20Administration, Staffing and Finance

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CONTENTS Paragraph Page

Introduction 1- 3 292

Emergency Staffing 4-36 292-296IntroductionRecruitmentManagementPersonnel AdministrationStaff VisibilityStaff Accommodation

Budget and Finance 37-51 296-298Authority to Incur ExpenditureTransfer of FundsBank AccountsExchange RatesAccounting Procedures

Non-Expendable Property and Office Supplies 52-61 298-299Non-Expendable PropertyAsset Management SystemOffice Supplies

Office Premises 62-67 299

Official Transport 68-75 299-300VehiclesLight Aircraft

Office Organization 76-80 300-301Filing and DocumentationCommunications

Key References 301

Annexes

Annex 1: Preface and extract from “The Checklist for the Emergency Administrator” 302-306

Annex 2: Suggested Field Filing System 307-308

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Introduction1. The purpose of this chapter is to providegeneral guidance on UNHCR's basic adminis-trative procedures and actions in an emer-gency. Nothing in this chapter should be readas altering any existing rules, regulations andinstructions, in particular the UNHCR Manual.The latest edition of The Checklist for theEmergency Administrator (hereinafter referredto as the Checklist) is an essential reference foradministration in emergencies. The Checklistcomes in three parts:

i. The actual checklist (a few pages). This is reproduced as Annex 1;

ii. Annexes to the checklist (in a large folder)which are primarily samples of the most fre-quently used administrative forms and ex-tracts from the UNHCR Manual;

iii.A computer diskette containing many ofthe forms.

Throughout this chapter references are givento the relevant item in the Checklist.

2. The chapter considers particularly theopening of a new office in an emergency, butmay also be helpful when expanding an exist-ing office or establishing Sub or Field Offices.

3. The status of an established UNHCR office is governed by an agreement betweenthe host government and UNHCR, called a Cooperation Agreement, also referred to as a “Branch Office Agreement” or an “Accordde Siège”. (See Checklist section on Premises).Until such an agreement is concluded, UNHCRwill be covered by UNDP’s agreement with thehost government. In addition, the Conventionon the Privileges and Immunities of the UnitedNations, 1946 1, is applicable to UNHCR andcovers such matters as the inviolability ofUnited Nations premises, the right to operateforeign currency accounts, exemption from di-rect taxes and customs duties on articles forofficial use, and facilities and immunities forcommunications. Specific considerations in re-spect of the emergency operation, for exam-ple regarding the handling of relief supplies,would be set out in the exchange of commu-nications concerning the government's re-quest for material assistance and in the projectagreement (see chapter 8 on implementingarrangements).

Emergency Staffing(See Checklist section on Personnel, Staff Conditions & Security). See also the Staff Rulesand the Staff Administration and Manage-ment Manual, also the InSite database avail-able on CDRom.

Introduction

4. As soon as possible the Head of Officeshould communicate to Headquarters the pro-jected staff requirements at both general ser-vice and professional levels with the necessarydetail to enable Headquarters to review thesein accordance with established personnel pro-cedures and to approve the staffing table forthe emergency. Emergency staffing resourcesshould be used for the initial emergency pe-riod only. In the initial period, prior to the cre-ation of posts, national staff could be recruitedand paid for under Temporary Assistance.

5. There should be no delay in committingnecessary personnel. However, solely addingpersonnel will not meet the organizationalneeds of an emergency: the operations planand definition of responsibilities must deter-mine personnel needs, not vice versa. Experi-ence shows that for a given operation, smallerteams with clear allocation of responsibilitiesare usually more successful than larger teamswhose members have less clearly defined roles.

Staffing must be flexible. Numbers are likelyto vary over time.

Recruitment

6. It is important that the different advan-tages of national (also referred to as local) andinternational staff are understood, and thatthese different strengths are properly incorpo-rated into a staffing plan. National staff mem-bers understand the local situation and aresensitive to issues that often escape the noticeof the international staff member. They oftenenjoy a wide range of contacts that enablethem to "get things done".

7. Very significantly, national staff mayspeak the refugees' language. Correspond-ingly, international staff members bring to theoperation an impartiality and an embodimentof the international character of UNHCR,which is essential. They will also have expe-rience from elsewhere to contribute to themanagement of the emergency.

Additional staff, who are unclear as to theirrole, will add to the management burden inan emergency

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1 Contained in UNHCR, Refworld CD-ROM.

8. Headquarters is responsible for interna-tional staff identification, recruitment and deployment. The need for international staffwill depend on the scale of the emergencyand implementing arrangements.

9. The following table shows staff functionswhich may be needed in a large emergency.

10. The need for at least the following inter-national staff (comprising an emergency team)should therefore be considered in a large scaleemergency.

❏ Emergency Team Leader (with one of thesenior officers also possibly acting as Deputyto Team Leader);

❏ International Secretary or Assistant for theTeam Leader;

❏ Senior Protection Officer;

❏ Protection Officer(s);

❏ Senior Programme Officer;

❏ Programme Officer(s);

❏ Sector Coordinators, e.g. Community Ser-vices, Water, Health, Nutrition;

❏ Field Officers deployed at the refugee sites;

❏ Senior Administrative Officer;

❏ Finance Officer/Personnel Officer;

❏ Staff Safety Officer;

❏ Public Information Officer;

❏ Logistics Officer;

❏ Telecoms Officer.

11. The emergency team could be composedof staff deployed from emergency standbyarrangements only, or a mix of the latter plus UNHCR staff already posted to the area. Emergency standby and staffing arrangementsinclude an internal roster of UNHCR staff andemergency standby arrangements with otherorganizations. Details of these arrangementscan be found in the Catalogue of EmergencyResponse Resources, Appendix 1.

12. For all staff, prior experience of an emer-gency operation is of course, a great advan-tage.

13. In a country where a major emergency isadded to a previous small-scale programme itmay be necessary to replace the existing Headof Office with a more experienced Head of Office at least for the duration of the emer-gency.

14. Administrative staff are another priority.An experienced administrative assistant will bean essential member of the team if a new office is being opened, and in large emergen-cies experienced finance and personnel officersare likely to be necessary. Without personswith these skills, other staff will have to devotea disproportionate amount of time to UNHCRinternal administration. National administra-tive staff must be identified and trained, butthis in itself requires experienced supervision.

15. Each refugee emergency will require acertain number of specialist skills even at the assessment and initial phases of the emergency. Where these are not available in-country, the assistance of Headquarters forrecruitment of specialists through standbyarrangements should be sought without de-lay. See Appendix 1, Catalogue of EmergencyResponse Resources for more details of thesestandby arrangements.

16. Informal volunteers, both nationals andmembers of the diplomatic and expatriate

The overriding staffing priority is to fill keymanagerial posts with experienced UNHCRstaff of the right calibre.

UNHCR has developed a number of standbyarrangements whereby suitable interna-tional staff can be deployed rapidly to anemergency operation.

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Type of function

Overall management and leadership

Management of the administration in largeemergencies

Core UNHCR functions in an Emergency Team:Field, Protection, Programme

Administrative and finance functions for anEmergency Team, to set up new offices andtrain staff

Community services functions

Supply and transport functions

Technical functions

– technical coordinators (e.g. for health, water,nutrition) and

– other technical support e.g. health assess-ment, epidemic preparedness and response,health monitoring systems, engineering (physical planning, water, sanitation, roads)

Support functions, e.g. base camp manage-ment, telecommunications and staff safety

communities may come forward to help. Thevalue of these outside volunteers will varyconsiderably with the situation. It will be im-portant to assess the skills of the volunteers,the time they can devote and the availabilityof management personnel needed to coordi-nate and support them.

Reporting lines

17. In situations where an emergency teamis deployed to an area of the country wherethere is no UNHCR office, the emergency TeamLeader will normally report to the UNHCRRepresentative in that country or the RegionalRepresentative or Special Envoy as appropriatein the individual circumstances.

18. When an emergency team is deployedinto an area where a UNHCR office alreadyexists and has responsibility for the operation,then the emergency team should integrateinto the staffing structure of the existing office. The decision as to who should head the operation, the existing Head of Office orthe Emergency Team Leader, will depend onthe circumstances and the relative experienceand seniority of the individuals. The decisionas to who will head the operation must beclearly communicated to all staff at the outsetto avoid any ambiguity in responsibilities andreporting lines.

Management

19. Sound personnel management, supervi-sion and leadership are very important to thesuccess of an emergency operation, but caneasily be overlooked. The initial motivation ofthose involved is a major asset, but for personsat levels that do not allow an overview of theoperation, this can be replaced by disappoint-ment and frustration if supervisors are toobusy to plan, organize, direct, control and continue to motivate their staff.

20.

Job descriptions are the most common man-agement tool for defining individual res-ponsibilities, even if the imperatives of anemergency mean their frequent revision. They

are important for UNHCR staff, and even moreso for seconded staff (such as United NationsVolunteers – UNVs, consultants and staff deployed through the emergency standbyarrangements), and informal volunteers. Re-sponsibility should be delegated to the lowestpossible level, and with it must go the neces-sary authority. Responsibility without author-ity is useless.

21. Staff meetings should be convened regu-larly from the start. Team welfare will have animportant bearing on the success of the emer-gency operation.

22. Very long hours will often be necessary,but supervisors must ensure that staff havetime off, away from the refugee site, and donot get so overtired that their efficiency andthe professionalism of their approach suffers.

23. All field staff have a particular responsi-bility to safeguard their own health, but alsohave a role to play in ensuring that their colleagues remain in good mental and physi-cal health (see chapter 22 on coping withstress). Early corrective action can avert theneed to hospitalize or evacuate key staff.

24. In an emergency there may be manyoccasions when staff see clearly that by de-voting time to helping individual refugees or families in distress they could alleviate suffering directly. To seek to do so is very understandable but it can lead to a personalemotional involvement at the expense of thestaff member's wider responsibilities towardsthe refugees as a whole, and to resentmentamong other refugees. Direct responsibilityfor individual care is usually best assured bythe refugee community. For all staff, compas-sion must be tempered by a professional approach. Guidance by supervisors is oftenneeded on this point.

25. Particular attention must be paid toproper supervision and encouragement ofnewly recruited national staff. Often the Headof Office and other international staff are extremely busy, out at meetings or in the field,and the other staff, who may know littleabout UNHCR and less about the operation,lack guidance and a sense of involvement.Some of the general information in the emer-gency office kit may be useful for briefing

Everyone must be made to feel part of the UNHCR team. This includes consultants,seconded staff, and volunteers.

Responsibilities, roles and tasks must beclearly defined and understood.

Lack of proper supervisory support maylead to the volunteer taxing already over-extended staff as much as, or more than,the value added.

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newly recruited national staff. In all cases the new staff should receive a briefing fromtheir direct supervisor covering, at a minimum,general information on the operation and therole of the new staff member.

Personnel Administration

26. UNDP may be able to help in determin-ing conditions of service and even in identify-ing national field staff.

27. Careful attention must be paid to the administration of out-posted field staff. A convenient way of administering Field Offi-cers, at least initially, is to ensure that theTravel Authorization (PT8) issued authorizingthe mission to the country of operation alsocovers internal travel and DSA. If the latter isnot covered, an addendum to the original PT8is issued. Normally in emergency situations,and to avoid staff carrying too much cash, aDSA advance is given on a monthly basis. Thisadvance is charged to the suspense accountcode as indicated on the UNHCR accountcodes listing (VF 324) and recorded on the reverse side of the original PT8. Upon comple-tion of the mission, the office settling thetravel claim, must ensure that the travel advances are deducted from the entitlements.

28. Particular care must also be taken to en-sure the proper administration of out-postednational staff, for example, Field Officers' driv-ers. It should be noted here that while Headsof Office can authorize out-posted staff todrive official vehicles on official travel, as in anemergency this is likely to be necessary, everyeffort should be made to provide Field Offi-cers’ with drivers from the start. They can be ofgreat help to Field Officers in a variety of ways.

29. All out-posted national staff must havecontracts, understand their terms of employ-ment and benefits, including the cost andbenefits of the UN health insurance scheme,receive their salary regularly, work reasonablehours and take leave due.

Obvious as these requirements are, they canbe difficult to meet in an emergency. Theremay be important extra demands on UNHCRdrivers, both beyond simple driving and alsoas a result of their working for itinerant FieldOfficers and thus spending considerable timeaway from home. These factors must be takeninto account.

Staff Visibility

30. A means for visual identification of UNHCR staff may be necessary, particularlyoutside the capital. Visibility materials, avail-able from Headquarters, include flags, stickers(including magnetic stickers), vests, armbands,T-shirts and caps (see the Catalogue of Emer-gency Response Resources Appendix 1).

31. Consideration should also be given toadopting a UNHCR identity card with a visiblephotograph that can be worn as a pocketbadge. Arrangements should be made as soonas possible for UNHCR staff to receive diplo-matic identity cards issued by the government.Pending that, an official attestation in thelocal language could probably be quicklyobtained for each out-posted Field Officerfrom UNHCR’s government counterpart andmight be very useful.

Staff Accommodation

32. At the start of an emergency, interna-tional staff will be on mission status and willgenerally be accommodated in hotels. Shouldthe daily subsistence allowance (DSA) not coverthe basic cost of adequate hotel accommoda-tion, Headquarters should be informed at onceand all hotel receipts retained. Conversely, DSAis reduced if official accommodation and/ormeals are provided. If it is clear that specialarrangements will be required for personal accommodation for staff who are assigned tothat duty station, Headquarters should be informed, with details of local UN practice.

