RESIDENT
COORDINATOR AD
INTERIM PROCEDURES
April 2013
1
Table of Contents
1.
PURPOSE AND SCOPE ........................................................................................................................... 3
2.
COUNTRY LEVEL LEADERSHIP TYPOLOGIES .......................................................................................... 3
3.
CIRCUMSTANCES................................................................................................................................... 3
4.
GENERAL PRINCIPLES ............................................................................................................................ 4
1.
RC Ad Interim Arrangements ............................................................................................................ 5
General guidance for all RC ad interim designations ............................................................................ 5
a.
Short-term planned absence ........................................................................................................ 5
b.
Hiatus absence .............................................................................................................................. 5
2.
RC/DO Ad Interim Arrangements ..................................................................................................... 8
General guidance for designation of an RC/DO ad interim .................................................................. 8
a.
Short-term planned absence ........................................................................................................ 8
b.
Hiatus absence .............................................................................................................................. 9
Flow chart for RC/DO a.i. designation during a hiatus absence ............................................................. 10
3.
RC/DO/HC Ad Interim Arrangements ............................................................................................. 11
General guidance for designation of an RC/DO/HC ad interim .......................................................... 11
a.
Short-term planned absence ...................................................................................................... 11
b.
Hiatus absence ............................................................................................................................ 12
4.
DSRSG/RC/HC, and DSC/RC/HC Ad Interim Arrangements ............................................................ 15
General guidance for designation of an DSRSG/RC/HC ad interim .................................................... 15
a.
Short-term planned absence ...................................................................................................... 15
b.
Hiatus absence of less than 90 days ........................................................................................... 16
c.
Hiatus absence of more than 90 days, emergency situations and special circumstances ......... 17
DSRSG/RC/HC arrangements during a hiatus period of less than 90 days ............................................ 19
5.
ERSG/RC/DO Ad Interim Arrangements ......................................................................................... 21
General guidance for designation of an ERSG/RC/DO ad interim ...................................................... 21
a.
Short-term planned absence ...................................................................................................... 21
b.
Hiatus absence of less than 90 days ........................................................................................... 22
c. Hiatus absence of more than 90 days, emergency situations and special circumstances ............. 23
Flow Chart ERSG/RC/DO arrangements during a hiatus period of less than 90 days ............................ 24
Flow Chart ERSG/RC/DO arrangements during a hiatus period of more than 90 days .......................... 25
5.
AD INTERIM SUPPORT......................................................................................................................... 26
2
1. PURPOSE AND SCOPE
This document provides guidance on the procedures for ensuring continuity in leadership at the
country level, during the absence of an appointed Resident Coordinator (RC). These procedures
supersede all relevant existing guidance on ad interim designations at country level.
2. COUNTRY LEVEL LEADERSHIP TYPOLOGIES
This document addresses the possible circumstances in which an ad interim designation may need
to be made, and refers to the RC function as linked with other relevant functions. Depending on the
country, the RC function may also be linked with the Designated Official (DO) function, the
Humanitarian Coordinator (HC) function, and/or an integrated mission function, such as the
Deputy Special Representative of the Secretary-General (DSRSG)1, Executive Representative of the
Secretary-General (ERSG) or Deputy Special Coordinator (DSC).The RC is also the holder of the
UNDP Resident Representative (RR) function; hence, guidance on RR ad interim procedures is
provided separately by UNDP. These procedures look specifically at these RC linked functions; i.e. if,
for example, the HC function is not linked to the RC function in a certain country, then guidance on
designation of the HC ad interim should be sought directly from OCHA.
The document is intended to provide clarity on the steps the involved parties are expected to follow
in general for the designation of an ad interim. In general, the Regional UNDG Team, through the
Regional UNDG Team Chair, is responsible for coordinating concurrences from other partners on
possible ad interim candidates. The lead department, DSS and OCHA have the prerogative to decide
on the proposed designation of the ad interim for the functions they oversee.
In order to provide clear guidance, this document is structured in five parts, around the five
predominant country level leadership typologies:
I.
II.
III.
IV.
V.
RC;
RC/DO;
RC/DO/HC;
DSRSG/RC/HC or DSC/RC/HC2;
ERSG/RC/DO.
3. CIRCUMSTANCES
Across the five country level leadership typologies noted above, two situations requiring an ad
interim designation can be distinguished:
a.
b.
Short-term planned absences;
Hiatus absences.
In this document the reference to DSRSG does not include the political DSRSGs.
