances of refugee women and children should be specially monitored; their circumstances could and should be used as benchmarks for monitoring the effectiveness of the overall operation.
37. Reports should be in standard formats or cover standard issues, in order to ensure important information is covered but avoiding unnecessary detail. Always bear in mind the purpose of the report, and who will be reading it, keeping it concise and to the point. Energy should not be wasted on exchanging information that is not acted upon - a report that is not read and acted upon is a waste of paper and time.
38. See Annex 3 for a suggested format for a standard emergency situation report.
|
Situation reports should be sent as a matter of routine. |
Specific reports will be required for various sectors like protection, health and community services.
39. Regular reports should be made by the implementing partner to UNHCR at field level. The reporting obligations of implementing partners must be set out in the implementing agreements. The Field must also send regular reports to Headquarters - implementing partners' reports that are forwarded to Headquarters must always be accompanied by an analysis and comments from the Representative.
40. In a refugee emergency, staff may be faced with a number of questions on which the following guidance may be helpful.
Payment for the Purchase or Rent of Land Occupied by Refugees.
41. As a matter of policy, UNHCR does not buy or rent land, which the government of the country of asylum is expected to provide.
Headquarter's approval is required for exceptions to this policy. Construction on the land may however be financed by UNHCR.
Payment to Refugees
42. The issue of paying refugees in cash or kind for certain assistance activities (e.g. some community services, establishing basic infrastructure and shelters) will inevitably arise. How this issue is resolved can have a crucial effect on a settlement's character.
|
Payment can destroy the sense of responsibility refugees feel for their welfare. |
However, the absence of payment may mean that tasks essential to the settlement's well-being are either not done or have to be done by paid outside labour.
43. In the first days of a settlement's existence payment to refugees would not normally be appropriate. In this start-up phase refugees should assume their responsibility towards themselves and their fellows to participate in the establishment of their settlement. Even payment-in-kind is probably inappropriate at this stage. In addition to the unfortunate impression of creating a right to payment, it may also involve commitments which cannot continue to be met, or have to be met at the expense of the entire settlement's general ration. Problems with the supply system are almost inevitable at the beginning of a settlement's life and no group should in such circumstances get extra commodities to the direct detriment of others.
44. In the longer-term, certain types of community work frequently start to emerge as areas where standards will drop if some form of payment is not given. This is often the case with key public health services whose importance is not always correctly understood by the refugees. Before starting any payment scheme, calculate its full potential cost and ensure that the required extra funds or food are available. The continuing financial implications for a large refugee population may be considerable.
|
It should be borne in mind that, after payment is introduced for One type of job or for one group of workers, others will see this as a precedent. |
It will be necessary to have some very clear but restrictive criteria for paid community work, The wage system introduced should not inhibit progress towards a self-reliant settlement. Those agencies responsible for different sectoral services should meet the wage costs of refugees working in that sector.
45. As the refugees are already supported, remuneration levels should be well below national rates. It is important that this remuneration be fairly applied to all refugees doing broadly the same work. A major cause of discord at many refugee sites has been the payment by different organizations of markedly different rates to refugees for the same work.
|
A standard scale is essential. |
Whether or not there are differentials recognizing different levels of skill will be a matter to decide in consultation with the refugees.
Provision of Services to the Local Population.
46. The local population should not see the refugees as a burden, because of their effect on existing local services and environment, nor should the refugees be a cause of resentment, because of benefits which may seem to accrue only to them. So activities to benefit the refugees such as maintaining or improving the local infrastructure (roads, hospitals and schools) or to look after the local environment, could help avoid or diminish resentment on the part of the local population.
47. Bilateral aid programmes and other organizations, both within and outside the UN system, should be encouraged to help affected nationals. Assistance available to refugees should take account of the conditions of nationals in the area and a flexible approach should be adopted - the principle is that provision of services to refugees should not be higher than that available to the local population.