33. In extreme hardship areas, where there isno suitable staff or office accommodation, astandard staff and office accommodationpackage is available. This consists of prefabri-cated units which are stockpiled and whichcan be airlifted to the operation. Further information is provided in the Catalogue ofEmergency Response Resources (Appendix 1).

34. Standard travel kits and field kits are alsoavailable from the emergency stockpile, anddetails of their contents are provided in the Cat-alogue of Emergency Response Resources (Appendix 1). The kits have been developed toprovide staff with some basic personal itemslikely to be of use in the first days at such places,pending more appropriate local arrangements.The kits will normally only be issued to staffproceeding to isolated locations from or viaGeneva, and when it is clear that there may notbe time to obtain what is actually needed on arrival in the country of operation. If UNHCR is

All staff should have job descriptions andunderstand them.

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already represented in that country, the FieldOffice should have a good idea of conditions tobe expected and thus of what specific personalequipment may be needed, and this is probablybest purchased locally.

35. Responsibility for the provision of thenecessary personal items rests with staff mem-bers. Even when issued with kits, staff shouldcheck carefully what other items may be re-quired; it is unlikely that a standard kit willmeet all needs. Staff receiving kits will be required to account for them at the end oftheir mission, and will be expected to at leastreturn the non-consumable items.

36. In difficult conditions it may be necessaryto hire a base camp manager who will be re-sponsible for organizing living arrangementsfor UNHCR staff. A description of the tasks of abase camp manager is provided in the Checklist.

Budget and Finance(see Checklist section on Finance, Equipment &Supplies).

Authority to Incur Expenditure

37 Currently UNHCR classifies expenditureinto two types:

i. Project expenditure;

ii. Administrative support expenditure.

This classification of expenditure may changein the future.

38. Authority to enter into obligations forproject expenditure is given by a letter of in-struction (LOI). Further details can be found inchapter 8 on implementing arrangements.

39. Authority to enter into obligations foradministrative support expenditure is given by an Administrative Budget and ObligationDocument (ABOD). This is issued by Headquar-ters and is addressed to Heads of Offices. Itcovers all non-staff costs including temporaryassistance and overtime.

40. Authority for additional administrativesupport expenditure in an emergency is givento an existing Field Office by amending the existing ABOD. When an emergency occurs ina country where UNHCR is not already repre-sented, an initial ABOD will be issued immedi-ately. This can then be amended when moredetails of administrative requirements areknown. Control of expenditure against fundsallocated is by an Administrative Budget Control Sheet (ABCS) generated from thecomputerized accounting system.

Transfer of Funds

41. It is essential to have funds immediatelyavailable. Funds will normally be made avail-able by bank transfer. However, such transfers,especially to out-posted Field Office bank accounts, sometimes suffer undue delays be-cause of complicated banking channels. It isvery important to select a local bank with a direct international correspondent relation-ship, if possible with Citibank N.A. New Yorkor the UBS Bank in Switzerland. Further in-formation can be provided by the Treasury Section at Headquarters.

42. At the start of an emergency it may bepossible to hand carry a banker’s cheque fromGeneva to be credited directly to the Field Office bank account. If this is done, properprecautions must of course be taken to ensurethe security of the cheque.

43. In very extreme cases, when no bankingservices are available, cash may be acquired locally (e.g. through local companies andtraders) upon specific authorization fromTreasury. Funds would be transferred to an account indicated by the trader after receiptof the cash by UNHCR. Cash may also be pro-vided to Field Offices through professionalcourier services. Information about cash trans-fers, past, present and future, must be treatedwith absolute discretion.

44. Subsequently funds will be transferredby Treasury upon cash replenishment requestsin the standard format shown in the box below. Care should be exercised that funds arecalled forward as close as possible to the dateof their utilization to avoid unnecessary highbank balances over prolonged periods.

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To: UNHCR Treasury (HQTY00)From: Requesting Officer/Field Office LocationSubject: Cash Replenishment Request

Please effect an immediate transfer of fundsbased on the following information:

Balances on hand (all bank accounts and pettycash) at (dd/mm/yy): (provide details of amountsand currencies)

Total disbursement needs for the next x (maxi-mum 4) weeks: (provide details of administrativeand programme needs, amounts and currencies)

Replenishment amount requested: (indicateamount and currency)

Complete bank name and address, includingUNHCR bank account number, and the Field Office’s accounting system receiving bank code.

45. Disbursements for both administrativeand project expenses are made in the Field either from a local UNHCR bank account or,pending the opening of such an account,through UNDP. In the latter case, UNHCRHeadquarters will arrange with UNDP Head-quarters for the local UNDP office to receivethe necessary authority to incur expenditureon behalf of UNHCR. Settlement with UNDPwill normally take place through the commonInter-Office Voucher (IOV) system for amountsof less than US$10,000 or through a specialtransfer of funds to UNDP New York for largersums. As a rule, disbursements exceeding theequivalent of US$100 should be made bycheque; whenever local circumstances requireregular cash payments in excess of this limit,Headquarters’ approval must be obtained.

Bank Accounts

46. All local UNHCR bank accounts areopened by Treasury upon recommendationfrom the Field Office. The choice of a bank willbe determined by its reputation, ease of access, services offered and charges. Other UN agencies, diplomatic missions and NGOsshould be consulted. The following informa-tion is required:

i. Full name of the bank;

ii. Address, phone, telex and fax numbers;

iii. Type and currency of account;

iv. Bank’s correspondent bank in New York orSwitzerland;

v. Maximum amount of any one cheque;

vi. Suggested panel of bank signatories;

vii. Amount of initial transfer.

47. Treasury will designate the authorizedbank signatories. Two joint signatories arenormally required to operate UNHCR bankaccounts. In exceptional circumstances, signa-ture by one Officer may be authorized.

Cheques must bear UNHCR in words, be consecutively numbered, verified on receipt,and kept in a safe by a staff member desig-nated by the Head of Office. Cheques shouldalways bear the name of the payee andshould be crossed unless there is an overridingreason why this is not practicable. Under no circumstances should a bank signatory pre-sign either a blank cheque or one which isonly partially completed.

48. Field Offices will normally maintain onenon-resident local currency bank account; circumstances may however also require theopening of a non-resident US dollar accountand perhaps even a resident local currency account. Where problems of exchange controlregulations are encountered, the Treasury atHeadquarters should be informed immedi-ately. Field Offices should ensure that themost favourable conditions are obtained forthe transfer and conversion of UNHCR funds.

Exchange Rates

49. If there is a significant discrepancy, i.e.more than 3%, between the actual marketrate and the prevailing UN rate of exchange, arequest for a revision of the latter should bemade. This request should be coordinatedwith UNDP and other UN organizations locallyand addressed to UNDP New York. The communication should contain a summary ofthe fluctuations over the previous 60 days. Ifnecessary, UNHCR Headquarters should be requested to intervene with UNDP New York.

Accounting Procedures

50. UNHCR accounting procedures maychange. However, currently, whenever a FieldOffice operates its own bank account(s), itmust report to Headquarters monthly on alltransactions for each account. The procedureis the same for both administrative andproject expenditure. Most importantly, aproperly supported payment voucher must becompleted and immediately entered into theelectronic accounting system. Where thissystem has not yet been installed, a manualpayment voucher (F.10) should be completedand immediately entered on a bank journal(HCR/ADM/800). It is essential that the voucherquotes the authority for payment (LOI, ABOD,PT8 (travel authorization). A “Mini PaymentVoucher” book (F.11), designed especially foremergencies, may be used by out-posted FieldOfficers. An official UNHCR receipt vouchershould be issued and entered on the bankjournal for any receipts other than replenish-ments from Headquarters. Similarly, pay-ments from petty cash have to be accountedfor in the petty cash journal (HCR/ADM/800).It is imperative that all vouchers and journalentries list the correct account code, as indi-cated in the UNHCR account codes listing andon the PT8, or the project symbol marked onthe LOI against which the transaction is to bedebited/credited.

Particular care must be taken to ensurecheque book security.

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51.

Experience has shown that failure to do so willnot only delay the replenishment of the bankaccount but will also result in far more workthan would originally have been required.

Non-Expendable Property and OfficeSupplies(see Checklist section on Finance, Equipment &Supplies).

Non-expendable property

52. Authority to purchase office furnitureand equipment is given in the ABOD. Field Offices may purchase locally or regionally ifthe cost of the item is less than 15% abovethat available through the Supply and Trans-port Section at Headquarters2.

53. The purchase of computer equipment,vehicles, telecommunications equipment andsecurity equipment should be coordinatedwith Headquarters in order to ensure con-formity with the organization’s specifications.Local purchase should be considered and ifthe cost is within the 15% limit referred toabove, the Field Office should forward threepro forma invoices, together with the item’sspecifications, to the Supply and Transport sec-tion at Headquarters for approval.

Asset Management System

54. The asset management system is anelectronic system to track and manage all non-consumable assets owned by UNHCR(with a lifespan of over a year), regardless of funding source or user (including for exam-ple all vehicles, telecommunications and computer equipment, furniture and officeequipment, buildings such as clinics, office, hospitals, and water purification and con-struction equipment). The system should be installed into at least one computer at the country office level. A decision should be made at the beginning if the extent of the operation requires that the system be installed in other offices within the country.

The office must also have the system usermanuals, bar-code labels and data entryforms (obtained from the Asset ManagementUnit at Headquarters).

55. Whenever an asset is purchased, whetherlocally, regionally, through Headquarters, or byimplementing partners with UNHCR funding,it must be bar-coded and recorded in the assetmanagement system.

56. Where items are acquired from stock-piles maintained at Headquarters, such ascomputer and telecommunications equip-ment, relevant data about the item will besent to the Field on diskette so that the officecan import the details into the asset manage-ment system.

57. Where an asset is re-deployed to anotherlocation, data about it should be sent ondiskette to the receiving office for importationinto the asset management system.

58. It is important that all assets are bar-coded and recorded in the asset managementsystem from the beginning of the operation.Failure to do so will result in “lost” assets andin far more work than would originally havebeen required.

59. Offices maintaining their own asset man-agement database should regularly send theirdatabases to the country office for consoli-dation.

The consolidated database should be sent toHeadquarters every three months.

Office Supplies

60. An emergency office kit (see Catalo-gue of Emergency Response Resources, Ap-pendix 1) can be used to supply a new officewith stationery and small office equipment.The stockpiled kits weigh approximately120 kg packed in two cardboard boxes. Eachkit is designed for an office with five interna-tional staff and ten national staff. 3

1. Office supplies, as well as printed stationery and forms, can be purchased locally, regionally, or if this is too expen-sive, office supplies and printed formslisted in the UN catalogue may be orderedon a stationery request form (GEN-236/1)directly from Headquarters. The emer-gency kits are not intended for re-supply,even in emergencies.

Whatever the pressures of the emergency,accounts must be kept up-to-date and themonthly closure done on time.

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2 Costs of items available through Headquarters arequoted in UNHCR’s Catalogue of Most FrequentlyPurchased Items, UNHCR, Geneva, (updated regularly) and in IAPSO’s catalogue of Office Equipment, IAPSO (updated regularly).

3 Further information is also contained in the Catalogue ofEmergency Response Resources (Appendix 1).

61. Orders for items not listed in the UNcatalogue4 and which are not locally availableshould be requested from Headquarters, giv-ing all necessary details and specifications.

Office Premises(Checklist section on Premises)

62. The order of priority for obtaining of-fices is:

i. Rent-free from the government;

ii. In common UN premises;

iii. Government-provided offices against reim-bursement by UNHCR and

iv. Commercial rent.

63. Interim arrangements may be necessary,but the early establishment of the UNHCRpresence in a convenient location will be ofobvious importance to the success of the oper-ation.

64. Office space per person should not exceed about 14m2, but an approximate addi-tion of 30% is needed to allow for a receptionarea, interviewing room, meeting room, andservices area (filing, copier, etc.) as appropriateto the scale of the operation.

65. Considerations in selecting office prem-ises include:

❏ Location (distances from ministries, imple-menting partners, bank, post office, air-port, etc.);

❏ Security (for authorized access to individualrefugees and UNHCR staff, to preventunauthorized access, and for the physicalsecurity of offices, files, etc.);

❏ Parking facilities;

❏ Utilities (electricity, water, heating, air-con-ditioning, wires for telephone, toilets, sim-ple kitchen facilities, storage room, etc.);

❏ Physical layout and orientation of the buil-ding. Ensure that the building and groundsare suitable for radio and satcom antennasand that there is no interference fromneighbouring installations e.g. pylons;

❏ Provides for a large enough meeting space for UNHCR to discharge its coordina-tion responsibilities through coordinationmeetings;

❏ Room for expansion; in emergencies thenumbers of staff can fluctuate considerably;

❏ The condition of the office.

66. The use of residential accommodation(e.g. a villa) as an office may be an option.

67. Once office premises have been selected,the government, diplomatic community, otherUN agencies and NGOs should be informed accordingly, and the relevant information pro-vided to neighbouring UNHCR offices and toHeadquarters.

Official Transport(See Checklist section on Communications &Transport. In addition, chapter 18 on suppliesand transport deals with all transport issues,focusing on transport for operational needs).