The DSRSG or DSC is normally not the DO, as this is normally the Special Representative of the SecretaryGeneral or Special Coordinator.
1
2
3
A short-term planned absence is defined as an absence for a limited period of time by the appointed
RC, i.e. for annual leave, duty travel, home leave, or other. The UN Secretariat for DSRSG, ERSG and
DSC functions refers to the ad interim in this short-term planned situation as an “Officer in Charge”
since the post is still occupied by the incumbent.
A hiatus absence is defined as an absence when the appointed RC has completed his/her tour of
duty and his/her successor has not yet taken up his/her duties. The length of the hiatus period and
the particular circumstances of the country in question may be critical to the system response.
4. GENERAL PRINCIPLES
In general, it is expected that a UNCT member in country will assume the RC ad interim function(s).
The parent agency of the ad interim leader shall be informed and give formal agreement to allow
him/her to undertake the functions of RC ad interim and will take the necessary measures to
support him/her to carry out those functions satisfactorily, to the extent possible. To preserve the
principle and spirit of integration, it is desirable that one ad interim performs all the roles of a
multi-hatted RC, whenever possible. However, in some instances when it is not possible to
designate a single ad interim, the roles may be separated. For example, an RC/DO a.i. and a HC a.i.
may be designated in lieu of an RC/HC, or an RC/DO/HC a.i. and a DSRSG a.i. in lieu of a
DSRSG/RC/HC. The prerogatives of Executive Heads of Agencies in recommending alternative
arrangements are recognized through the establishment of ad-hoc arrangements due to specific
country situations.
In the case of DSRSG/RC/HCs, given the DSRSG’s line management responsibilities and the seniority
of the position, the person performing the DSRSG function would need to have a Secretariat
appointment. Therefore an ad interim appointee coming from outside the Secretariat (e.g. from the
UNCT) would need to be approved by the Secretary-General and given a Secretariat appointment.
Given the time required to undergo the process of consultation, Secretary-General’ approval and
issuance of a Secretariat appointment, this is only feasible for gaps likely to extend beyond 90 days.
With this in mind, for short-term planned absences, the function of DSRSG would generally be
carried out by an “Officer in Charge” from within the mission. For hiatus absences of less than 90
days, it is likewise generally expected that the DSRSG function will be carried out by someone
internal to the mission and hence designated separately from the RC/HC. However, mechanisms
should be put in place to ensure on-going coordination and information sharing between the
persons fulfilling these functions. In the case of hiatus absences of longer than 90 days, the
functions should be integrated under one ad interim appointee, appointed by the SecretaryGeneral, following a recommendation submitted by the USG lead department with the concurrence
of the UNDG Chair and the ERC.
In such cases, as well as emergency situations, cases of sudden long term illness or death of the RC,
and other complex circumstances, an ad interim designation from outside the country may also be
made after due consultations under the coordination of the Regional UNDG Team Chair and
concurrence of relevant parties. Such an individual should have relevant prior experience in
development, security, humanitarian or peace operations at the country level and familiarity with
the expected ad interim responsibilities.
4
1. RC Ad Interim Arrangements
General guidance for all RC ad interim designations
The RC, in informal consultation with UN Country Team (UNCT), to the extent possible, should
identify the individuals able to cover all the responsibilities and functions of the RC, and on that
basis select one candidate. When considering an individual for the ad interim designation, the RC
should normally select a candidate using the following criteria:
-
A senior member of the UNCT;
Accredited to the host government;
S/he should have the experience, personal capacity, time available and ability to take the
responsibility to carry out the ad interim functions in a satisfactory manner and the formal
written agreement of his/her agency to undertake the functions.
In both types of absences outlined below, it is the responsibility of the RC and the RC ad interim to
ensure that the respective successors are fully briefed on priorities, key pending actions and issues
requiring immediate attention during the interim period. The departing RC is responsible for
preparing a Handover Note for the ad interim and the new incumbent as well as to arrange for
direct communication with the successor via face-to-face meeting or tele / video conferencing. The
departing RC is also expected to submit the End of Assignment Report and take part of debriefing
sessions (templates for the Handover Note and End of Assignment Report can be found on the
UNDG website). The ad interim(s) is/are responsible for updating this document for the benefit of
the longer-term incumbent, once selected.
a. Short-term planned absence
Step 1 – Identification: Well ahead of the expected departure, the RC initiates consultation with the
UNCT to identify the most suitable individual, as per criteria outlined above, to be RC ad interim.