Corruption
48. UNHCR should ensure that all concerned with the provision of assistance know clearly what UNHCR policy is regarding corruption. UNHCR is obliged by donors and by its mandate to ensure that all funds distributed by it are properly used for the benefit of refugees and all transactions must be in accordance with the Financial Rules. UNHCR should clearly specify which practices are acceptable and proper and which are not. It should also be clear that breaches of the policy will not be tolerated, and this message will be reinforced if rigorous monitoring and control are apparent to all parties.
Political and Religious Activity
49. Everyone has a right to political and religious expression: however, refugees are also obliged to conform to the laws and regulations of the host country as well as to the measures taken for the maintenance of public order. UNHCR itself is obliged to be non-political2. Responsibility for security and public order at the refugee site always rests with the government. To help maintain order, site planning should take into account any need there may be to physically separate any previously hostile groups among the refugees.
50. Other organizations active in the delivery of assistance may have a religious aspect in their normal work. Some are traditional partners of UNHCR, and the separation of religious and other activities is long established and well understood, but for others it may be useful to recall the basic principles. Religious activities by those outside the refugee community, where permitted by the authorities, must be clearly dissociated from the delivery of assistance and services to refugees.
|
No proselytizing should take place in association with the provision of services such as education, health and community services. |
2 Para. 2 of the Statute of the United Nations High Commissioner for Refugees states: "the work of the High Commissioner shall be of an entirely non-political character: it shall be humanitarian and social..."
Partnership: A Programme Management Handbook for UNHCR's Partners, UNHCR, Geneva, 1996.
Supplies and Food Aid Field Handbook, UNHCR, Geneva, 1989.
UNHCR Manual, Chapter 4, UNHCR, Geneva, 1995 (and updates).
Annex 1 - Sample Letter of Mutual Intent to Conclude an Agreement
NATIONS UNIES - HAUT COMMISSARIAT POUR LES REFUGIES
UNITED NATIONS - HIGH COMMISSIONER FOR REFUGEES
Date
Notre/Our code:
Dear
I should like to refer to our exchanges [add details as appropriate] concerning the implementation by [name of implementing partner] on behalf of the United Nations High Commissioner for Refugees (UNHCR) of a programme of emergency assistance to [origin and number of beneficiaries].
It is my understanding that it is our mutual intention to conclude and sign as soon as possible an agreement covering our cooperation in the above mentioned programme. This agreement will incorporate, inter alia, the attached clauses and will require [name of implementing partner] to report in financial and narrative form on the use of all contributions received from the High Commissioner. The conclusion of an agreement embodying these requirements is mandatory under the Financial Rules of UNHCR whenever funds are made available by UNHCR.
I should be grateful if you would confirm in writing below that this understanding is correct, and your agreement that the use of the sum of [amount in local currency or in US dollars], that the High Commissioner intends to make available to [name of implementing partner] on receipt of this confirmation, will be considered as subject to the terms of the Agreement, once concluded and signed.
[signature and title of addressee of ELOI]
I confirm that the understanding set out above is that of [name of implementing partner], which agrees that the use of the sum of [amount in local currency or in US dollars] will be considered as subject to the terms of the Agreement, once concluded and signed.
