standard operating procedures - world vegetable...

AVRDC – The World Vegetable Center

Standard Operating Procedures

Subject: The Management of the Regional Programs

SOP No.: Administration/Operations/7/c/01/1

Effective Date: 11 April 1997 of 23

Guiding Principles

1. Establishment of regional programs

1.1. The regional programs are established based on a recognized need and at the request and in agreement with a regional organization and/or host government and is done for the purpose of facilitating research, training, and information activities in collaboration with the NARS in the region.

1.2. The primary factors to be considered for such establishment include the available resources and likelihood of success in achieving the goals and objectives of the regional program.

1.3. The Board shall have prior deliberations and approve the establishment of the regional program.

1.4. A Memorandum of Understanding (MOU) shall be signed with the host institution and/or host government.

2. Personnel policy and appointment of staff

2.1. Unless otherwise specified, the Center‘s personnel policy and operational guidelines apply to all internationally recruited staff (IRS) of the regional programs, subject to specific modifications which shall be reflected in the appointment letter and terms of reference of the IRS.

2.2. Appointment of regional director

2.2.1. The Director General (DG) selects and appoints the regional director (RD) who is an internationally recruited staff (IRS). The RD reports directly to the Director General‘s Office (DGO).

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2.2.2. The Board shall note the above appointment.

2.3. Appointment of regional staff

2.3.1. Internationally recruited staff

The Director General, in consultation with the RD and based on the latter’s recommendations, appoints all IRS, core and project-supported, to be based in the regional program. The terms and conditions of the project employees will be coterminous with the project. Specific conditions and benefits of IRS are to be clarified in the appointment letter and in the terms of reference.

2.3.2. Nationally recruited staff

The DG approves a staffing pattern recommended by the RD for each region. Based on the approved pattern, the RD shall recruit, employ and manage all nationally-recruited staff (NRS), core and project-supported, taking into account the respective employment policies of the host country which shall be communicated to the DGO prior to recruitment and employment of the NRS. Terms and conditions off employment of all project-supported NRS shall be coterminous with the project and shall be for a specific term only. Changes in staffing pattern require prior approval by the DG.

3. Authorities of the regional director

3.1. Terms of reference upon appointment

The terms of reference of all IRS based in the regional program, including that of the RD, shall specify the administrative, technical, and other major responsibilities as may be assigned and shall supplement this guideline and the policies governing IRS.

3.2. Management of the regional program

3.2.1. Efficient and effective management of the regional office is the major responsibility of the RD.

3.2.2. A quarterly progress report on the regional program shall be submitted regularly to the DGO.

3.2.3. The regional programs are an integral part of the Center‘s research and development apparatus. Due to their physical detachment, it is incumbent that both strive to maintain a good communication channel, particularly where the issues require mutual knowledge. Moreover, both should insure that the

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expectations and nuances underlying the Center’s relationship with the NARS in the region are not transgressed.

3.2.4. In the event of personnel changes among the IRS of the regional program, including and especially the RD, the official hand-over guidelines of the Center as provided in Attachment I shall apply.

3.3. Interactions with the host country

3.3.1. The RD office (RDO) shall establish and maintain a cordial relationship with the host country on professional and administrative matters.

3.3.2. The RDO should be thoroughly familiar with the MOU and shall conform with the agreed policies, rules and regulations of the host country.

3.4. Interactions with countries in the region

The RD shall encourage and facilitate linkage, and establish collaborative partnership among and with the NRS in the region.

3.5. Interaction with donors

3.5.1. The RD may explore financial support from donors with the concurrence of the DG. The DGO shall be informed of all developments pertaining thereto.

3.5.2. Unless authorized by the DG, all regional proposals shall be submitted through the DGO.

3.5.3. The agreement between the donors and the regional programs shall be signed by the DG or by his designated representative, if necessary.

3.6. Interaction with regional and international institutions

The RD shall endeavor to establish collaborative partnership with regional and international agencies, including non-governmental organizations (NGOs) where such linkages are relevant and mutually beneficial.

4. International and local travel

4.1. The RD shall undertake travel in the host country and in the region as necessary. The DGO shall be informed of all regional travels, preferably in advance.

4.2. Prior approval by the DG is required for travel outside the region for all IRS in the regional program.

4.3. The RD is authorized to approve all regional and local travels of regional staff.

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4.4. A trip report of all international and regional travels by IRS in the regional program shall be submitted to the DGO within a month following the conclusion of such travels.

5. Budgeting and accounting procedures

The budget and accounting procedures between the HQ and the regional programs are given specifically in the parts of “Procedures” and “Forms” in this SOP and shall be used as guidelines for operational purpose.

5.1. Budget preparation

5.1.1. A budget request based on the Center‘s project management system (PMS) shall be submitted by the RD to the DGO every January of each year, following the internal program review and planning workshop.

5.1.2. The budget shall specify core and special project funds.

5.1.3. The budget shall conform with the format provided by the Center‘s Comptroller's office.

5.1.4. All major investment plans of the regional program on facilities, equipment, viz. buildings, vehicles, and the like, shall be included in the budget.