Vehicles

68. It is essential for UNHCR staff to be mobile. Action to ensure enough of the righttype of official vehicles will be a high priority.Consult the Supply and Transport Section atHeadquarters regarding the purchase of vehi-cles (see chapter 18 on supplies and transportfor more information about the purchase oracquisition of vehicles). Once the vehicle issold or passes from UNHCR’s control (e.g. atthe end of a lease agreement), ensure thatany official UN or UNHCR logos and stickersare removed. Magnetic stickers (availablefrom Headquarters) can be quickly attachedand removed from vehicles and re-used.

69. Requests to Headquarters for vehicle pur-chase should give full details (make, type ofbody, number of doors, long or short wheel-base, left or right hand drive, petrol/diesel,special options: sand tires, extra fuel tanks, air-conditioning, heater, mine protection, anti-theft device, etc.). The duty-free on-the-roadprice and delivery time must be given if localpurchase is requested.

70. In many countries duty-free fuel may beavailable for official UN vehicles. Details ofprocedures should be obtained from the gov-ernment and other UN organizations. Followthem from the start; retroactive reimburse-ment is often impossible.

71. Vehicle daily log sheets should be intro-duced from the day the official vehicle becomes operational and these should be designed in such a way as to show the dailymileage of each vehicle and the purpose of

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4 Office Supplies, Forms and Materials, UN, Geneva, 1990.

each trip. The daily log should also include the names of the driver and of the passen-ger(s). Mileage should be regularly checkedagainst the purchase of fuel for that vehicle.

72. It is important that vehicles are insuredand registered upon arrival. In respect of eachofficial vehicle assigned to a Field Office, adequate insurance covering third party risksshould be arranged locally with a reputableinsurance company.

Light Aircraft

73. There may be situations when a light aircraft is the only way to ensure satisfactorycommunications between the various UNHCRlocations. The need may be temporary, for example to expedite needs assessment andthe initial response, or longer-term when theexisting communications infrastructure doesnot adequately cover the location of therefugees and the journey by road is long anduncertain. In some circumstances, security isalso a consideration.

74. Immediate action to provide the neces-sary flights is essential. Initially, or where theneed is short-term, this is likely to be by com-mercial charter unless the UN system alreadyhas a light aircraft and spare capacity. If locallybased charter companies exist, seek impartiallocal advice on their reliability, obtain as manyoffers as possible and send these to Headquar-ters with a recommendation. Include details ofpassenger insurance coverage. This informa-tion should be complemented by an indicationof the required weekly flight plan (e.g. perweek: 3 return flights capital/location X; 1 re-turn flight capital/location Y; 1 round trip flightcapital/X/Y/capital), and the estimated cost forthe necessary flights (total or per month).

75. Where local charter is not possible or along-term need is foreseen, inform Headquar-ters with as much detail of the requirement aspossible and ways it might be met (for exam-ple, of charter companies from neighbouringcountries known to operate in the country ofoperation). Some government disaster corpsand a number of NGOs operate light aircraft.Some are specialized in this field like AviationSans Frontieres (ASF), and the Missionary Avia-tion Fellowship (MAF). If there is already suchan operation in the country their adviceshould be sought.

Office Organization(Checklist section on Filing & Documentationand Communications & Transport).

Filing and Documentation

76. A simple office communication systemshould be put in place immediately. This canbe implemented by, for example, pigeon holes(ideally one for each staff-member and onefor each collaborating organization), white-boards and notice-boards. This will help toease communication problems in the confus-ing early days of an emergency.

77. A suitable filing system and registry controls should be set up immediately on theopening of a new office. Annex 2 gives someguidance as to what might be required andhow filing could be organized.

78. A rubber stamp to show date of receipt,file, action officer and remarks will be veryuseful. The practice of putting a chronologicalnumber on every outgoing communication isstrongly recommended and will be particu-larly helpful in the confused early days. Every-thing should have copies on the chronologicalfile in addition to a subject file.

79. As a precautionary measure, officesshould have a shredder to destroy any unwan-ted documents or correspondence. In somecountries waste paper is sold and used in mar-kets for packaging, so care should be takenthat discarded UNHCR documents are notused in this manner.

Communications

80. Communications needs are discussed inthe communications chapter. A simple check-list for a new office is given below; the orderwill not necessarily be the priority.

❏ Identify the need for a telecommunicationsnetwork as soon as possible (radio, e-mail,satellite, etc.);

❏ Obtain necessary permission from the au-thorities to operate the equipment withthe assistance of the RTO or HQ Telecoms ifnecessary;

❏ Obtain immediate access to a telephoneand fax and tell Headquarters (and neigh-bouring UNHCR offices as appropriate) thenumbers and where they are located;

❏ Set up controls and registers for incomingand outgoing communications from thestart;

❏ Establish a pouch system between the of-fices within the country of operation andHeadquarters;

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❏ Consider communications needs in select-ing office premises;

❏ Obtain a PO box number and tell Head-quarters (and local authorities, etc.) thenumber;

❏ Once the UNHCR telecommunications network is installed, inform government, UNHCR Headquarters, neighbouring UNHCRoffices, diplomatic corps and others, andensure correct listing in national telephonedirectories, in the local UN and diplomaticlists, and in the UNHCR directory.

Key References

Checklist for the Emergency Administrator, UNHCRGeneva, 1998 (and updates).

Most Frequently Purchased Items, UNHCR, Geneva,1998 (updated annually).

NGO Directory, UNHCR Geneva, 1996 (And sub-sequent updates).

Office Equipment, IAPSO, Copenhagen, 1998.

The UNHCR Manual, Chapter 9, (Chapters onfinancial regulations and rules, especially thosefinancial rules for voluntary funds that are admin-istered by the High Commissioner). UNHCRGeneva, 1995 (and updates).

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This checklist is intended as a practical tool for UNHCR staff when responding to emergencies andassigned to duty stations where there is no established UNHCR presence, or where the existing office needs to be strengthened as a result of new events. The complete Checklist consists of threecomponents listed below. Only the first part, the checklist is reproduced here. The complete check-list in its three components can be obtained from the Emergency Preparedness and Response Section at Headquarters.

The 3 components are:

1. The Checklist itself which lists most activities requiring consideration when establishing a Branch,Sub or Field Office. Not all items will be relevant. The administrative officer together with the Headof the Office will need to determine what action is to be taken. The list is not presented in an orderof priority and it is therefore important to set your own priorities depending on the local circum-stances. The list does not cover administrative procedures and action required for the ongoingneeds of the office, but concentrates on those related specifically to the establishment of an office.Each item is preceded by a box which you may tick off as action is taken.

2. Annexes, which are primarily extracts from existing documentation. These have been included for ease of reference and are not substitutes for existing manuals and instructions of which the mostimportant is the UNHCR Manual to which frequent reference should be made. Not all relevant UNHCR forms are included, as these are available in the Emergency Office Kit, or directly on requestfrom Headquarters.

3. A computer disc which contains the format for all forms or documents which are indicated by an(*) in the Checklist. These forms or documents can be copied and amended to suit local needs. (It isrecommended that the original format is not amended directly.)

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Annex 1 – CHECK-LIST FOR THE EMERGENCY ADMINISTRATOR

(Note: This checklist is regularly updated, the latest version should be consulted)

The importance of setting up effective administrative procedures from the outset

cannot be over-stressed. They will have important consequences

for the effective administration throughout the operation.

ESTABLISHING AN OFFICE CHECK-LIST FOR THE EMERGENCY ADMINISTRATOR

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ACTION

❏ 1. Establish a UNHCR Cooperation Agreement if notalready in place or consider its amendment if onealready exists but circumstances have changed

❏ 2. Identify need for Sub or Field Offices

❏ 3. Identify Office Premises, negotiate lease and seekapproval from Geneva

❏ 4. Consider the use of UNHCR stickers and UN flags,posters and visibility material. Request more from HQ ifnecessary

❏ 5. Consider "Base Camp" requirements and need for Basecamp manager, in situations where this is applicable

❏ 6. Determine immediate needs for and set upcommunications: Telephone, E-Mail, fax, telex and/orradio and pouch. Complete communicationsquestionnaire and send to HQs Attn.Telecommunications Unit

❏ 7. Establish telecommunications procedures. Train staffand advise procedures

❏ 8. Establish log for recording long distance phone callsgiving particular attention to private phone calls

❏ 9. Prepare forms for telex/fax messages

❏ 10. Establish communications log and chron files

❏ 11. Establish a regular system (shuttle) for transport of mailand personnel between sub office and branch office (ifnecessary)

❏ 12. Determine Admin Vehicle needs: Landcruisers, Pick ups,saloons and/or minibus

❏ 13. Establish procedures for light vehicle use:– Authority for UNHCR staff to drive official vehicles– Driver trip logs– Vehicle tracking system

ANNEXES

a. Model Agreement (*)b. Example Agreementc. UN Convention on Privileges &

Immunities

a. Excerpt from UNHCR Manual

a. Excerpt from UNHCR Manualb. Standard lease (*)c. Note on selecting

a. Flag Codeb. List of stockpiled visibility

material

a. Base camp manager

a. Communications Info Kitincluding CommunicationsQuestionnaire

b. Telecommunications inventoryforms (*)

c. Pouch Service Instructions

a. Sitor/Pactor Manualb. Voice procedurec. Codan user instructions (*)d. Handover letter for

handsets (*)e. Handset user instructions (*)f. Radio room discipline (*)g. Communications procedures

a. Excerpt from UNHCR Manualb. FOM 01/93 including

Telephone log form (*)

a. Model format (*)

a. Radio message chron forms(*)

a. Shuttle Passenger Manifest (*)

a. Excerpts SFAS Handbookb. Excerpts IAPSU Catalogue

a. Excerpt from UNHCR Manualb. Driver Log format (*)c. Vehicle Tracking format (*)d. Excerpt from ICRC Handbook

PREMISES

COMMUNICATIONS AND TRANSPORT

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– Maintenance logs– Construct key box & ensure key security– Identify best means for vehicle servicing– Make arrangements for the purchase of Duty Free

petrol– Undertake driver education sessions

❏ 14. Establish staffing table with Organigram and jobdescriptions. Send to the Desk at HQs

❏ 15. Identify sources for local staff recruitment. Preparesimplified Job Application Form for local Staff. (P11 tobe used only for candidates who are being seriouslyconsidered)

❏ 16. Recruit essential and urgently required local staff. Setup local recruitment committee. Following selection, is-sue short term contract and arrange appropriate med-ical check

❏ 17. Identify UN Examining Physician if necessary if no UNDPOffice and inform SASS for JMS approval

❏ 18. Set up Personnel files for all staff

❏ 19. Establish leave recording system

❏ 20. Establish Working Hours, Overtime and DSA for localstaff on mission in country in accordance with UNDPpractice

❏ 21. Establish local mission tracking system

❏ 22. Send variable information on "Appendix B" for yourduty station to Geneva

❏ 23. Check that DSA appropriate for duty station and ifconsidered to be inappropriate complete DSA Work-sheet if no UNDP Office and transmit to SASS

❏ 24. If new duty station complete Classification of DutyStation questionnaire & send to HQs

e. Authority to drive officialvehicles (*)

f. Inventory record formg. Vehicle inspection check listh. Rules for driversi. Vehicles in UNHCR operationsj. Fuel receipt voucher (*)k. Mileage rates

a. Typical field office structuresb. Additional example

organigramc. Post creation and review

proceduresd. Benchmark job descriptions

a. Simplified job application form(*)

a. Excerpt UNHCR Manual andrelated recruitment forms

b. Interview notes & Report Form(*)

c. Recruitment tests for local staff(*)

d. Regulations for NPOs – excerptfrom APPB regulations

a. Secretariat Instruction on time,attendance & leave

b. Example leave recording forms

a. Excerpt from UNHCR Manualb. IOM 61/88 and IOM/120/88 on

salary advancesc. Copy OT recording form (*)d. IOM 76/89 on Overtime for

local staff

a. Mission recording format (*)

a. Format appendix B

a. Excerpt from UNHCR Manualb. DSA Worksheet & guidelines

a. Excerpt from UNHCR Manualb. Classification of Duty Station

Questionnaire

PERSONNEL, STAFF CONDITIONS AND SECURITY

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❏ 25. Review the validity of the post adjustment and ifconsidered inappropriate advise DHRM

❏ 26. Determine appropriateness of salary level of local staffand if inappropriate advise DHRM

❏ 27. Arrange payment of salary and allowances ofinternational staff

❏ 28. Negotiate discounts in local hotels and advise HQs.Ensure guaranteed room availability for mission staff

❏ 29. Consider security procedures and an appropriateevacuation plan

❏ 30. Collect personal data on international staff and requeststaff to complete inventories if warranted by securitysituation

❏ 31. Identify best means and procedures for medicalevacuation of staff

❏ 32. Establish frequency and procedures for staff welfaremissions through MARS/VARI/STAR

❏ 33. Review the living and working conditions, report toHeadquarters and request field kits, travel kits and staffaccommodation as appropriate

❏ 34. Design and begin training and coaching programmes inoffice procedures for local administrative staff

❏ 35. Survey local banks. Propose bank signatories andinterest level and request HQ to open bank account.Propose ceiling and request approval for petty cashaccount

❏ 36. Establish accounts procedures: Vouchers, Journals, files,signatory arrangements etc.