[signature and title of addressee of letter above, and date]
MANDATORY CLAUSES
Clauses governing Rate of Exchange (1.08 or 2.03), Maintenance of Financial and Project Records (3.08), Inspection and Audit (3.11 and 3.12), Audit Certificate (3.13) and Non-Liability of the High Commissioner (4.05 and 4.06) are STATUTORY REQUIREMENTS and cannot be excluded (paragraph numbers given are those from UNHCR Manual, Chapter 4, Appendix 8). These clauses are set out below:
Rate of Exchange
1.08 (if the government is a signatory to the Agreement): grant the most favourable official rate of exchange for all conversions into local currency of funds provided by the High Commissioner for the implementation of the project governed by the UNHCR Agreement;
2.03 (if an NGO is the implementing partner): apply the most favourable official rate of exchange for all transactions relating to the implementation of the project governed by the UNHCR Agreement;
Maintenance of Financial and Project Records
3.08 maintain separate project records and accounts containing current information and documentation which, inter alia, shall comprise:
a) copies of the UNHCR Agreement(s) and all revisions thereto;
b) payment vouchers, clearly showing the (Sub-) Project symbol, the name of the payee, the amount, the purpose and date of disbursement, evidencing all payments made and with all pertinent supporting documentation attached;
c) vouchers evidencing the receipt of all remittances, cash or any other form of credit to the project account;
d) periodic analyses of actual expenditure against the project's budget;
e) records of all financial commitments entered into during the project;
f) reports by auditors on the accounts and activities of the project;
Inspection and Audit
3.11 facilitate inspection and audit of the project governed by the UNHCR Agreement by the United Nations Internal Audit Service or any other person duly authorized by the High Commissioner on behalf of the United Nations. Should they at any time wish to do so, the United Nations Board of Auditors may also carry out an audit of the project. Audits of the project will include, inter alia, the examination of the project accounting records in order to determine that the charging of administrative and operational support costs to the project complies with those specified in the annexes to the UNHCR Agreement. For auditing purposes, project accounting records shall be retained for the six years following the project's termination;
3.12 facilitate visits by the High Commissioner or of any other person duly authorized by him/her to the project site(s) to evaluate the progress and achievements of the project during its period of implementation or thereafter;
Audit Certificate for Governmental Implementing Partners
3.13 submit to the High Commissioner, within three months of the final date for liquidation of commitments, an audit certificate issued by the appropriate government audit authority, together with such comments as the auditor may deem appropriate in respect of project operations generally and, in particular, the financial situation as reported by the Government;
Audit Certificate for International NGO Implementing Partners
3.14 submit to the High Commissioner, within six months of the end of the Agency's fiscal year, a copy of its consolidated audited financial statements, wherein UNHCR funding is clearly identified, issued by an independent audit authority and as presented to and endorsed by the Agency's governing body. The audit report and opinion should include such comments as the auditor may deem appropriate in respect of UNHCR funded project operations generally and, in particular, the opinion should clearly indicate that UNHCR funds were duly included in the audit;
Audit Certificate for National NGO Implementing Partners
3.15 for all UNHCR Agreements for a value of US$100,000 and above, submit to the High Commissioner, within six months of the final date for liquidation of commitments, an audit certificate issued by an independent audit authority. The audit report and opinion should include such comments as the auditor may deem appropriate in respect of project operations generally and, in particular, the financial situation as reported by the Agency to UNHCR in its final Sub-Project Monitoring Report. For all UNHCR Agreements for a value of less than US$ 100,000, UNHCR reserves the right to request an audit in accordance with Clause 3.11 above.;
Non-liability
4.05 not be liable to indemnify any third party in respect of any claim, debt, damage or demand arising out of the implementation of the project governed by the UNHCR Agreement and which may be made against the other parties to the Agreement;
4.06 not accept liability for compensation for the death, disability or the effects of other hazards which may be suffered by employees of the other parties to the UNHCR Agreement as a result of their employment on work which is the subject matter of the Agreement.
Annex 2 - Procurement by a UNHCR Field Office
1. Introduction
1.1. The procedures applicable to the procurement of goods and/or services by UNHCR Headquarters or UNHCR offices in the field (other than contractual arrangements for the employment of staff) vary according to the US dollar value (at the prevailing United Nations rate of exchange) of the goods or services, and are described below.