Step 2 – Notification: For short-term planned absences, the RC is not required to obtain prior
approval from the Regional UNDG Team Chair to designate the RC ad interim. This process does not
replace the usual approval required for annual leave / duty travel / home leave, etc. The RC, prior
to his/her departure, is responsible for officially notifying, via email or facsimile, the following
partners:
-
UNCT;
Regional UNDG Chair;
DOCO.
The notification should note the name, title, and contact details of the RC ad interim, as well as the
expected time period of ad interim designation.
b. Hiatus absence
Step 1 – Identification: If feasible, at least one month prior to his/her departure, the sitting RC, in
informal consultation with the UNCT, to the extent possible, identifies the most suitable individual,
as per criteria outlined above, to be RC ad interim and consults him/her as well as his/her agency
to secure their agreement.
5
Step 2 – Consultation: The RC will officially inform, via email, the Regional UNDG Team
Chair3,copying DOCO and the Regional UNDG Team Secretariat, of the name, and contact details
(email, office and mobile number) of the recommended RC ad interim and indicate the expected
time period of his/her ad interim designation.
Step 3 – Designation: The Regional UNDG Team Chair will consider the nomination, and inform the
RC of the ad interim designation, copying DOCO.
Step 4 – Communication: Based on the feedback received from the Regional UNDG Team Chair, the
sitting RC will inform the selected RC ad interim, the UNCT and relevant Government
counterpart(s).
Step 5 - Follow-up: Once government agreement has been received for the new and incoming RC, the
Regional UNDG Team Chair is responsible for advising the RC ad interim of the new RC’s name,
details and expected arrival date.
The approval of RC ad interim designations is undertaken by the Regional UNDG Team Chair, in consultation
with the Regional UNDG Team, and on behalf of the UNDG Chair (due consultations will be undertaken, when
necessary).
3
6
Flow chart for RC a.i. designation during a hiatus absence
Step 1 Identification
Step 2 –
Consultation
RC a.i. is identified by sitting RC, in informal
consultation to the extent possible with
UNCT members
RC sends communication to the Regional
UNDG Team Chair, copying DOCO and
Regional UNDG Team Secretariat
Step 3 –
Designation
Regional UNDG Team Chair considers the
nomination, and informs the RC of the
decision, copying DOCO
Step 4 Communication
RC informs RC a.i., UNCT and Government
counterpart(s) of the decision
Step 5 – Followup
Regional UNDG Team Chair informs the RC ai
of the new RC’s name, details and expected
arrival date
7
2. RC/DO Ad Interim Arrangements
General guidance for designation of an RC/DO ad interim
Efforts should be made to ensure that one person is able to cover all the RC/DO functions. The
RC/DO, in informal consultation with UNCT/ Security Management Team (SMT) to the extent
possible, should identify the individuals able to cover all the responsibilities and functions of the RC
and DO combined, and on that basis select one candidate. When considering an individual for the ad
interim designation, the RC/DO should normally select a candidate using the following criteria:
-
A senior member of the UNCT/SMT;
Accredited to the host government;
Be one of the three DO a.i. candidates identified by DO/SMT and formally approved by
DSS/USG in advance;
S/he should have the experience, personal capacity, time available, and ability to take the
responsibility to carry out the ad interim functions in a satisfactory manner and the formal
written agreement of his/her agency to undertake the functions.
Ideally, the RC/DO ad interim should have already been trained by DSS on the expected security
tasks and responsibilities of a DO ad interim. If such an individual does not exist within the
UNCT/SMT, then before designation, DSS will provide a briefing / training on security matters
(either through the Security Advisor in country if possible, or via teleconference) to the identified
candidate.
In both types of absences outlined below, it is the responsibility of the RC/DO and the RC/DO ad
interim to ensure that the respective successors are fully briefed on priorities, key pending actions
and issues requiring immediate attention during the interim period. The departing RC /DO is
responsible for preparing a Handover Note for the ad interim and the new incumbent as well as to
arrange for direct communication with the successor via face-to-face meeting or tele / video
conferencing. The departing RC is also expected to submit the End of Assignment Report and take
part in debriefing sessions (templates for the Handover Note and End of Assignment Report can be
found on the UNDG website). The ad interim(s) is/are responsible for updating this document for
the benefit of the longer-term incumbent, once selected.
a. Short-term planned absence
Step 1 – Identification: Well ahead of the expected departure, the RC/DO, initiate informal
consultation to the extent possible with the UNCT/SMT to identify the most suitable individual, as
per criteria outlined above, to be RC/DO ad interim.