a. Excerpt from UNHCR Manual

a. Excerpt from UNHCR Manualb. Excerpt from CCAQ GS Survey

Manual

a. Salary distribution requestform and FOM/20/95 & Add.1

a. Excerpts from UN Field SecurityHandbook

b. IOM 47/92 on Field Securityreporting

a. Personal Data formb. Personal Effects Inventory form

a. Guidelines for Medevac Planb. IOM/104/94 and IOM/26/95 –

Guidelines on Medevac

a. Excerpts from FOM/105/94 +addenda

a. Structure of living and workingconditions report (*)

b. Example of EmergencyOperation Living conditionspaper

c. Excerpts from Catalogue ofEmergency Response Resources(field kits, travel kits, staffaccommodation)

d. FOM/70/95 on Accommodationprovided by UNHCR

a. Excerpts from UNHCR TrainingModule

b. Notes on Coaching Skillsc. Using Interpreters (*)d. FOM 102/88 on Language

Training

a. Excerpt of UNHCR Manualb. Questionnaire on Opening

Bank Account

a. Allotment Account Codes Foressential guidelines on accounting procedures refer toPart 5, Chapter IX of the UNHCR Manual and to theFOAS Manual

FINANCE, EQUIPMENT AND SUPPLIES

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❏ 37. Request Emergency Allotment Advice if not alreadyreceived & finalize administrative budget request toHQs on ABPS

❏ 38. Purchase and inventorise non expendable property,particularly furniture, vehicles and equipment anddecide which to be charged to admin allotment andwhich to project expenditure (if any)

❏ 39. Check stocks of stationery and supplies, sort forms intoManila folders & order stationery and forms requiredfrom Geneva

❏ 40. Investigate the possibility of the local printing ofstationery. If possible and the cost is reasonable, requestpermission to do so from HQs. Proceed only onceaddress, telephone number, etc. known and not likelyto change

❏ 41. Survey EDP facilities and needs and recommendimprovements/request additional equipment. Ifnecessary request services of ICSS consultant to assessoptimum Admin (and programme) needs

❏ 42. Advise BO or HQs which newspapers and periodicals tobe sent on a regular basis. (This is part of field officebudgeting (ABPS) but worthwhile arranging separately)

❏ 43. Set up file list, chron files and document registrationsystem

❏ 44. Set up distribution system with central location of trays.Consider local construction of pigeon holes. Establishdocument circulation system

a. Copy of Emer. AllotmentAdvice

b. Excerpt of OperatingInstructions of ABPS

c. FOM 120/94 Field Office AdminBudget Procedures

a. Excerpt from UNHCR Manual

a. Excerpt from UNHCR Manual

a. Examples of stationary Exam-plestationery

a. Entitlement

a. Filing principles (*)b. Standard file list (*)c. Chron Register Format (*)

a. Example Action Sheet (*)b. Example Circulation Slip (*)

FILING AND DOCUMENTATION

* Available on the computer disc which accompanies The “Checklist For The Emergency Administrator”.

1. A file list should be set up immediately onthe opening of a new office. It should be donein such a way that it can expand and contract totake account of new situations. One mustachieve the correct balance between being toospecific and too general.

2. Three types of files should always bear astandard format reference or symbol whethermaintained at Headquarters or in the Field: per-sonnel (PER/IND) files, individual case (IC) filesand project files. The latter symbol is always al-located by Headquarters.

A personnel file bears the file reference PER/INDFAMILY NAME, Given Names, e.g. PER/INDSMITH, Ms Jane Marie

An individual case file bears IC FAMILY NAME,Given Names RUR (country of residence)/RUR (country of origin)e.g. IC SMITH, Ms Jane Marie RUR/RUR

A project file bears Year/Source of fund/Countryof operation/assistance type/project number,e.g. 98/EF/RUR/EM/140.

3. An indication of subject files which mightbe required is given below. The number desig-nates a subject not a file. Accordingly, files maycomprise two or more file numbers.

Do not make subsequent perusal difficult by fil-ing items out of sequence.

4. Security should be considered when filingdocuments, in paper and or electronic form.Files which should be destroyed in the event ofevacuation of the office should be marked inadvance. These should include individual casefiles and personnel files.

A file should “tell a story”.

Suggested File List

1. General & External Affairs

100 UNHCR Structure/Mandate & Gen. Info.101 Executive Committee102 IOM/FOMs

110 Relations with (host) Government111 Relations with local Consulates112 Inter-Agency Meetings113 NGOs (general & alphabetical by agency)114 UN Agencies (general & alphabetical by

agency)115 Inter-Governmental Organizations

(general & alphabetical by agency)

120 Reports from the field121 Situation Reports (SITREPS)122 Camp profiles

130 Missions to the office (UNHCR &alphabetical)

131 Missions by office staff (alphabetical)132 Visitors to the office (non-UNHCR &

chronological)133 Public Information Activities & Media

Relations134 Press releases & Press clippings135 Conferences and Special Events

140 Training/Seminars/Workshops

150 Fund Raising/Contributions

2. Protection

200 Protection General – UNHCR201 Human rights/Country of Origin Info.

(RUR – Alphabetical)

210 Protection (host country)211 Detention212 Determination213 Tracing214 Family Reunion215 Physical Security of Refugees216 Registration

3. Operations & Assistance

300 Field Operations General301 Field Operations (by site/camp)

310 Programme General (UNHCR) includingFOBS

311 Assistance Programme General (hostcountry)

312 Emergency Management313 Technical Support314 Procurement

320 Food/Nutrition321 Health322 Water & Sanitation323 Site Planning & Shelter324 Non-Food Items & Domestic Supplies

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Annex 2 – Suggested Field Filing System

325 Logistics (procurement, transport, storage)326 Community Services, Counselling,

Community Development327 Education328 Productive Activities & Income Generation329 Camp Management

330 Repatriation331 Local Settlement332 Resettlement

4. Administration & Finance

400 Administrative Policy401 Administrative Instructions

410 Office Premises411 Office and Personnel Security412 Asset Management413 Expendable property & Supplies414 Utilities415 Records Management/Filing416 Communications417 Transport/Vehicles

420 Staff Rules & Regulations421 Office Staffing422 Applications for Employment/Recruitment423 Salaries/Benefits/Allowances/Living

Conditions424 Taxation/Exemptions/Privileges &

Immunities425 Leave & Holidays426 Travel/Mission & Leave Rosters

430 Accounting & Finance Procedures431 Rates of Exchange432 DSA Rates433 Administrative Budget & Obligation

Document

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Administration, Staffing and Finance20

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21Communications

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CONTENTS Paragraph Page

Introduction 1 312

Communications Management 2- 8 312

Telecommunications 9-12 312-313Telecommunications InfrastructureTypes of Telecommunications

UNHCR Telecommunications Network 13-27 313-315Field PreparationsOffice AccommodationRadio EquipmentRadio call-signsField/Headquarters TelecommunicationsTelecommunications Unit – Operating Hours

Key References 315

Annexes

Annex 1: Common Communications Equipment and Terminology 316

Annex 2: Message Identification 317

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Introduction1. Good communications are essential in anemergency. Effective communications requireappropriate equipment, infrastructure, andgood management.

Communications Management2. With improved means of communica-tions, even from very remote locations, theproper management of communications hasassumed great importance. The structure andflow of communications should reflect that ofthe management of the operation, with com-munications being channelled in a properlystructured manner.

Raw information should not be routinelytransmitted simultaneously through severallevels of the management structure by copy-ing reports widely, in addition to directingthem to the person responsible for action. Dis-tribution of information should be restrictedto those who need it for the exercise of their functions and communications traffic ingeneral should be restricted to that which isnecessary.

3. Originators of communications shouldalways ask themselves what the purpose ofthe message is, who will be receiving it, andwhether the information contained is suffi-cient and appropriate for the purpose.

4. Under the pressures of an emergencythere is sometimes a tendency to exchange incomplete information. If the information isinsufficient for the purpose of the message,and if the matter cannot wait, then acknowl-edgement of gaps may save time and trouble. For example, “further information being obtained but meanwhile please react onpoints…”

5. The most appropriate means of transmis-sion for the message should be considered inview of cost, urgency and bulk. For example,avoid using the telephone or fax when themessage could be passed by electronic mail(e-mail). Similarly, large amounts of data, un-less very urgent, should be sent via pouch ormail rather than by e-mail.

6. Using or developing standard forms canassist communications management, as theycan act as a checklist for information usually

transmitted in that form of communication(sitreps are an obvious example – see theannex to chapter 8 on implementing arrange-ments.)

7. An effective referencing system must beused – this is a major factor in ensuring goodcommunications.

Correct numbering and/or referencing willgreatly help identify earlier communications.It will also provide a means to systematicallytrack actions required and help maintain orderly and disciplined communication. Seechapter 20 on administration for more infor-mation on a filing system. Annex 1 describesthe official UNHCR message identification system which is used by the Telecommunica-tions Unit.

8. The immediate requirement for commu-nications may be satisfied by telephone, e-mailand fax. However, regular pouch, courier ormail services should be established as soon aspossible. A checklist for communication needswhich should be considered when setting upan office is contained in chapter 20 on admin-istration. In addition, the Checklist for theEmergency Administrator contains guidance,forms and information for setting up differenttypes of communications.

Telecommunications9. Effective telecommunications requiresstaff and equipment dedicated to that task.When planning telecommunications require-ments, the Regional TelecommunicationsOfficer and the Telecommunications Unit atHeadquarters should be involved as early aspossible. These can help to identify experi-enced UNHCR telecommunications staff whocould be deployed to the operation. Emer-gency staff can include telecoms officers fromUNHCR’s standby arrangements. If necessarythese officers can be used to supplement UNHCR Telecom staff.

Telecommunications Infrastructure

10. The existing telecommunications infra-structure of the country may not support UNHCR’s requirements, because the infra-structure may be either inadequate or dam-aged. Certain security situations can also result in the telecommunications facilities being closed down or drastically reduced

Use separate messages for clearly separatesubjects.

At each level reports and information re-ceived should be analyzed and consolidatedbefore being passed to the next level.

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(in which case cellular telephone networkswould also be unavailable).

11. UNHCR maintains a stockpile of telecom-munications equipment for rapid deploymentto emergencies (see Appendix 1, Catalogue ofEmergency Response Resources). This equip-ment provides emergency response staff withimmediate communication links from eventhe most remote locations.

Types of Telecommunications

12. The following are the principle means oftelecommunication currently available for useby UNHCR:

i. Telephone. Telephones can be connectedthrough standard landlines or cellular net-works for communications within the country, and through international or sa-tellite connections (VSAT, INMARSAT – seeAnnex 1) for communications with othercountries;

ii. Fax. Facsimile (fax) operates over standardtelephone lines, or satellite (VSAT, INMAR-SAT) connections. Fax facilities are availableto and from most countries, however it ismore expensive and less easily relayed thane-mail;

iii.E-mail. E-mail also operates over standardtelephone lines or satellite connections. Inthe initial phase of an operation, e-mail canbe obtained through portable satellite ter-minals, or using local phone lines if avail-able, and later the SITA network or DAMAsatellite system (see Annex 1) can be used ifthere is a suitable connection point;

iv. Radio. Radio can be used for voice and writ-ten communication (including e-mail andelectronic data). Installation by qualifiedtechnicians is required. In an emergency it isalmost always necessary to set up radio net-works to ensure communications betweenUNHCR offices and between UNHCR andother agencies. The radio network will alsoprovide an emergency backup for commu-nications with Headquarters in the event oflandline communications being cut. Mobileradios (handheld or installed in vehicles) enable staff in the immediate region tomaintain contact with one another andwith the office;

v. VSAT (or Very Small Aperture Terminal – aslight misnomer as the smallest dish size is1.8-2.4 metres in diameter). VSAT is used fortelephone, fax, electronic data and e-mail

communication. Installing VSAT is a sub-stantial undertaking and must be carriedout by qualified technicians;

vi. Telex. Although telex is used less and less, itstill remains an option where it is available.

UNHCR Telecommunications Network

Field Preparations

13. The need for a UNHCR telecommunica-tions network should be discussed at the high-est appropriate level in the concerned ministrydealing with UNHCR matters (for example, theMinistry of Home Affairs). The advice of thetechnically competent authorities should besought (for example the Ministry of Communi-cations or post and telecommunications ser-vice). Note that Section IX of the Conventionon the Privileges and Immunities of the UnitedNations provides that “the UN should enjoyfor its official communications, treatment notless favourable than that accorded to diplo-matic missions in the country”.

14. Contact the Telecommunications Unit atHeadquarters or the Regional Telecommunica-tions Officer as soon as the need for a telecom-munications network is known. Give the pro-posed number and location of offices, anddistances between them, so they can advise onthe type of equipment needed.

15. Permission to operate a radio station andfrequency clearance must be obtained – inmost countries there is a standard governmentapplication form. In the case of HF and VHF,check with UNDP and other UN organizationsin case they have already received clearancefor any frequencies. The TelecommunicationsUnit or the Regional Telecommunications Offi-cer can give advice on completing the govern-ment application form.

16. It is also necessary to obtain permission tooperate satellite communications installations.The competent authority will need to knowspecific information about operating frequen-cies and characteristics of the equipment. Thisinformation can again be obtained throughthe Regional Telecommunications Officer orthe Telecommunications Unit at Headquarters.