5.1.5. For major investments, a cost estimate from reliable contractors and/or suppliers shall be submitted to the DGO for approval prior to implementation.

5.2. The budget cycle of the RP will coincide with that of the HQ. As soon as the Board approves the Center‘s budget, the DG shall notify all program and regional directors of the approved budget which may be subject to change depending upon the income received by the Center during the year. For operational purposes, an interim operating shall be provided to each program following the Board Meeting.

5.3. For special projects implemented in the regional program, the budget is specific and fixed. The RD shall submit to the DGO a request for fund advance with justifications, which shall be processed by the DGO with the donor and shall be done through the DGO.

5.4. Liquidation of the project advance shall be according to the requirements of the project donors and shall be done through the DGO.

5.5. Financial report

A quarterly financial report shall be submitted to the DG through the Comptroller's Office. A bank statement reflecting the fund balance shall be submitted along with this

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report.

5.6. Auditing

All accounts in the regional program shall be subjected to annual auditing by an independent auditor authorized by the DGO. An auditor's report shall be sent to the DGO by the commissioned auditor or auditing firm in March of each year and a copy provided to the RD office.

6. Research coordination

6.1. Planning

6.1.1. The Center's PMS shall be used as a tool to plan and monitor the research and development activities of the Center, including those in the regional program.

6.1.2. The RD shall develop the PMS of the regional program, consolidating research, training, and information activities (both core and project-based) based on the Center's priorities. The implementation of all activities shall be based on the PMS.

6.2. Monitoring

The monitoring of all core and project activities in the regional program shall be the responsibility of the RD. Monitoring activities are often built into the special projects and as such, shall be conformed to in the process.

6.3. Reporting

6.3.1. In addition to the quarterly reports, an annual report of the activities of the regional program shall be prepared and submitted for presentation during the Center's internal review and planning workshop.

6.3.2. Periodic reports for each project shall be prepared in accordance with requirements of the project donors, and submitted to the donors through the DGO, or directly, as may be authorized by the DG.

6.4. The publication, information, and communication activities of the regional program shall be liable to the Center‘s publication policies and procedures, particularly where peer review is considered essential.

6.5. HQ Scientists or research coordinators or on their behalf, a representative designated by the DGO, shall represent HQ in major meetings conducted by the regional program. Likewise, in the absence of a mechanism for direct participation, the regional programs

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shall be represented in major HQ meetings by the DGO or its designated representative, particularly where the affairs of the region are a matter for deliberation.

Procedures

I. Budgeting and accounting procedures between headquarters and regional center/programs

1. All Center’s funds are subject to control by the Headquarters.

2. Fund Request

2.1. Each request should follow the format of the attached “Fund Request Voucher” and “Budget Estimate”, signed by the Director of the Regional Center or Program, and submitted to Headquarters for approval by the Director General.

2.2. Headquarters treat the fund allocation as “Cash Advance”.

2.3. Regional Center or Program should open a bank account exclusively for this allocation.

3. Liquidation

3.1. Regional Center or Program should liquidate the Cash Advance regularly on a quarterly basis by submitting a financial statement and cash report to the Director General, through the Comptroller’s Office.

3.2. The liquidation for actual expenditures are to be made against each budget line item during the quarter and cumulative amounts with previous quarters of a given year provided. The statement and cash report should follow the format of the attached “Financial Statement” and “Cash Report”.

3.3. According to the financial statement of Regional Center or Program, the Headquarters shall make an appropriate entry to credit the Cash Advance account.

3.4. In order for the Headquarters to consolidate expenditures at the end of the fiscal year, Regional Center or Program should send the financial statement within 15 days after the end of the fiscal year.

4. Director of the Regional Center or Program is the sole authorized signatory for issuing checks.

5. Regional Center or Program should keep a separate journal ledger for each source of fund in which receipts and expenditures are listed in chronological order and

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subdivided into the sections stipulated in the statement of fund request (see the attached “Fund Request Voucher” and “Budget Estimate”).

The journal of each account must contain at least the following information:

Receivables Payables (Expenditures) a/ entry number a/ entry number b/ date of receipt b/ date of payment c/ name of payer c/ recipient of payment (payee) d/ amount of and reason for receipt d/ amount of and reason for disbursement

6. The financial statement and cash report should be represented in U.S. dollars.

7. The annual financial statement of the Regional Center or Program should be subjected to an independent external auditing firm and this auditors’ report should be sent to Headquarters by March of each year. A copy of the auditors’ report shall be provided to the Regional Center or Program for its official file and future reference.

II. Official hand-over guidelines for the Internationally-Recruited Staff of the regional programs

1. Hand-over refers to the administrative procedures for the smooth passing of job functions and responsibilities from an incumbent to a nominated successor.

2. These procedures fall into four categories: i) Job accountabilities ii) Operations iii) Properties iv) Major activities/projects

3. The incumbent staff member is responsible for preparing all the written documents required of the hand-over.

4. A photocopy of the hand-over documents shall be forwarded by the incumbent staff member to the Office of the Director General.