1.2 For all purchases of substantial quantities of relief or other supplies by UNHCR offices in the field. Representatives should nominate a purchasing/logistics focal point with a clear line of responsibility. Local purchases will be initiated by, or at least cleared with, the purchasing/logistics focal point. In all circumstances, including the evaluation of contracts for the supply of goods and services or consultancies, the procedures described below will apply. The term "Purchase Order" is to be read as also applying to other forms of authorization used in relation to contracts for services or corporate or institutional consultancies.
1.3 In all cases of procurement of goods and/or services, the procedures and controls applied should be in accordance with Appendix 8 of Chapter 4 of the UNHCR Manual and must provide an open, competitive, qualitative and accountable process to obtain such goods or services which meet project requirements at the lowest available cost. It is the responsibility of the addressee of the Letter of Instruction to ensure that the relevant procedures are adhered to.
1.4 All contracts entered into for the procurement of goods and/or services should ensure exemption from, or reimbursement of, all customs duties, levies and direct taxes on services and goods, supplies or any other articles imported or domestically purchased.
1.5 It is the responsibility of the Representative to ensure that each UNHCR office in the field maintains a register of all commercial contracts entered into and that a sequential number is assigned to every such contract.
1.7 For a value of less than US$ 2,500
A Purchase Order may be issued without recourse to formal tender, provided that funds are available under the Letter of Instruction and that at least three informal offers or prices have been considered and the best offer has been selected.
1.8 For a value of over US$ 2,500 and up to US$ 5,000
A Purchase Order may be issued provided that funds are available under the Letter of Instruction and that at least three informal quotations have been compared and the best offer has been selected. A written record of the quotations and the reasons for the selection must be kept.
1.9 For a value of over US$ 5,000 and up to US$ 50,000
A Purchase Order may be issued provided that funds are available under the Letter of Instruction and that selection has been made on the basis of at least three competitive offers obtained in response to a formal Quotation Request sent to selected suppliers inviting them to submit sealed quotations within a specified time frame. Chart 3.F and Annex VIII of the Supplies and Food Aid Field Handbook provide guidelines and an example of a Quotation Request. The Quotation Request must stipulate that all offers must be received at the UNHCR office in signed and sealed envelopes and marked with the Quotation Request number. All quotations received must remain sealed and must be kept under lock and key until the expiration of the bid deadline. All bids must be opened before a witness by the Administrative Officer or the Officer in charge of administration in the office, and must be initialled by both the person opening the bids and the witness. The witness shall be selected by the Representative and drawn from the professional or national officer categories. All formal quotations will be compared on a Tabulation of Bids form as per Annex IX of the Supplies and Food Aid Field Handbook. The recommended supplier and the reasons for selecting that supplier will be stated thereon.
1.10 For a value of over US$ 50,000 and up to US$ 100,000
Representatives will establish a Purchasing Committee to consider bids and to make the appropriate recommendations. The approval of Headquarters is not required. Rules and procedures concerning Purchasing Committees and their composition are set out below. In a country with more than one Field/Sub Office, the Representative may wish to establish Purchasing Committees at different duty stations. Depending on local costs and current exchange rates, Representatives may also lower the financial limit of procurement to be considered by the Purchasing Committee. The Committee will consider quotations subject to the same conditions as set out in paragraph 1.9 above. If appropriate, the Representative and/or the Committee may wish to request specialist advice from the Programme and Technical Support Section or the Supply and Transport Section at Headquarters.
For a value of US$ 100,000 or more:
1.11 A submission must be made to the Committee on Contracts at Headquarters except in cases where Headquarters has authorized the establishment of a Local Committee on Contracts as described in 3 below. For submissions to the Headquarters Committee on Contracts, a minimum of four formal quotations must be requested and considered by the Purchasing Committee which will make a proposal as to the most suitable supplier to the Committee on Contracts through the relevant Desk at Headquarters. In cases where Headquarters has authorized the establishment of a Local Committee on Contracts, the latter may evaluate and decide on all bids without recourse to the Purchasing Committee. Nevertheless, in all cases, the relevant specialists in the Programme and Technical Support Section and the Supply and Transport Section must be consulted before or during the tendering and evaluation stages so as to ensure compliance with technical requirements and that prices are compatible with international market rates for the goods or services under consideration. Submissions to the Committee on Contracts should include information as shown in Chart 3.G of the Supplies and Food Aid Field Handbook. After approval by the Committee on Contracts (or a Local Committee on Contracts), a Purchase Order may be issued.