Step 2 –Notification: For short-term planned absences, the RC is not required to acquire prior
approval from the Regional UNDG Team Chair / DSS to designate the RC/DO ad interim. This
process does not replace the usual approval required for annual leave / duty travel / home leave,
etc. The sitting RC/DO, prior to his/her departure is responsible for officially notifying, via email or
facsimile, the following partners:
-
UNCT/SMT;
Chair of the Regional UNDG Team;
DOCO;
8
-
DSS;
The notification should note the name, title, contact details of the RC/DO ad interim, the expected
time period of his ad interim designation, as well as confirm whether or not the individual has had
the required security training from DSS.
b. Hiatus absence
Step 1 – Identification: If feasible, at least one month prior to his/her departure, the sitting RC/DO,
in informal consultation with the UNCT/SMT to the extent possible, identifies the most suitable
individual to be RC/DO ad interim as per criteria outlined above and consults him/her as well as
his/her agency to secure their agreement,.
Step 2 – Consultation: The RC/DO will officially inform, via email, the Regional UNDG Team Chair4
and DSS, copying DOCO Director and the UNDG Regional Team Secretariat, of the name, and contact
details (email, office and mobile number) of the recommended RC/DO ad interim (including
whether or not the individual has had the required security training from DSS) and indicate the
expected time period of his/her ad interim designation. The Regional UNDG Team Chair will
consider the nomination within 48 hours and then appropriately inform DSS of their decision for
the proposed RC ad interim and ask DSS for their concurrence on the proposed DO ad interim. DSS
will revert within 48 hours to the Regional UNDG Team Chair with DSS decision on the
recommendation.
The Regional UNDG Team Chair may, at his/her discretion, request DOCO’s support in facilitating
the concurrence of DSS.
Step 3 – Designation: The Regional UNDG Team Chair will inform the RC/DO of the decision on the
RC ad interim designation, copying DOCO5, DSS and the RC/DO ad interim. DSS will send the official
designation to the DO a.i. If there is no consensus with DSS on the designation, Regional UNDG
Team Chair will facilitate a discussion to ensure an agreed designation.
Step 4 – Communication: Based on the feedback received from the Regional UNDG Team Chair, the
sitting RC/DO will inform the UNCT/SMT and the relevant Government counterpart(s).
Step 5 - Follow-up: Once government agreement has been received for the new and incoming
RC/DO, the Chair of the Regional UNDG Team is responsible for advising the RC/DO ad interim of
the new RC/DO’s name, details and expected arrival date.
The approval of RC ad interim designations is undertaken by the Regional UNDG Team Chair, in consultation
with the Regional UNDG Team, and on behalf of the UNDG Chair (due consultations will be undertaken, when
necessary). A separate process applies for DSRSG/ERSG/DERSG/DSC posts – see section 4 and 5.
5 DOCO is responsible for hosting a directory and an archive of the RC ad interim arrangements and to
coordinate with other UN entities in maintaining updated lists of current RCs and acting RCs for the different
regions.
4
9
Flow chart for RC/DO a.i. designation during a hiatus absence
Step 1 Identification
RC/DO a.i. is identified, in informal
consultation to the extent possible with
UNCT/SMT members
Step 2 –
Consultation
RC/DO sends communication to the
Regional UNDG Team Chair, and DSS,
copying DOCO and the UNDG Regional Team
Secretariat
Regional UNDG Team Chair informs DSS of
their decision on the recommended RC a.i.
and seeks DSS concurrence on the
recommended DO a.i
DSS decides on the recommended DO a.i.
and informs the Regional UNDG Team Chair
accordingly
Step 3 –
Designation
Step 4 Communication
Step 5 – Followup
The Regional UNDG Team Chair informs the
RC/DO of the final decision on the
recommended RC a.i, copying DSS, DOCO and
the RC/DO a.i.
DSS sends the official designation to the DO a.i.