Office Accommodation

17. The physical requirements for telecom-munications equipment should be kept inmind when choosing office accommodation(see chapter 20 on administration). For exam-ple, a radio antenna will require space either

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on the roof of the building or in an open areaat ground level, and a room for the operatingequipment very close to the antenna. Notethat for optimum results, the cable connectingthe radio equipment with its antenna shouldbe as short as possible, and not more than 50 meters if possible.

18. VSAT installations in particular requirean uninterrupted view towards the horizon inthe direction of the equator (i.e. towards thesouthern horizon in the northern hemisphere,and towards the northern horizon in thesouthern hemisphere). The angle of elevationof the VSAT dish above the horizon will de-pend on the latitude of the office, the highestangle would be on the equator. If the VSAT is installed on a building (on a flat roof for example), the building must be strong enoughto bear the weight. If it is installed at groundfloor level, there should be enough spacearound it for a safety margin (4 m radius) toavoid the possibility of anyone coming tooclose to the transmitting antenna.

Radio Equipment

19. There are two types of radio equipmentgenerally used by UNHCR in field operations forvoice and data transmission: HF and VHF Radio.

20. Generally, HF communications are usedfor longer distances than VHF. The distanceover which VHF is effective can be greatly ex-tended by the installation of repeaters. VHFand HF radio would therefore be installed inthe offices and in vehicles as appropriate; de-pending on the distance from base the vehicleis expected to travel.

Radio Call-signs

21. Each radio installation will have its ownunique call-sign. The office installation is knownas the “Base” station, the vehicle installationsare “Mobiles”. It is useful to have a formalnaming convention for the call-signs, in orderto provide a logical reference. For example, oneletter can be used to signify the country of operation, one letter to signify the location, fol-lowed by one letter for the agency concerned.Remaining letters and figures may be added toprovide additional clarity, if the number ofusers on the network is particularly high. (Thecountry letter is normally omitted, unless cross-border operations are taking place.)

22. For example, a UNHCR office installationin Ruritania, Townville would be (R) T H Base,shortened to T H Base. A vehicle installation

for the same office would be (R) T H Mobile 1(T H Mobile 2, etc.)

23. The phonetic alphabet (see in the Tool-box, Appendix 2) is used so that the callsignscan be more readily understood over the radio, thus the above example becomes RomeoTango Hotel Base (shortened to Tango HotelBase), or Romeo Tango Hotel Mobile One.

24. Call-signs for individuals using hand-heldradios will normally follow the structure, forexample (for UNHCR Townville, Ruritania):

T H 1 (“Tango Hotel One”) Representative

T H 1 1 Deputy RepresentativeT H 1 2 Other staff member in

Representative’s office

T H 2 Senior Administrative OfficerT H 2 1 Administrative AssistantT H 2 2 Other administrative staff member

T H 3 Senior Logistics OfficerT H 3 1 Logistics AssistantT H 3 2 Other Logistics Staff member

25. The phonetic alphabet is set out in Appendix 2, Toolbox. Further information andother procedures may be found in “UNHCRProcedure for Radio Communication” (pocketsized reference booklet).

Field – Headquarters Telecommunications

26. E-mail allows the field to communicatedirectly with individuals at Headquarters andat field offices where a Local Area Network(LAN) E-mail Post Office is installed. However,e-mail messages sent directly to individualstaff e-mail addresses may not be read andacted upon immediately if the staff member isunexpectedly absent. It is better, therefore, toaddress messages that require immediate attention to a generic e-mail address, theseare addresses with the form HQxxnn, wherexx are letters indicating the organizationalunit and nn are digits denoting a sub unit, e.g HQAF04 is the generic e-mail address ofDesk 4 of the Africa Bureau. Urgent messagesmay be copied to the Telecommunications Service Desk at Headquaters, who will alertthe relevant Desk Officer, or Duty Officer, asappropriate.

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Telecommunications Unit – Operating Hours

27. The Telecommunications Unit at Head-quarters is staffed between the following localGeneva times:

0700-2100 Monday to Friday

0800-1700 Weekends and Public Holidays

Telephone 41 22 739 8777E-Mail HQTU50

Swiss time is one hour ahead of GMT in winterand two hours ahead in summer. Arrange-ments can be made to extend these workinghours, as necessary, in emergencies.

Key References

Checklist for the Emergency Administrator, UNHCR, Geneva, 1998.

UNHCR Procedure for Radio Communication,UNHCR, Geneva.

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316

Annex 1 – Common Communications Equipment and Terminology

CommonFull namename or

acronym

Codan Manufacturer’s name

DAMA Demand Assigned Multiple Access

DTS Digital Transmission System (proprietary name)

HF High Frequency

INMARSAT International Mobile Satellite Organization (originally called International Maritime Satellite Organization)

Pactor Packetised Telex Over Radio

SATCOM Satellite Communications

SATCOM A, B, Refers specifically to INMARSAT C, M, Mini-M terminals used by UNHCR

SITA Société International de Télécom-munications Aéronautiques

UHF Ultra High Frequency (Higher than VHF)

VSAT Very Small Aperture Terminal

VHF Very High Frequency

VHF Repeater Very High Frequency Repeater

Description and Use

High frequency radio system using voice communi-cation, commonly used in vehicles

Satellite (VSAT) system which allows multiple linesof telephone, fax and data to be transmitted viasatellite

A successor to PACTOR, allowing the transmissionof e-mail messages by radio

Range of frequency of radio waves used for longdistance radio communication

Phone system which provides global phone, faxand data transmission via satellite

System whereby printed messages can be sent byradio

Generic term for any satellite communications system

Telephone system used for voice, fax and datacommunications. The equipment comes in varioussizes, from suitcase size to small laptop and withvarying capabilities from simple telex to video-conferencing

An organization which provides a global commu-nications network for airline reservations andticketing. It can also provide a communicationsnetwork for non-airline customers (e.g. UNHCR)

Range of frequency of radio waves used for shortdistance radio communication

Satellite system which allows multiple lines of telephone, fax and data to be transmitted via geo stationary satellite

Radio waves used for short distance radio commu-nications (e.g. handsets or walkie-talkies)

Equipment used to extend the range of VHF shortdistance radio communications to a range of 20 to 80 km, depending on the topography

The following instructions are for telecommunications operators who need to keep a formal log ofall messages received and transmitted (including e-mail, fax and PACTOR). The principles are that ineach case “HCR” must appear in the prefix and whatever the type and means of communication,each message must bear one number unique to that transmission for each addressee.

Components of the message identity are:

● Message from Headquarters to the Field: HCR/aaaaa/9999

● Message from the Field to Headquarters: aaaaa/HCR/9999

where aaaaa is the official UNHCR location (Duty Station) code of the Field Office concerned, and9999 is a four figure sequential number starting at 0001 on the 1st of january each year.

● Between field offices: aaaaa/bbbbb/HCR/9999

where aaaaa is the five letter location code for the sending field office and bbbbb is the five let-ter location code for the addressee, and 9999 = four figure sequential number, starting at 0001on the 1st of January each year.

● To non-UNHCR addressees: aaaaa/MSC/HCR/9999

There are two categories of four figure sequential numbers which may be used:

Category A is used for communications between Headquarters and field offices and between fieldoffices with a considerable message exchange. The number used would be the next in the series forcommunications that year between the originator and addressee.

Category B is for UNHCR addressees who do not fall into Category A and for non-UNHCR ad-dressees. If there are many such messages, two series may be used: UNHCR and non-UNHCR. All se-ries or sequences restart at 0001 on the 1st of January.

Examples

Category A messages:

HCR/ANGLU/0123 means the 123rd message from Headquarters to Luanda, Angola this year.ANGLU/HCR/0210 means the 210th message from Luanda, Angola to Headquarters this year.ANGLU/RSAPR/HCR/0097 means the 97th message from Luanda to Pretoria, South Africa this year(where Luanda and Pretoria use sequential numbering).

Category B messages:

ANGLU/SENDA/HCR/0024 means a message from Luanda to Dakar, Senegal, and which is the 24th Category B message this year from ANGLU (where Luanda and Dakar do not use sequentialnumbering).

If there is more than one addressee, a separate message identity must be used for each. If the mes-sage is being sent to some addressees for information only, this should be indicated in brackets afterthe respective message identity. For example messages from Luanda to Headquarters for action,copied to Dakar for information, would bear the following:

ANGLU/HCR/0124ANGLU/SENDA/HCR/0024(SENDA for info)

In order that the system can work effectively any missing sequential number in Category A must bereported to the other category A addressee as soon as possible, and the last number of the year (orof a series) must be reported to each category A addressee. If a category A number is duplicated bymistake, correct this by allocating the next available number and reporting this number to the addressee by a service (SVC) message. Note that the SVC message itself should also be numbered.Indicate the date or subject to avoid any danger of confusion.

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Annex 2 – Message Identification

22Coping with Stress

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CONTENTS Paragraph Page

Introduction 1- 3 320

Identifying Stress Symptoms 4-15 320-321Cumulative StressTraumatic Stress

Techniques for Dealing with Stress 16-24 321-323Preventing and Minimizing Harmful StressDealing with Critical Incidents (Traumatic Stress)

Key References 323

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Introduction1. Stress is a feature of life which can beboth protective and harmful. Unfortunately“stress” is too often viewed in a negative con-text when, in fact, it enables us to cope withchange. Protective stress is part of a naturalprocess – when threatened, the body alwaysreacts with the same general adaptive mecha-nisms. The physical symptoms that occur whenwe are under stress enables us to “flee” or“fight” the threat. This response is a basic lifeprotecting mechanism, enhancing physicaland mental defences and preparedness – it focuses attention, and mobilizes the energyand resources necessary to be able to take appropriate action. Stress therefore allows usto remain productive even in the face ofchanging and challenging situations. Stress re-actions are dependent on our personality, ourprofessional experience and our physical andemotional well-being.

2. However, when the circumstances induc-ing the stress are excessive, very intense orcontinuing over a period of time, stress maybegin to negatively affect an individual’s per-sonality, health and ability to perform.

3. Stress takes up an enormous amount ofenergy. Being in a stressful situation is physi-cally and mentally exhausting. However, onceout of the crisis environment and given timeto rest, people usually recover their normalequilibrium.

4.

Identifying Stress Symptoms5. Emergency personnel are exposed tomany types of stress and what is needed is tohave the “ideal” level. Too little causes bore-dom, lack of stimulation and fatigue, toomuch and we become overwhelmed physicallyand mentally. The names given to the harmfultypes of stress are cumulative stress and trau-matic stress.

Cumulative stress

6. Cumulative (or chronic) stress builds upslowly as a result of the magnitude and multi-

plicity of demands, lengthy working hoursand daily frustrations and difficulties of livingand working in emergencies. Because stressreactions develop so slowly and imperceptiblyit is quite often difficult to notice them in one-self, they are, however, usually noticeable toclose colleagues.

Once removed from a stressful situation andwith the possibility for rest and relaxation, aperson generally recovers quickly and may become aware of the difference in how oneresponds to situations when one is not expe-riencing stress.

Team leaders need to be particularly observantof individual reactions during an emergency.

7. Symptoms of stress can be physical andpsychological. There could be changes in ordi-nary behaviour patterns, such as changes ineating habits, decreased personal hygiene,withdrawal from others and prolonged si-lences. Symptoms of cumulative stress can beseen in every facet of our lives. The followingnon-exhaustive list gives an indication of someof the most observed symptoms:

Physical symptoms:

i. Gastro-intestinalDry mouth, impression of having ones heartin ones mouth, nausea, vomiting, sensationof bloating, heartburn, abdominal pain, appetite changes diarrhoea, constipation;

ii. Cardiovascular Elevated blood pressure, rapid heart beat,hot flushes, cold hands and feet, sweating;

iii.Respiratory problemsBreathlessness, panting, sensation of notbeing able to breathe;

iv. Musculoskeletal Cramps, back pain, trembling, nervous ticks,grimacing;

v. Neurological Headache.

Psychological symptoms:

I. EmotionalAnxiety, anguish;

ii. BehaviouralSleep problems, abuse of cigarettes alcoholor drugs, modification in ones libido;

Individuals in emergency work, who are experiencing high stress levels, are not thebest judges of their own ability to cope.

Understanding normal reactions to stressfulsituations, knowing how to handle theseand early attention to symptoms can speedrecovery and prevent long-term problems.

In an emergency, reactions to stress are normal.

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iii. IntellectualConcentration difficulties, memory difficul-ties, problems with reasoning and verbalexpression.

8. The presence of several of these symp-toms may mean that a person’s coping abilityis diminishing and work performance is beingaffected. However, the signs and the degreeof stress presented by a person in any givensituation will vary, depending on the level ofstress experienced, previous emotional experi-ences and the personality of the individual.

9.

Traumatic Stress

10. Traumatic stress is brought on by unex-pected and emotionally powerful events (“crit-ical incidents”) that overwhelm the individ-ual’s usual coping abilities. Critical incidentsmay arise in the context of a major disaster or emergency, and could be, for example, injury or death of a colleague, hostage taking,deaths of children, undergoing great personalrisk, being a powerless witness of violence, or seeing or being associated with a tragicevent accompanied by intense media coverage(especially if this is inaccurate).

11.

12. The reactions after a critical incident canresemble those of cumulative stress but theycan be much more pronounced. Vomiting in-stead of nausea as an example. The followingare mental survival mechanisms that allow usto deal with the event:

Emotional numbing, changes in the percep-tion of time, along with a sense of ones liveflashing before ones eyes, highly focused at-tention or tunnel vision, hyperarousal withsharpened senses.