2. Purchasing Committee
2.1 Procurement of goods or services by a UNHCR office in the field for a value of over US$ 50,000 and up to US$ 100,000 must be approved by a Purchasing Committee. This Committee will also prepare proposals to the Headquarters Committee on Contracts for procurement for a value of over US$ 100,000 in cases where Headquarters has not authorized the establishment of a Local Committee on Contracts. The Purchasing Committee will be established and chaired by the Representative and will consolidate the requirements, oversee the tendering process, select suitable local suppliers and record its recommendations in writing.
2.2 The Committee will be composed of Members and alternate members designated by the Representative and drawn from the professional or national officer categories. Staff members responsible for procurement should be excluded from membership. In cases where several implementing partners require similar supplies the Representative may consider including in the Purchasing Committee staff from implementing agencies. A quorum will consist of three Members.
2.3 The staff member in charge of procurement should present a written proposal to the Purchasing Committee which will include information on the goods or services to be procured as per Chart 3.G of the Supplies and Food Aid Field Handbook. The minutes of the meeting will be taken and issued (at least in draft) within two working days after the meeting. Alternatively, particularly in an emergency, Members of the Committee may approve purchase by signature of the proposal with appropriate comments. In general, the Committee should adopt procedures similar to those of the UNHCR Committee on Contracts as set out in Annex 8.5 of Chapter 4 of the UNHCR Manual, except for the provisions concerning emergency procedures.
3. Local Committee on Contracts
3.1 In a UNHCR office in the field, the Representative may request Headquarters to approve the establishment of a Local Committee on Contracts, particularly in the early stages of an emergency operation and when required goods or services are known to be available locally or regionally. The authority to establish a Local Committee on Contracts must be obtained from Headquarters, which will normally stipulate the purpose, the geographic, time and financial limits, the necessity to apply the relevant rules and procedures and, if applicable, the necessity to consult the Supply and Transport Section or the Programme and Technical Support Section on the prices and sources of supply of commodities and/or services available in the region. The Committee will be chaired by the Representative or by a formally designated alternate, and will be composed of at least three professional staff members. If there is no quorum, the matter will be referred to the Committee on Contracts at Headquarters. The Local Committee on Contracts will consider quotations subject to the same conditions as set out in paragraph 1.9 above.
3.2 All requests for the establishment (or the extension of the period of validity) of a Local Committee on Contracts should be sent via the Desk to the Chairman of the Committee on Contracts who will check the criteria and the justifications provided, and, if appropriate, request the Secretary of the Committee on Contracts to prepare an authorizing communication. The authorizing communication should be cleared by the relevant Regional Bureau and the Chief of the Supply and Transport Section, and be authorized by the Chairman of the Committee on Contracts. Requests for the establishment of a Local Committee on Contracts must include a full justification as well as information on the requested time and financial limits, and must also confirm that the goods or services being sought are available locally or regionally and that the requisite minimum number of professional staff would be available to act as Members of the Local Committee on Contracts. Requests must include the names of three members and three alternate members.
3.3 The Representative shall appoint a secretary to the Local Committee on Contracts to receive submissions to the Committee, to schedule meetings and secure the relevant documentation, to conduct required correspondence, to maintain the Committee's files and to prepare and distribute minutes of the Committee's proceedings.