RC/DO informs UNCT/SMT and Government
counterpart(s) of the decision
Regional UNDG Team Chair informs the
RC/DO ai of the new RC/DO’s name, details
and expected arrival date
10
3. RC/DO/HC Ad Interim Arrangements
General guidance for designation of an RC/DO/HC ad interim
The RC/DO/HC, in informal consultation with the UNCT / Security Management Team (SMT) /
Humanitarian Country Team (HCT) to the extent possible, should identify the individuals able to
cover all the responsibilities and functions of the RC, DO and HC combined, and on that basis select
one candidate. When considering an individual for the ad interim designation, the RC/DO/HC
should normally select a candidate using the following criteria:
-
A senior member of the UNCT/SMT/HCT;
Accredited to the host government;
Be one of the three DO a.i. candidates identified by DO/SMT and formally approved by
DSS/USG in advance;
Member of the HCT with the greatest humanitarian experience and competencies;
S/he should have the experience, personal capacity, time available, and ability to take the
responsibility to carry out the ad interim functions in a satisfactory manner and the formal
written agreement of his/her agency to undertake the functions.
The RC/DO/HC ad interim should have already been trained by DSS on the expected security tasks
and responsibilities of a DO ad interim. If such an individual does not exist within the
UNCT/SMT/HCT, then before designation, DSS will provide a briefing / training on security matters
(either through the Security Advisor in country if possible, or via teleconference) to the identified
candidate.
In both types of absences outlined below, it is the responsibility of the RC/DO/HC and the
RC/DO/HC ad interim to ensure that the respective successors are fully briefed on priorities, key
pending actions and issues requiring immediate attention during the interim period. The departing
RC/HC/DO is responsible for preparing a Handover Note for the ad interim and the new incumbent
as well as to arrange for direct communication with the successor via face-to-face meeting or tele /
video conferencing. The departing RC/HC/DO is also expected to submit the End of Assignment
Report and take part in debriefing sessions (templates for the Handover Note and End of
Assignment Report can be found on the UNDG website). The ad interim(s) is/are responsible for
updating this document for the benefit of the longer-term incumbent, once selected.
a. Short-term planned absence
Step 1 – Identification: Well ahead of the expected departure, the RC/DO/HC, in informal
consultation to the extent possible with the UNCT/SMT/HCT identifies the most suitable individual,
as per criteria outlined above, to be RC/DO/HC ad interim, and consults him/her as well as his/her
agency to secure their agreement.
Step 2 – Notification: For short-term planned absences, the RC/DO/HC is not required to obtain
prior approval from the Regional UNDG Team Chair, DSS and OCHA to designate the RC/DO/HC ad
interim. This process does not replace the usual approval required for annual leave / duty travel /
home leave, etc. The sitting RC/DO/HC, prior to his/her departure, is responsible for officially
notifying, via email or facsimile, the following partners:
11
-
UNCT/SMT/HCT;
Regional UNDG Team Chair;
DOCO;
OCHA ;
DSS.
The notification should note the name, title, contact details of the RC/DO/HC ad interim, expected
time period of his ad interim designation, as well as confirm whether or not the individual has had
the required security training from DSS.
b. Hiatus absence
Step 1 – Identification: If feasible, at least one month prior to his/her departure, the sitting
RC/DO/HC, in informal consultation with the UNCT/SMT/HCT to the extent possible, identifies the
most suitable individual to be RC/DO/HC ad interim, as per criteria outlined above, and consults
him/her as well as his/her agency to secure their agreement.
Step 2 – Consultation: The RC/DO/HC will officially inform, via email, the Regional UNDG Team
Chair6, the Emergency Relief Coordinator, and DSS, copying DOCO Director and the UNDG Regional
Team Secretariat, of the name, and contact details (email, office and mobile number) of the
recommended RC/DO/HC ad interim. The email should note whether or not the individual has had
the required security training from DSS and indicate the expected time period of his/her ad interim
designation. The Regional UNDG Team Chair will consider the nomination within 48 hours and then
appropriately inform DSS, and OCHA, of their decision for the proposed RC ad interim, and ask DSS
and OCHA for their concurrences on the DO and HC ad interim respectively. DSS and OCHA will
have 48 hours to revert to the Regional UNDG Team Chair with their decision on the recommended
DO and HC ad interim.
The Regional UNDG Team Chair may, at his/her discretion, request DOCO’s support in facilitating
the concurrence of DSS and OCHA.
Step 3 – Designation: The Regional UNDG Team Chair will inform the RC/DO/HC of the RC
designation, copying the RC/DO/HC a.i., DSS, OCHA and DOCO7. The ERC and DSS will send the
official designation to the HC a.i and DO a.i on their functions as HC and DO ad interim respectively.
If there is no consensus between all parties, the Regional UNDG Team Chair will facilitate a
discussion to ensure an agreed designation
Step 4 – Communication: Based on the received feedback from the Regional UNDG Team Chair, DSS
and OCHA, the sitting RC/DO/HC will inform the UNCT/SMT/HCT, the OCHA Head of Office and the
relevant Government counterpart(s).