These initial responses can be replaced in theperiod of time immediately after the incidentby:

Hyperactivity, exaggerated humour, argumen-tativeness, social withdrawal, fear, anxiety,sadness, grief, memory problems, poor con-centration, slow thinking and loss of percep-tion in addition to the physical symptomsmentioned above.

13.

14. However, occasionally a serious conditiontermed Post Traumatic Stress Disorder (PTSD)can result from critical incidents. The risk ofPTSD can be considerably reduced by prepara-tion, on-site care, and post incident defusingor debriefing.

15. The diagnosis of PTSD is made by a psy-chiatrist or psychologist based on the presenceof various elements which include:

i. Invasive memories (flashback);

ii. Nightmares and sleep disturbance;

iii. Repeated reliving of the event;

iv. Detachment;

v. Avoidance of trigger persons or situations;

vi. Hyperarousal;

vii. Anxiety, depression, grief, anger;

viii. Suicidal thought;

ix. Reactions intensifying over time;

x. Clear alteration of personality;

xi. Withdrawal from others;

xii. Continued rumination about event;

xiii. Constant expectations of a new disaster;

xiv. Persistent sleep difficulties;

xv. Total absence of reactions;

xvi. Phobia formation;

xvii.Reactions continuing for 3 to 4 weeks.

Techniques for dealing with StressPreventing and Minimizing Harmful Stress

16.

17. Being well prepared, both physically and psychologically, is an important way toreduce the chances of harmful stress. This

It is important to recognize that it is impos-sible to take care of others if you do nottake care of yourself.

It should be emphasized that these symp-toms are normal reactions to abnormalevents and in most cases will disappear.

Staff might experience acute reactions dur-ing a critical incident or a delayed stress reaction minutes, hours or days after theevent. In rarer cases reactions may come after a few months or years.

If the cyclic causes and resultant symptomsof cumulative stress are not promptly ad-dressed, exhaustion sets in, leading eventu-ally to “burnout”. Should this happen oneneeds rest and counselling.

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preparation not only includes understandingstress and how to handle it, but also educat-ing oneself in advance on the living condi-tions, job, likely problems, local language andculture. It is important to be both physicallyand psychologically fit to work in a particularsituation.

18. To prevent stress overload during anemergency, firstly, know your limitations. In addition, there are several practical steps totake:

i. Get enough sleep;

ii. Eat regularly;

iii.Control intake of alcohol, tobacco andmedicines;

iv. Take time for rest and relaxation;

v. Take physical exercise. Physical exercise re-leases tension and helps maintain staminaand good health (any sort of exercise forat least 20 minutes per day). Beneficial exercise for stress reduction also includesdeep breathing and muscle relaxation exercises;

vi. Give expression to the stress: Put words tothe emotions you feel – find a colleaguewhom you trust to talk with;

vii.Keep a diary, it may not be as effective astalking, but it can help.

19. Other ways of reducing stress are:

i. Inward coping: When a person performsdifficult work in physically and emotionallythreatening conditions, internal dialoguecan add to the stress if it is highly negativeand self-critical. To remain focused on thetask, avoid unhelpful internal dialogue suchas, “I’m no good at this. Everything I am do-ing is making things worse”. Instead makepositive helpful statements to talk oneselfthrough difficult moments. For example, “I don’t feel like dealing with this angryperson right now, but I have done it before,so I can do it again”;

ii. Peer support: Use the “buddy system”: staffmembers may agree in advance to monitoreach other’s reactions to identify signs ofexcessive stress and fatigue levels;

iii.Setting an example: Supervisors in particu-lar have an important role to play as theycan provide an example in the way they

handle their own personal stress, e.g. byeating properly, resting and taking appro-priate time off duty. The team leader who tells a colleague, “Remind me to eat,and get me out of here the moment younotice any sign of fatigue. I’m no goodwhen I’m tired”, is setting a positive exam-ple for the staff;

iv. Permission to go off duty: In a crisis manystaff members need to be given permissionto take care of themselves. People do bet-ter in difficult situations when they feelthat other people care about them. Teamleaders are responsible for giving such spe-cific permission to themselves and to theirstaff, for example, by giving permission totake the afternoon off, etc. The correct useby staff members of Mars and Vari canserve to alleviate stress.

Dealing with Critical Incidents (Traumatic Stress)

20. Stress defusings and debriefings are waysof protecting the health of staff after crises.The person or people who experienced the critical incident talk about the incident,focusing on the facts and their reactions to it.They should take place in a neutral environ-ment, and never at the scene of the incident.They should be led by a trained professional.The information given below is intended to il-lustrate these processes and does not give suffi-cient detail to enable an unqualified person toperform either a debriefing or a defusing.

Defusing

21. Defusing is a process which allows thoseinvolved in a critical incident to describe whathappened and to talk about their reactions directly after the event. A defusing shouldtake place within a few hours of the event, itsformat is shorter than that of a debriefing. Itconsists of three steps:

i. IntroductionIntroduction of everyone present, a descrip-tion of the purpose of the defusing, andstimulation of motivation and participation;

ii. ExplorationDiscussion of what happened during the incident;

iii. Information Advice to the participants about potentialreactions to the incident, guidance on stressmanagement, practical information, ques-tions and answers.

The expression of emotion has proved to bean effective technique in reducing stress.

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22. Angry feelings can be a normal reactionto an upsetting event and staff should be ableto “let off steam”. This is not the time for criti-cism of professional performance – this shouldbe dealt with at a separate meeting.

Critical Incident Stress Debriefing (CISD)

23. In cases where staff have to deal with intense distress, defusings may be insufficientand need to be followed by a formal debrief-ing from a mental health professional. De-briefing is a process designed to lessen the impact of a critical incident. It occurs in an organized group meeting and is intended toallow those involved in a critical incident todiscuss their thoughts and reactions in a safe,non-threatening environment. The team leaderor a responsible member of the emergencyteam should request the Division of ResourceManagement at Headquarters to provide orhelp identify a mental health professional toconduct a debriefing. Sessions are normallyheld for groups of staff having undergone in-tense stress. They aim to integrate the experi-ence, provide information on traumatic stressreactions, and prevent long-term conse-

quences including Post Traumatic Stress Disor-der, and help staff manage their own personalreactions to the incident.

24. If a debriefing or defusing is not offeredspontaneously after a trauma is suffered, re-quest one. Information on individual consulta-tions for UNHCR staff members and work-shops on stress related issues can be obtainedfrom the Staff Welfare Unit, HQ Geneva.Telephone: 00 41 22 7397858Confidential Fax: 00 41 22 7397370

Key References

An Operations Manual for the Prevention ofTraumatic Stress among Emergency Services andDisaster Workers, Jeffrey T. Mitchell and GeorgeEverly, Elliot City Maryland, 1995.

Coping with Stress in Crisis Situations, UNHCR,Geneva, 1992.

Humanitarian Action in Conflict Zones – Copingwith Stress, ICRC, Geneva, 1994.

International Handbook of Traumatic StressSymptoms Edited by John P. Wilson & BerverleyRaphael, 1993.

Managing Stress, Terry Looker, Olga Gregson,London, 1997.

Confidentiality is important. It should bepossible to express strong emotions, securein the knowledge that this will stay withinthe group.

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23Staff Safety

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CONTENTS Paragraph Page

Introduction 326

The UN Security System 1- 9 326

Essential Plans 10-22 327-329The Security PlanMedical Evacuation PlanMovement Control PlanRoutine Radio Checks

Security 23-42 329-332Personal SecurityResidential SecurityBase SecurityField SecurityCash SecurityCrowd Control and SecurityMine AwarenessProtection Equipment

Security Management 43 332

Key References 332St

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Introduction◆ The primary responsibility for the safety of

staff members, their dependants and prop-erty and that of the organization, rests withthe host government;

◆ Every effort should be made to facilitate thetasks of the government in the discharge of its responsibilities by making appropriatesupporting arrangements and through reg-ular liaison and exchange of informationwith the host country security officials;

◆ All of the recommendations below shouldbe considered in addition to, and comple-mentary with, actions taken by the hostcountry security officials;

◆ Every office should have a security plan anda medical evacuation plan;

◆ The cardinal rule for landmines is that whenin doubt, stay away. Inform the host coun-try military. Any suspicious object should betreated as a landmine or booby trap.

The UN Security System1. UN system-wide arrangements are de-scribed in detail in the UN Field Security Hand-book (see references) and outlined here.

The UN Security Co-ordinator (UNSECOORD),based in New York, acts on behalf of the Secretary-General to ensure a coherent re-sponse by the UN to any security situation.UNSECOORD produces monthly publicationson security conditions on a country by countrybasis. In addition, the Field Safety Section atHeadquarters can provide country specific in-formation and advice.

2.

This responsibility arises from every govern-ment’s inherent role of maintaining law andorder within its jurisdiction.

3. UNHCR and other UN organizations maylend assistance, when possible and to the extentfeasible, to protect other people such as staff ofNGOs working in co-operation with them. UNHCR has no legal obligation towards othersworking with refugees.

4. In each country, a senior UN official calledthe Designated Official (DO) is the person incharge of the security management arrange-ments of the UN system. The DO is accountableto the Secretary-General through UNSECOORDfor the safety of UN personnel.

5. The principle responsibilities of the DOinclude:

❏ Liaising with host government officials onsecurity matters;

❏ Arranging a security plan for the area andincluding provision for relocation of Nationalstaff and evacuation of International staff;

❏ Informing the Secretary-General (throughUNSECOORD) of all developments whichmay have a bearing on the safety of staffmembers;

❏ Carrying out relocation or evacuationwhere a breakdown in communicationmakes it impossible to receive the Secre-tary-General’s prior approval;

❏ Forming a Security Management Team(SMT);

❏ Informing the senior official of each UN organization of all security measures.

6. The DO will form an SMT, the function ofwhich will be to advise him or her on securitymatters. The SMT is normally composed of:the DO; field security officers; a medical offi-cer; an internationally recruited staff memberfamiliar with local conditions and languages; astaff member with a legal background andany agency staff who by training, backgroundor experience will contribute to the team.

7. In large countries with regions separatedfrom country headquarters in terms of dis-tance and exposure to emergencies, a UN staffmember may be designated as the Area Security Co-ordinator (ASC). The ASC acts onthe DO’s behalf and will normally have re-sponsibilities for staff safety similar to those ofthe DO, but within that region of the country.UNHCR may be requested by the DO to under-take this role.

8. The ASC (or DO where there is no ASCfor the region) will appoint security wardenswho will have responsibility for security withinparticular predetermined zones. A separatewarden system for nationally recruited and in-ternationally recruited staff may be required.The warden system should include all humani-tarian agencies.

The primary responsibility for the securityand protection of staff members rests withthe host government.

UN organizations have agreed to system-wide arrangements for the safety of UNstaff and property in the field.

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9. The primary tool for security prepared-ness is the security plan, which is the key feature of the UN security system.

Essential Plans10. In addition to the basic security plan,UNHCR offices must have a medical evacua-tion plan, and may have a movement controlplan and routine radio checks.

The Security Plan

11. The security plan will be country specificand have five phases. The DO may implementmeasures under Phases One and Two at his orher own discretion, and notify the SecretaryGeneral accordingly. Phases Three to Five willnormally be declared by the DO only with theprior authorization of the Secretary-General.However, if there is a breakdown in communi-cations, DOs may use their best judgementwith regard to the declaration of phases Threeto Five, and report to the Secretary-General assoon as communications allow.

12. The UN security phases are:

Phase I: PrecautionaryIn this phase, clearance from the DO is requiredprior to travel.

Phase II: Restricted MovementThis phase imposes a high level of alert on themovements of UN staff members and theirfamilies. During this phase all staff membersand their families will remain at home unlessotherwise instructed.

Phase III: RelocationThis phase is declared by the Secretary General, on the advice of the DO. It includesconcentration of all international staff mem-bers and their families, relocation of non-essential staff and families elsewhere in, orout, of the country. Deployment of new staffmust be authorized by the Secretary General.

Phase IV: Programme SuspensionThis phase is declared by the Secretary General, on the advice of the DO. It allows forrelocation outside the country of all interna-tional staff not directly involved with theemergency, humanitarian relief operations, orsecurity matters.

Phase V: EvacuationThis phase is declared by the Secretary General, on the advice of the DO. The evacua-tion of all international staff should be carriedout according to plans prepared beforehand.

13. The person responsible for security ateach location (DO, ASC) should draw up a security plan within the framework of thecountry security plan. This will need to be reg-ularly updated. Each situation will be differentand will require different levels and structur-ing of the plan. Guidelines for drawing up theplan are in the Field Security Handbook, andcopied in the Checklist for the Emergency Administrator.

14. The following are typical headings in asecurity plan:

A. Summary of the security situation atthe duty station.

B. Officials responsible for security: thosein the local area, in Geneva and in NewYork, with their call signs, phone and faxnumbers.

C. List of internationally recruited staffmembers and dependants. This will need tobe updated constantly, and should includebasic details such as full name, nationality,date of birth, passport and laisser-passernumbers with date and place of issue. Ameans of tracking visiting missions shouldbe established. The UN Field Security Hand-book contains annexes to record this infor-mation in a standard format; copies ofthese are also found in the UNHCR Check-list for the Emergency Administrator.