5. Should any disagreements arise between the incumbent staff and the successor during the hand-over period, the Director General shall be notified.

6. The contents of the Hand-over Documents:

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6.1. Job accountabilities - Terms of reference The incumbent shall list the terms of reference of his/her position for the Director General’s endorsement and then pass the document to his or her successor.

6.2. Operations

6.2.1. Personnel - the organization chart of the program - a brief picture of the local labor market - relevant laws and regulations related to the local staff - list of personnel files - job description of each position under his/her supervision

6.2.2. Legal matters: - Contracts and agreements

6.2.3. Public relations: The incumbent staff shall introduce the successor to the local and international contact people, social groups, institutions, schools, media, industries, communities, etc.

6.2.4. Financial status: - balance of bank account - cash on hand - outstanding checks - prepaid accounts - liabilities

6.2.5. Documents/files: - administrative files - research files/data - papers/reports - manuals/protocols/catalogues - slides - rules and regulations (Green Book) - standard operating procedures (SOP) - others (PC software, stationery, etc.)

6.3. Properties- Inventory An inventory shall be prepared by the incumbent staff stating the detailed

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information about all properties under his/her care. For example,

- buildings - vehicles - furniture - computers - instruments - laboratory/farm facilities - reference/technical/professional books - others

6.4. Major activities/projects

- research projects - breeding materials - contact people of major partners - others

Forms

1. Fund Request Voucher

2. Budget Estimate

3. Financial Statement

4. Cash Report

5. Hand-over Documents

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Fund Request Voucher

Voucher No.: ______________

Date: ______________

Fund sources Amount (US$)

I. Core fund

1.

2.

II. Project fund

1. Project A

2. Project B

3. Project C

TOTAL:

Requested by:

Director, Regional Center/Programs

Approved by:

Director General

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Budget Estimate (US$)

Special project fund

Item Core fund Project A Project B Project C Total

Personnel expenses

salary

wages

Facilities and equipment

Supplies and materials

Travel

international travel

regional travel

local travel

Training

Conference

Others

Total:

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Financial Statement

Project title: ___________________________________________________________________

Funding source: _______________________________________________________________

Quarterly reporting period: _____________________________________________________

Item Current period Previous period Total

Cash advance

Expenditures (budget item)

Personnel expenses

salaries

wages

Facilities and equipment

Supplies and materials

Travel

international travel

regional travel

local travel

Training

Conference

Others

Total:

Prepared by: Certified by:

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Cash Report

Quarterly reporting period: _____________________________________________________

Amount (US$) Local currency equivalent 1/

1. Beginning of reporting period

2. HQ check payments

3. Total cash available (1.+2.)

4. Disbursements

5. End of period (3. - 4.)

1/ Based on currency exchange rate at the beginning of the reporting period

Prepared by: Certified by:

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Hand-over Documents

NAME: DATE:

TITLE: PROGRAM:

Proposed Date of Departure from the Current Duty Station:

I. Job Accountabilities - Terms of reference

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

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II (A).1. Organization chart of the Regional Program

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II (A).2. List of Personnel

ISN No. Name Title Compensation Remarks

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

17.

18.

19.

20.

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II (B). Contracts and agreements

Serial No. Title of contract/agreement Period (mm/dd/yy to mm/dd/yy)

Received by the Successor: __________________________________________

Date: __________________________________________

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II (C). Directory of contact people

Name Title Organization name/ address

Tel./Fax. No./ Email address

Remarks

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II (D).1. Balance of bank account

(1) Bank A/C No. _______________________________ US$ _____________________

(2) Bank A/C No. _______________________________ US$ _____________________

(3) Bank A/C No. _______________________________ LC* _____________________

Total: (a) US$ _____________________

(b) *Local Currency ___________

II (D).2. Cash on hand (a) US$ _________________________

(b) Local Currency_______________

II (D).3. Outstanding checks

(1) Check No.: ____________ Bank: _____________________ US$ _________________

(2) Check No.: ____________ Bank: _____________________ US$ _________________

(3) Check No.: ____________ Bank: _____________________ US$ _________________

(4) Check No.: ____________ Bank: _____________________ LC* _________________

(5) Check No.: ____________ Bank: _____________________ LC* _________________

Total: (a) US$ _____________________

(b) *Local Currency ___________

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II (D).4. Outstanding checks

Date Account Amount Remarks

II (D).5. Liabilities

Date Account Amount Remarks

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II (E). Documents/files

1. Administrative files

2. Research files/data

3. Papers/reports

4. Manuals/protocols/catalogues

5. Slides

6. Rules and regulations (Green Book)

7. Standard operating procedures (SOP)

8. Others (PC software, stationery, etc.)

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III. Properties - Inventory

Property No. Descriptions Procurement date Purchased amount (US$) Remarks

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IV. Major activities/projects

Title of activity/project Contact person/Organization

/Tel. & Fax No/Address.

Breeding materials

used/developed

Remarks

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.