The approval of RC ad interim designations is undertaken by the Regional UNDG Team Chair, in consultation
with the Regional UNDG Team, and on behalf of the UNDG Chair (due consultations will be undertaken, when
necessary).
7 DOCO is responsible for hosting a directory and an archive of the RC ad interim arrangements and to
coordinate with other UN entities in maintaining updated lists of current RCs and acting RCs for the different
regions.
6
12
Step 5 - Follow-up: Once government agreement has been received for the new and incoming
RC/DO/HC, the Regional UNDG Team Chair is responsible for advising the RC/DO/HC ad interim of
the new RC/DO/HC’s name, details and expected arrival date.
13
Flow chart for RC/DO/HC a.i. designation during a hiatus absence
Step 1 Identification
Step 2 –
Consultation
RC/DO/HC identifies RC/DO/HC a.i. in informal
consultation, to the extent possible, with
UNCT/SMT/HCT members
RC/DO/HC sends communication to the Regional
UNDG Team Chair, DSS ASG, and ERC, copying
DOCO Director and the Regional UNDG Team
Secretariat
The Regional UNDG Team Chair informs DSS and
OCHA of the recommended RC a.i. and seeks their
concurrence on the DO and HC a.i functions
respectively
DSS and OCHA decide on the recommended DO
and HC a.i. respectively and inform the Regional
UNDG Team Chair
Step 3 –
Designation
The Regional UNDG Team Chair informs the
RC/DO/HC of the RC a.i. designation copying the
RC/DO/HC a.i., DSS, OCHA and DOCO. The DSS
and ERC send the official designation to the
DO a.i and HC a.i .
Step 4 Communication
RC/DO/HC informs UNCT/SMT/HCT and
Government counterpart(s) of the decision
Step 5 – Followup
Regional UNDG Team Chair informs the
RC/HC/DO ai of the new RC/HC/DO’s name,
details and expected arrival date
14
4. DSRSG/RC/HC, and DSC/RC/HC8 Ad Interim Arrangements
General guidance for designation of an DSRSG/RC/HC ad interim
For short-term planned absences, the DSRSG/RC/HC, with the approval of the SRSG and in informal
consultation with the UNCT/Humanitarian Country Team (HCT) to the extent possible, should
identify the individuals inside the mission and in the UNCT/HCT able to respectively cover the
responsibilities and functions of the DSRSG on the one hand, and RC/HC on the other. For the
identification, the DSRSG/RC/HC should normally use the following criteria:
-
Senior members of the mission (for the DSRSG function) and the UNCT/HCT (for the RC and
HC function(s));
Accredited to the host government (for the RC/HC functions);
Member of the HCT with the greatest humanitarian experience and competencies (for the
RC/HC function);
S/he should have the experience, personal capacity, availability and ability to take the
responsibility to carry out the ad interim functions in a satisfactory manner and the formal
written agreement of his/her agency to undertake the functions.
In short-term planned absences and hiatus absences of less than 90 days, primary responsibility
lies with the SRSG to determine DSRSG ad interim arrangements, except in cases involving an
absence of 90 days or longer, which require broader consultation and decision at Headquarters
level.
In all three types of absences outlined below, it is the responsibility of the DSRSG/RC/HC to ensure
Fthat his/her successor is fully briefed on priorities, key pending actions and issues requiring
immediate attention during the interim period. The departing DSRSG/RC/HC is responsible for
preparing a Handover Note or End of Assignment Report for the ad interim, and arrange for followup communication with the new incumbent, either via face-to-face meetings or video/tele
conferencing (templates for the Handover Note and End of Assignment Report can be found on the
UNDG website). The ad interim(s) is/are responsible for updating this document for the benefit of
the longer-term incumbent, once selected.
a. Short-term planned absence
Step 1 – Identification: Well ahead of the expected departure, the DSRSG/RC/HC initiates
consultation with the SRSG and to the extent possible informally with the UNCT/HCT to identify the
most suitable individuals to perform the DSRSG and RC/HC functions respectively. In the case of the
DSRSG functions, the person should be internal to the mission and will normally be designated
“Officer in Charge.” In the case of the RC/HC functions, the DSRSG/RC/HC should consult with the
proposed individuals and his/her agency to secure their agreement in covering the ad interim
functions during the absence of the DSRSG/RC/HC.