D. List and details of locally recruited staffand their dependants. This will need to beupdated constantly.

E. Division of area into zones. Zonesshould be marked on a map with the num-bers and residences of staff-membersclearly marked. The map should indicatethe warden responsible for each zone.

F. Communications. This should includedetails of phone numbers, call-signs and ra-dio frequencies of all staff, including thoseof offices in neighbouring countries.

G. Selection of co-ordination centre andconcentration points. The plan should indi-cate a number of co-ordination centres andconcentration points, and should indicatethe stocks and facilities which should beavailable at these points. It may not be pos-sible for all staff-members to reach thesame concentration point and alternativesshould be foreseen.

H. Safe haven and means for relocationand evacuation. The plan should include in-

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formation on all possible means of travel –by air, road, rail and ship as applicable. Normally only internationally recruitedstaff can be evacuated outside the country.Under the UN security system, the provi-sions for evacuation outside the countrymay be applied to locally-recruited staffmembers in only the most exceptional casesin which their security is endangered, ortheir property is lost or damaged as a directconsequence of their employment by UNorganizations. Under the UN security sys-tem, a decision to evacuate locally recruitedstaff can only be made by the Secretary-General (based on recommendations by DOand UNSECOORD). However, during phases3, 4 or 5, the DO may exceptionally eithera) permit locally recruited staff to absentthemselves from the duty station on specialleave with pay or b) may relocate them to asafe area within the country and authorizepayment of DSA for up to 30 days. Up tothree months salary advance may be paidand a grant to cover transportation costsfor the staff member and eligible familymembers. Arrangements to pay locally re-cruited staff these various amounts shouldbe included in the plan.

I. Essential supplies: The plan should in-clude estimates of the requirements for es-sential items of food, water, fuel etc. whichwill be needed by the community for a rea-sonable period of time. Individual items tobe kept ready should also be listed. Theseinclude: passports, laissez-passers, vaccina-tion certificates, travellers cheques and cash.

J. Plan for handing over the running ofthe office to the National Officer in charge.

Planning for evacuation

15.

These actions include how to deal with confi-dential documents and individual case files(including those on computer files), financialdata, cash, radios, computers and vehicles.

16. Any paper files which need to be de-stroyed in the event of sudden evacuation ofthe office should have been marked in a man-ner agreed-upon and understood by all staff.Such files would include: individual case files,local staff personnel files, etc. If time permits,

the shredding and/or burning of these filesshould be a top priority. Emptying sensitivefiles onto the floor and mixing their contentswith others will afford some protection if thereis no time to burn them. Staff should be sensi-tive to the security situation and bear in mindwhen creating paper or electronic documenta-tion that it might have to be left behind.

17. It should be agreed in advance whichelectronic files (including electronic mail files)should be deleted first. In order to truly de-stroy confidential electronic records from acomputer disk (regardless of whether it is ahard disk or a floppy disk), it is necessary touse special software designed for this purpose.Merely deleting the file(s) does not removethe information from the disk, it only marksthe space which the file occupies on the disc asbeing available for re-use.

Medical Evacuation Plan

18. Every office should have a medical evacu-ation plan to cover evacuation from that office.The plan should include information about thenearest medical facilities inside and (if appro-priate) outside the country, what types of service they provide and to what standard,means of transport to these facilities in case of evacuation, and types of evacuation scenar-ios (the Checklist for the Emergency Adminis-trator includes a format for a Medevac Plan, aswell as flow charts 1 for decision making forevacuation).

19. All heads of UNHCR country offices (i.e.representatives, chiefs of mission or, in theirabsence, the officer in charge) may authorize,without reference to Headquarters, medicalevacuation of staff in the circumstances setout in detail in IOM/104/94FOM/107/94, NewMedical Evacuation Scheme, and IOM/FOM26/95, Medical Evacuation in Extreme Emer-gencies – SOS Assistance. These IOM/FOMs areincluded in the Checklist for the EmergencyAdministrator. Briefly, medical evacuation canbe authorized:

i. For all international staff and consultantsand eligible family members, in order to se-cure essential medical care which cannot besecured locally as a result of inadequatemedical facilities (and which must betreated before the next leave outside theduty station);

ii. For local staff and eligible family members,in situations of great emergency when a

The security plan should note who will takewhat actions at the UNHCR office in theevent of evacuation.

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1 Contained in IOM/104/94 FOM107/94.

life-threatening situation is present, or incases of service-incurred illness or accident.

In addition, evacuation can be arranged in extreme emergencies through SOS Assistance(a private company which provides 24 hourworld-wide emergency evacuation). However,this is very expensive and not covered by UN insurance. It can be used in life threaten-ing situations, and where an evacuation by normal means cannot be organized in view ofthe gravity of the illness or injury. A passwordis needed before SOS Assistance takes actionfor UNHCR – heads of offices should ensurethey obtain this password from the Division ofHuman Resource Management. The passwordshould be known by the Head of Office andthe Deputy Head of Office.

20. The medical evacuation plan should bewritten with close reference to the relevantIOM/FOMs, and the advice of the UNHCR pro-gramme health coordinator should be sought,as well as that of any medical NGOs. When anevacuation may be necessary, a UN ExaminingPhysician should assist in decisions as to thedegree of urgency and facilities required.

Movement Control Plan

21. A movement control plan should be pre-pared when there is a need to track the move-ment of vehicles, and should provide a meansto determine the current location of the vehi-cles and passengers and whether they are over-due from a trip. The plan usually consists of afixed schedule of radio calls to the vehicle fromthe base station (e.g. every 30 or 60 minutes) inorder to report the current location of the vehicle to the base station. This informationshould be updated on a white-board followingeach radio-call. The driver of every vehicle shouldconfirm safe arrival at the end of the trip.

Routine Radio Checks

22. Routine radio checks should be insti-tuted when the current location and welfareof staff-members needs to be known. Radiocalls from the base station can be made on afixed schedule or randomly.

Security23. Keys to effective security are:

i. First and foremost, personal awareness onthe individual level;

ii. Appropriate behaviour to diminish the riskof security incidents;

iii.Appropriate response by the individual tosecurity incidents.

Personal Security

24. For personal security, bear in mind thefollowing:

❏ Be aware of and alert to your surroundings;

❏ Observe the behaviour of other people liv-ing in the area. Local people will probablyknow more about general security threatsthan you do;

❏ Don’t travel alone;

❏ Don’t carry large amounts of money;

❏ Don’t travel after dark if it can be avoided.Most security incidents occur after dark;

❏ When leaving base, make sure someoneknows where you are going and when youare expected back;

❏ Lock vehicle doors and keep the windowsrolled up when travelling;

❏ Park vehicles to allow for fast exit;

❏ Don’t take photographs around militarypersonnel or military installations;

❏ Have cash, documents, and an emergencybag packed and ready to go at all times;

❏ Always be polite: be aware that your be-haviour to local officials, police or militarycan rebound negatively on other staff.

Residential Security

25. Several steps can be taken to improveresidential security:

❏ Make sure there are good solid doors.Never have glass doors on the exterior;

❏ Install a peep hole, a safety chain and a se-curity bar;

❏ Keep the entrance door locked at all times,even when at home;

❏ Install bars and grills, at least on theground floor;

❏ All windows should have locks;

❏ Draw curtains at night;

❏ Install outside lighting;

❏ Have emergency power sources, candlesand torches;

❏ Keep a watchdog or other animals likegoats, geese or peacocks;

❏ Install a telephone or walkie-talkie.

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Depending on the circumstances and if au-thorized by UNSECOORD from the UN system,UNHCR can cover the costs of some of the improvements listed.

Base Security

26. Base security should be improved by:

❏ Hiring guards:

❏ The host country authorities sometimesprovide guards. Guards hired by UNHCR arenot permitted to carry lethal weaponswhile on duty. Guards should be trainedand briefed, and should wear a uniform orsome identifying garment;

❏ Ensuring there are lights:

❏ Lights should be powerful and should lightup an area outside the perimeter fence,providing a barrier of illumination in whichintruders can be detected.

❏ Installing fences and controlling access:Double fences with razor wires form an effective barrier. There should be morethan one entrance/exit. Sensitive locations(for example, the accommodation area,communications room, generators and fuelstore) may need to be surrounded by abarrier of sandbags. Procedures to controlaccess to the compound need to be es-tablished. The fenced compound should be self-contained and equipment (e.g.spare tires, jacks, fire extinguisher, first aidkits, generators, water pumps), should bechecked and maintained on a routine basis.

Field Security

27. Several steps should be taken by relevantstaff and heads of office to improve field secu-rity:

❏ Develop a movement control plan (seeabove);

❏ When planning to travel, check the latestsecurity situation with the DO, others whohave been there, host country officialsother UN agencies, NGOs, traders;

❏ Get all required authorizations, from theDO and host country authorities;

❏ Ensure that all staff know what to do incase of accident or breakdown – simpleprocedures should be established;

❏ Ensure that vehicles are properly equippedwith extra food and water, sleeping bags,mosquito nets, tents, water filters, fuel,tow rope, jumper cables, spare tire, tire

jack, flashlight, batteries, first aid kit, traveldocuments, radio, vehicle insurance papers,shovel and maps;

❏ Ensure that vehicles are in good mechanicalcondition and are checked regularly. Cer-tain items, such as brakes, tire wear, fluidlevels, lights, installed radios, should alwaysbe checked prior to every field trip;

❏ Ensure that all staff know what to do atcheckpoints – establish procedures for staffto follow. It is against UN policy to allowanyone carrying arms in UN vehicles.

Cash Security

28. Ideally staff members should not carrylarge sums of money in cash. If there is a func-tioning banking system in the area, then thisshould be used to the maximum extent possible.

29. If it is necessary to transport cash thenarrangements should be made with the hostcountry authorities for protection of the funds.Cash in large amounts should be kept on handfor the shortest possible time, and should ei-ther be deposited in a bank or be disbursedquickly to pay salaries or meet other legitimateexpenditure. Advance payments could be con-sidered to reduce amounts of cash being stored(provided financial rules are adhered to).

30. Measures which can contribute to secu-rity while transporting cash include makinguse of:

i. Professional couriers;

ii. Armoured vehicles;

iii.Armed guards;

iv. Deception. There should be no regularity inthe arrangements: The timing, route, andother details should change every time;

v. Discretion.The number of people knowing about themovement of cash, the identity of personscarrying cash, their routes and timetables,should be kept to the barest minimum necessary.

Crowd Control and Security

31. If crowds cannot be avoided:

❏ Ensure that clear information is provided tothe crowd, so that they know what is goingon and what to expect;

❏ Work with representatives of the people toorganize the crowd into small groups andget them to sit down;

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❏ Do not engage in unruly group discussions;

❏ When discussing grievances, meet with asmall number of representatives of thecrowd, never with the mass meeting;

❏ Provide sanitary facilities, water, shade andshelter;

❏ For crowd control, use monitors fromamong the people themselves;

❏ If confronted by a crowd when in a vehicle,do not get out. Check that the doors arelocked and drive away carefully;

❏ Maintain poise and dignity if confronted bya hostile crowd, do not show anger.

Mine Awareness

32. In countries with high risk of mines, alloffices should ensure there is appropriatetraining and reference materials (see refer-ences) – the information contained here is notsufficient, but provides only broad guidance.

33. It is extremely difficult to spot a minedarea, so the first priority is to ensure you haveup to date information about possible minedareas from local residents and de-mining organizations. Travel with a map marked withthis information and update it by checkingwith local residents.

34. Be aware of the following:

❏ Signs: learn which signs indicate knownmined areas (whether local signs, UN orother signs);

❏ No-go areas: avoid areas which are avoidedby the local population;

❏ Visible mines or indicators: some mines arevisible. There may also be evidence of minepackaging;

❏ Disruption in the local environment: for ex-ample disturbed soil if recently laid, and de-pressions in the ground in an old mine field;

❏ Trip wires;

❏ Mine damage (e.g. dead animals) whichcould indicate the presence of other mines.

35. When driving, the following precautionsshould be taken:

❏ Wherever possible stay on hard surfacedroads.

❏ Always follow in the fresh tracks of anothervehicle, at least 50 m behind the vehicle infront.

❏ Flak jackets can be used as a seat cushionand as a foot protection.

❏ Wear the seat-belts, and keep windowsrolled down and doors unlocked.

36. If you encounter a mine:

❏ Keep away, do not touch it;

❏ Do not try to detonate it by throwingstones at it;

❏ Stop the vehicle immediately;

❏ Stay in the vehicle, even if it is damagedand call for assistance.

37. If you have to leave the vehicle:

❏ Notify your location by radio;

❏ Do not move the steering wheel;

❏ Put on any protective gear available;

❏ Climb over the seats and leave the vehicleby the rear, walk back along the vehicletracks. Never walk around the vehicle;

❏ Leave at least a 20 m gap between people;

❏ Close the road to other traffic.

38. When travelling on foot:

❏ Never walk through overgrown areas: stickto well used paths.

39. If there is a mine incident:

❏ Do not immediately run to the casualty.Stop and assess the situation first. Theremay be other antipersonnel mines in thevicinity, and administering first aid to onevictim could result in another victim;

❏ Only one person should go to the casualty,walking in his exact footprints, to applyfirst aid;

❏ Do not attempt to move the casualty unlessabsolutely necessary, call for mine-clearingand medical assistance.

40. Within the UN system, mine clearanceand related issues are primarily the respon-sibility of DPKO. Chapter 19 on voluntaryrepatriation contains some information aboutprogramme aspects of mines.