3.4 Copies of the minutes and proceedings of each meeting of the Local Committee on Contracts, together with a Tabulation of Bids form and copies of the contracts entered into or purchase orders placed (and any amendments to these) must be forwarded to the Secretary of the Committee on Contracts at Headquarters who will present these to the Chairman and Members of the Committee on Contracts for their comments. The minutes must contain a summary of the discussion, the reasons for decisions taken, details regarding the contractor or supplier selected and the potential costs involved.
Annex 3 - Example of a Standard Emergency Situation Report (SITREP)
1. In emergencies, it is essential that regular situation reports reach the outside world (other UN agencies, implementing partners). The frequency of such reports will be determined by the characteristics of the situation; more frequent reports will be necessary in the initial stage of an emergency. Situation reports should give an overall view of the situation with sufficient factual content and explanation of changes since the last report to answer rather than raise substantive questions. By indicating progress achieved, problems encountered and steps being taken or planned to overcome these problems, the reports should give a cumulative picture of how the needs of the refugees are being met. It should report on actions including actual and planned activities; however, it should not dwell on intentions.
The SITREP should:
Be short;
2. A suggested format is given below. Information contained in the SITREP should be analyzed and consolidated before being passed on to the next management level. The practice of simply copying "raw" and un-analyzed information from one level to another should be avoided. If the same format is used by all levels from site to central office to Headquarters, it will make it easier to consolidate reports from various areas. Major headings should as a rule be the same in each report, indicating "no change" if appropriate. The report can either be structured by sector of assistance with sites covered under each sector, or alternatively, by site, with sectors of assistance covered under each site heading. In either case, the information under each sector of assistance and for each location should cover as applicable:
i. Current situation;
ii. Particular problem areas, remedial action planned with time frame;
iii. Any variation from overall implementing arrangements;
iv. Any action required from the addressee of the SITREP.
3. The reports should be sequentially numbered, copied to other UNHCR offices as appropriate (including the UNHCR liaison office in New York). The report may be used as the basis for wider situation reports issued from Headquarters.
SITREP (number)
COUNTRY
COVERING PERIOD (date) TO (date)
Drafted, cleared, authorized by () on (date).
A. GENERAL SITUATION
B. MAJOR DEVELOPMENTS
Summary of general assessment of situation, assessment of refugee location, and field deployment of UNHCR staff. Summary of major trends including protection.
C. REFUGEE STATISTICS AND REGISTRATION
By location in country of origin or by distinct groups if not self-evident. Explanation of changes since last report. Indication of sources, e.g. government, UNHCR, etc. Any additional information (as relevant) on gender breakdown, vulnerable cases, variances between UNHCR and official figures, group or individual determination, etc. A format for reporting on population in emergency situation reports is given in Annex 1 of chapter 11 on population estimation and registration.
D. PROTECTION AND DURABLE SOLUTIONS Summary of any developments.
E. OPERATIONS
E.1. Coordination
Government departments, UN system, NGOs - both at central and field levels.
E.2. Overall Implementing Arrangements
Role of authorities. Operational role of UNHCR. Role of UNHCR's government counterparts, other UN agencies, international organizations and NGO partners. Other sources of significant assistance.
E.3. Assistance
Summary of main developments since the last report, broken down by sector and/or site, as applicable. Additional information provided could include major problems encountered in programme delivery and modifications required to implementing arrangements.
F. EXTERNAL RELATIONS
Significant events in relations with donor government representatives, with diplomatic missions in general and with the media.
G. ADMINISTRATION AND STAFFING
Establishment of UNHCR presence, office premises, vehicles and equipment, staffing arrangements, local recruitment, etc.
Annex 4 - Format for Reporting on Population in Emergency Situation Reports
Period: From _______________ to_________________
|
Type/ |
Current |
Origin/ |
Pop. at |
New |
Decreases |
Pop. at end of period | ||||
| | | | | |
Vol. return |
Resettle- |
Other |
Total |
% of |
%of |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
*Estimate
Main source of information is Government;
UNHCR; NGO
Main basis of the information is
Registration;
Estimate
 |
 |