8
Throughout this section, DSRSG should be read interchangeably with DSC.
15
Step 2 – Notification: For short-term planned absences, the DSRSG/RC/HC is not required to acquire
prior approval from the Regional UNDG Team Chair and the lead department to designate the ad
interim individuals. This process does not replace the usual approval required for annual leave /
duty travel / home leave, etc. The sitting DSRSG/RC/HC, prior to his/her departure, is responsible
for officially notifying, via email or facsimile, the following partners:
-
SRSG;
UNCT/HCT;
Regional UNDG Team Chair;
DOCO;
OCHA;
DPA/DPKO.
The notification should note the name, title, contact details of the DSRSG officer in charge and the
RC/HC ad interim, as well as the expected time of his/her ad interim functions.
b. Hiatus absence of less than 90 days
Step 1 – Identification: In cases involving a vacancy of less than 90 days, the DSRSG function shall
normally be carried out by someone already internal to the mission, while the RC/HC functions will
be taken up by someone from the UNCT/HCT. Well ahead of the expected departure, the
DSRSG/RC/HC initiates consultation with the SRSG and to the extent possible informally with the
UNCT/HCT to identify the most suitable individuals to perform the DSRSG and RC/HC functions
respectively. In the case of the DSRSG functions, the person should be internal to the mission and
will normally be designated “Officer in Charge.” In the case of the RC/HC functions, the
DSRSG/RC/HC should consult with the proposed individuals and his/her agency to secure their
agreement in covering the RC/HC ad interim functions during the absence of the DSRSG/RC/HC.
Step 2 – Consultation:
DSRSG Officer in Charge - The SRSG designates someone in the mission to perform the DSRSG
functions on an “officer in charge” basis. [NB: If an “ad interim” designation is preferred, i.e.
combine the DSRSG, RC and HC functions in one individual, the lead department must be consulted;
the lead department in turn consults with the Chef de Cabinet and then informs him/her in
writing].
RC/HC ai – For the RC/HC ai functions, the current RC/HC will officially inform, via email, the
Regional UNDG Team Chair9 and the Emergency Relief Coordinator, copying DOCO Director, the
UNDG Regional Team Secretariat and the lead department, of the name, and contact details (email,
office and mobile number) of the recommended RC/HC ad interim. The Regional UNDG Team Chair
will consider the nomination within 48 hours and then appropriately inform OCHA of their decision
for the proposed RC ad interim, and ask OCHA concurrence on the HC ad interim function. OCHA
will have 48 hours to revert to the Regional UNDG Team Chair with their decision on the
recommended HC ad interim.
The approval of RC ad interim designations is undertaken by the Regional UNDG Chair, in consultation with
the regional UNDG Team, and on behalf of the UNDG Chair (due consultations will be undertaken, when
necessary).
9
16
The Regional UNDG Team Chair may, at his/her discretion, request DOCO’s support in facilitating
the concurrence of OCHA.
Step 3 – Designation: The SRSG informs the selected individual, the sitting DSRSG / RC / HC, the lead
department, the Regional UNDG Team Chair, OCHA and relevant national-level counterparts of the
decision in relation to the DSRSG function. The Regional UNDG Team Chair informs the sitting
DSRSG/RC/HC, the SRSG, copying the DSRSG/RC/HC ai, the lead department, OCHA and DOCO
Director10 of the RC ad interim designation. The ERC sends the official designation to the HC a.i.
Step 4 – Communication: The sitting DSRSG/RC/HC will inform the UNCT/HCT and relevant
Government counterpart(s) in relation to the RC/HC function.
Step 5 - Follow-up: Once the new DSRSG/RC/HC has been selected by the Secretary-General and
announced, the Regional UNDG Team Chair is responsible for advising the RC/HC ad interim of the
new DSRSG/RC/HC’s name, details and expected arrival date. The mission is informed by the lead
department.
c. Hiatus absence of more than 90 days, emergency situations and special
circumstances11
Step 1 – Identification: Beyond 90 days, the aim is to select one candidate to perform all functions,
who will be formally appointed by the Secretary-General on a temporary basis. Once the departure
of the DSRSG/RC/HC is known, and when a gap of 90 days or more seems likely, the lead
department initiates consultations at Headquarters level with the Regional UNDG Team Chair
representing the UNDG Chair and OCHA, with support from DOCO and DFS.