Protection Equipment:

41. Typical equipment that has been used byUNHCR includes:

i. Bullet proof vests for protection againstmost bullets;

ii. Flak jackets for protection against shrap-nel;

iii. Helmets for protection against shrapnel;

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iv. Ballistic blankets fitted in vehicles, for pro-tection against hand grenades and anti-personnel mines;

v. Armoured cars;

vi. Shatter resistant windows;

vii. Military combat rations for concentrationpoints;

viii.Metal detectors for body searches.

42. These items can be ordered through theSupply and Transport Section in co-ordinationwith the relevant Bureau and Field Safety Section.

Security Management43. Heads of offices, whether at field orbranch level should take action to ensure thesecurity and safety of staff members. In addi-tion to the responsibilities implicit in theabove sections, appropriate security manage-ment measures also include:

❏ Ensuring both you and your staff have access to relevant, accurate and up-to-dateinformation;

❏ Providing systematic briefings with all staffon the security situation and on the securityplan itself. Bear in mind that some staff,particularly national staff, may providevaluable input into these briefings becauseof their local knowledge;

❏ Encouraging staff awareness: a key to effec-tive security is personal awareness and goodindividual response to security situations;

❏ Providing training to all staff on hazardsspecific to the duty station;

❏ Ensuring the availability of materials onstaff stress management and security in theduty station (see key references);

❏ Reporting security related incidents toHeadquarters (Field Safety Section);

❏ Ensuring there is good communication withother organizations and NGOs about thesecurity situation;

❏ Ensuring the office has a medical evacua-tion plan. In addition, the country repre-sentative should ensure he or she (and theirdeputy) has the SOS Assistance password inthe case of extreme medical emergency.

Key References

Checklist for the Emergency Administrator, UNHCR, Geneva, 1998.

IOM/26/95-FOM26/95, Medical Evacuation in Extreme Emergencies – SOS Assistance, UNHCR,Geneva, 1995.

IOM/104/94-FOM/107/94, New Medical Evacua-tion Scheme, UNHCR, Geneva, 1994.

Land Mine Safety Handbook, CARE, Atlanta,1997.

Security Awareness Handbook, UNHCR, Geneva,1995.

Security Guidelines for Women, United Nations,New York, 1995.

United Nations Field Security Handbook, UnitedNations, New York, 1995.

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24Working with the Military

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CONTENTS Paragraph Page

Introduction 1- 5 336Legal Framework for International Military Action

Categories of Military Forces 6-13 336UN ForcesRegional ForcesNational ForcesNon-state Forces

Possible Roles of Military Forcesin Humanitarian Operations 14-22 337

Delivering Humanitarian AssistanceInformation SupportSecurity of Humanitarian OperationsEvacuation

Coordination between Military Forcesand Civilian Agencies 23-27 338

UN Coordination with Military ForcesEstablishing Principles and Reconciling MandatesLiaison Channels

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Introduction◆ In humanitarian emergencies UNHCR staff

will sometimes work alongside militaryforces: these might be UN forces (“blueberets”), national or regional forces actingunder mandate from the UN, or other na-tional or regional forces;

◆ Humanitarian agencies must be, and beseen to be, neutral and impartial actingsolely on the basis of need. It is importantthat these agencies maintain independenceeven from UN authorized military activities;

◆ Each operation will need to develop a coor-dinating structure suited to the situation,the type of forces and the required civil-military relationship;

◆ The UN Department of Peace-keeping Operations (DPKO) is responsible for all UNpeacekeeping operations and has overallresponsibility for UN relations with militaryforces.

1. Working with military forces can bringboth opportunities and challenges for human-itarian agencies.

2. Military forces can support humanitarianagencies only within the limitations of theirown resources and priorities, and within the limitations of their authority to providehumanitarian assistance, including how and towhom the assistance is provided.

Legal Framework for International MilitaryAction

3. One of the purposes of the United Nations, as set out in its Charter, is to maintaininternational peace and security. The Charterinvests the Security Council with this specific re-sponsibility, and describes the measures whichcan be taken to achieve this in Chapters VI and VII of the UN Charter.

4. Chapter VI, dealing with the peacefulsettlement of disputes, mandates both the Security Council and the General Assembly to make recommendations upon which theparties in dispute can act. Peacekeeping oper-ations under Chapter VI take place, at least intheory, with the consent of the parties to theconflict.

5. Chapter VII, dealing with mandatorymeasures, allows for enforced solutions to adispute where the Security Council has iden-tified “a threat to the peace, a breach of thepeace or an act of aggression”. Article 42 pro-

vides for the use of armed force “as may benecessary to maintain or restore internationalpeace and security”.

Categories of Military Forces6. The military forces with which UNHCRmay be involved or encounter include:

i. UN forces (peacekeeping);

ii. Regional or other forces acting under UNauthority;

iii.Regional military alliances (e.g. NATO andECOMOG), ad hoc coalitions,

iv. National forces;

v. Non-state forces.

UN Forces

UN Peacekeeping Forces

7. UN forces (“blue berets”) usually fall intothe categories of observer missions or peace-keeping forces. These UN forces are assembledfrom countries willing to contribute and whoare acceptable to all the parties to the conflict.

8. Observer Missions are made up mainly of lightly armed officers whose main functionis to interpret the military situation to assistpolitical and diplomatic mediation.

9. Peacekeeping forces usually contain com-bat units with logistics support. In the past,peacekeeping activities have included:

i. Positioning troops between hostile parties,thereby creating buffer or demilitarizedzones and the opportunity to act as a liaison between the parties to the conflict;

ii. Promoting the implementation of cease-fires and peace accords by observing andreporting on military activity, assisting inthe disengagement, disarmament and de-mobilization of forces and prisoner ex-changes;

iii.Assisting local administrations to maintainlaw and order, facilitating free and fairelections by providing security;

iv. Protecting humanitarian relief operationsby securing warehouses and delivery sitesand routes, escorting humanitarian aid con-voys, ensuring security for humanitarian aidworkers, and providing logistics support;

v. Supporting humanitarian operations by un-dertaking engineering tasks for the mainte-nance of essential utilities, services and aiddelivery routes in a time of crisis, disposing

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of mines and other weapons, delivering humanitarian relief supplies or providinglogistics assistance to humanitarian agencies.

UN Mandated or Authorized Forces

10. Under Chapter VII of the UN Charter theSecurity Council may authorize or mandatethe deployment of national or regional forceswith a “war-fighting” capability. These forcesnormally will have tighter security rules thanUN peace keeping Forces and Observer Missions, and UNHCR staff may find access to facilities or information more difficult. Man-dated forces often do not report to a civilianchief inside the area of operations, and maytherefore see themselves as acting independ-ently of the international authority directingthe civil and humanitarian programmes.

Regional Forces

11. UNHCR may also work alongside regionalforces such as peacekeeping or interventionforces set up under the direction of regionalinstitutions (for example, the Organization forAfrican Unity, (OAU) or NATO.

National Forces

12. Humanitarian agencies may have to coordinate or negotiate with host country mil-itary, police, gendarmerie, militia or otherarmed elements. UNHCR staff should balancethe advantages and disadvantages of accept-ing assistance or security from such forces, particularly in circumstances where there is noclear command structure.

Non-state Forces

13. These often consist of rebel groups, mili-tia and other armed groups which have littleor no sense of discipline, a poorly definedchain of command and often no discerniblepolitical programme.

Possible Roles of Military Forces in Humanitarian Operations

Delivering Humanitarian Assistance

14. In exceptionally large emergencies andas a last resort, military assets could be used todeliver humanitarian assistance, for examplein the form of an airlift.

15. UNHCR has entered into an understand-ing with a number of governments that thosegovernments will provide pre-packaged,stand-alone emergency assistance modules,called Government Service Packages (GSP).

There are twenty different types of packagesproviding assistance in certain technical or logistical areas such as long range airlift, roadtransport, water supply and treatment, sanita-tion and road construction. GSPs are not designed to be substitutes for traditional im-plementing arrangements in these areas, butare to be used only as a last resort in excep-tionally large emergencies, where every otheravenue has been exhausted.

16. Due to their extraordinary scale and costit is assumed that GSPs, if called upon, will rep-resent additional funding and will not be deployed at the expense of funds that wouldotherwise have been available to UNHCR. TheMilitary and Civil Defence Unit also hasarrangements with governments to use thesepre-packaged emergency resources, as well aspackages covering other areas. Within UNHCR,the responsibility for the development and de-ployment of GSPs rests with the Director of theDivision of Operations Support. Further infor-mation can be found in the Catalogue of Emer-gency Response Resources (see Appedix 1).

17. When these assets are deployed the operation must maintain its civilian characterand appearance. The guiding principles of impartiality, neutrality and independencefrom political considerations must be carefullyadhered to.

Information Support

18. Military forces usually have a greater capacity to collect information than humani-tarian agencies. This includes aerial reconnais-sance information which may be of value intracking the movement of refugees and in siteselection. Care must be taken, however, in theinterpretation and use of such material: theinformation it provides needs to be carefullyweighed against information available fromother sources, in particular first hand informa-tion form UNHCR staff on the ground.

Security of Humanitarian Operations

19. The Geneva Conventions of 1949 (seeAnnex 1 to chapter 2 on protection) obligethe parties in conflict to grant access for humanitarian aid, but does not provide for itsforcible imposition should access be denied.Parties to a conflict may be unable or unwill-ing to control threats to the safety of humani-tarian personnel and operations. Peacekeep-ing mandates may therefore include specificduties relating to the security of humanitarian

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personnel, including creating the conditions inwhich humanitarian operations can be carriedout in safety.

20. However, using force to protect humani-tarian assistance may compromise the founda-tion of those activities, since the actual use offorce, by its nature, will not be neutral. Beforeusing peacekeeping or other forces to protecthumanitarian activities, the priority should always be to negotiate with all the parties tothe conflict to try to ensure humanitarian access. The use of military force to secure theprovision of humanitarian assistance shouldnever become a substitute for finding politicalsolutions to root causes of the conflict.

21. Where it is necessary to use peacekeep-ing forces for the security of humanitarian operations, it is particularly important tomaintain a neutral stance and to ensure thatthis impartiality and neutrality is apparent toall parties.

Evacuation

22. Any plan for evacuation of humanitarianworkers should be coordinated with any mili-tary forces present (see Chapter 23 on StaffSafety).

Coordination Between Military Forcesand Civilian AgenciesUN Coordination

23. The Department of Peace-keeping Oper-ations (DPKO) is responsible for UN peace-keeping. This includes the deployment of itsmilitary and civilian personnel to a conflictarea (with the consent of the parties to theconflict) in order to stop or contain hostilities,and supervise the carrying out of peace agree-ments. DPKO therefore has overall responsibil-ity for the UN’s relations with military forces.

24. Where a UN force is deployed, there willusually be a Special Representative of the Secretary-General with overall responsibilityfor all related UN operations, including hu-manitarian operations.

25. There is a Military and Civil Defence Unit(MCDU) within the UN Office for the Coordi-nation of Humanitarian Affairs (OCHA). Thetask of the MCDU (based in Geneva) is to helpensure the most effective use of military andcivil defence assets in support of all types ofhumanitarian operations, including refugeeemergencies, where their use is appropriate.Among UN humanitarian organizations, the

MCDU is the focal point for governments, regional organizations and military and civildefence organizations concerning the use ofthese assets.

Establishing Principles and Reconciling Mandates

26. Misunderstandings between military for-ces and civilian agencies can be avoided if, atan early stage, time is spent on clarifying:

❏ The objectives and strategies of the opera-tion as a whole, and of each of its civilianand military components;

❏ The basic principles, legal constraints, andmandates (local or global) under which eachorganization or force operates;

❏ The activities, services, and support whichthe organizations or forces can expect fromeach other, as well as any limitations ontheir ability to deliver;

❏ Which aspects of the operation will be ledby the civilian agencies and which by themilitary forces, and when there should beconsultation before decisions are made;

❏ The fora in which the humanitarian agen-cies make decisions about their operations(e.g. the coordinating body described inchapter 7, on coordination).

Liaison Channels

27. Proper communication channels need tobe developed between civilian and military organizations in order to deal with the differ-ences in organizational priorities, structureand size. The risk of civilian agency staff beingoverwhelmed by multiple approaches fromthe military can be avoided by providing a single point of contact for the militarythrough the designation of one UNHCR staffmember as a liaison officer where the size ofthe operation justifies this. The military forcesmay have specialist civil affairs units. Theseunits will often be made up of reservists withparticular civilian skills or military specialistsand act as the main point of contact betweenthe humanitarian and military organizations.Within the military, the hierarchy is as follows:General, Colonel, Lieutenant Colonel, Major,Captain, Lieutenant, Warrant Officer, Sergeant,Corporal, and Private.

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Key References

A UNHCR Handbook for the Military on Human-itarian Operations, UNHCR, Geneva, 1995.

Humanitarian Aid and Neutrality, Morris N, UNHCR Symposium 16-17 June 1995, Fondationpour les Etudes de Défense, ISBN 2-911-101-02-2.

The US Military/NGO Relationship in Humani-tarian Interventions, Seiple C., Peacekeeping Institute, US Army War College, 1996.

UNHCR IOM/91/9 UNHCR/FOM/96/97, UNHCRand the Military, UNHCR, Geneva, December1997.

Working With The Military, UNHCR, Geneva,1995.

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