Step 2 – Consultation: The lead department, the Regional UNDG Team Chair and OCHA agree on one
candidate, who may be external or internal to the mission / UNCT in question, with support from
DOCO and DFS. The SRSG is consulted on the candidate and may be asked to speak to the candidate
in relation to the DSRSG function.
Step 3 – Designation: On the basis of the consensus reached, the lead department submits a note to
the Chef de Cabinet seeking approval for the appointment of a single DSRSG/RC/HC on a temporary
basis.
Step 4 – Communication: Upon approval by the Secretary-General, DFS/SLAS informs the lead
department, UNDP, OCHA and DOCO, and on-boarding is initiated, including signature of a letter of
appointment by the Secretary-General. The lead department informs the SRSG and the successful
candidate. The Regional UNDG Team Chair informs the sitting DSRSG/RC/HC where still present,
the UNCT as well as relevant Government counterpart(s). OCHA informs the IASC and the HCT with
respect to the HC function.
DOCO is responsible for hosting a directory and an archive of the RC ad interim arrangements and to
coordinate with other UN entities in maintaining updated lists of current RCs and acting RCs for the different
regions.
11
Includes cases of sudden long term illness or death of the RC, cases when period of absence may be
unknown and other complex circumstances
10
17
Step 5 - Follow-up: Once the new DSRSG/RC/HC has been selected by the Secretary-General and
announced, the lead department is responsible for advising the DSRSG/RC/HC ad interim of the
new DSRSG/RC/HC’s name, details and expected arrival date.
18
DSRSG/RC/HC arrangements during a hiatus period of less than 90 days
DSRSG a.i
Step 1 Identification
Step 2 –
Consultation
Step 3 –
Designation
Step 4 Communication
Step 5 – Followup
SRSG, with support from departing
DSRSG/RC/HC when appropriate, identifies
officer in charge to perform DSRSG
function.
If “ad interim” designation is preferred,
lead department Headquarters is
consulted and in turn consults Chef de
Cabinet informally, before informing
him/her in writing
SRSG informs the selected individual, the
sitting DSRSG/RC/HC and the lead
department, with copy to the Regional
UNDG Team Chair and OCHA of his / her
decision in relation to the DSRSG function.
RC/HC a.i.
DSRSG/RC/HC identifies RC/HC a.i in informal
consultation, to the extent possible with
UNCT/HCT members
DSRSG/RC/HC sends communication to the
Regional UNDG Team Chair and the ERC,
copying DOCO Director, the Regional UNDG
Team Secretariat, SRSG, and lead department
The Regional UNDG Team Chair informs
OCHA of the recommended RC a.i and seeks
their concurrence on the HC ad interim
function, with copy to lead department,
SRSG and DOCO
The Regional UNDG Team Chair
informs the DSRSG/RC/HC on the
recommended RC a.i designation, with
copy to the RC/HC a.i, OCHA, the SRSG,
lead department, and DOCO. The ERC
sends the official designation to the HC
a.i.
SRSG informs Government in relation to
the DSRSG function
DSRSG/RC/HC informs RC/HC a.i.,
UNCT/HCT and Government
counterpart(s) of the decision in
relation to RC/HC functions.
The lead department informs the mission of
the new DSRSG/RC/HC’s name, details and
expected arrival date
Regional UNDG Team Chair informs the
RC/HC ai of the new DSRSG/ RC/HC’s
name, details and expected arrival date
19
DSRSG/RC/HC arrangements during a hiatus period of more than 90 days
Step 1 Identification
Step 2 –
Consultation
Step 3 –
Designation
Step 4 Communication
Step 5 – Followup
Lead department initiates discussions with
Regional UNDG Team Chair and OCHA, with
support from DOCO and DFS.
Discussions between the lead department,
Regional UNDG Team Chair and OCHA,
generate one candidate, internal or external
to mission/country in question. SRSG is
consulted on the selection.
Lead department submits note to EOSG
seeking formal approval for appointment of
a DSRSG/RC/HC ad interim.
DFS/SLAS transmits approval of SecretaryGeneral to lead department, OCHA and
DOCO. Regional UNDG Team Chair, ,
informs DSRSG/RC/HC where still present,
UNCT and relevant Government
counterparts; OCHA informs IASC and HCT.
The lead department informs the
DSRSG/RC/HC ai of the new DSRSG/ RC/HC’s
name, details and expected arrival date
20
5. ERSG/RC/DO Ad Interim Arrangements
General guidance for designation of an ERSG/RC/DO ad interim
For short-term planned absences, the ERSG/RC/DO, in informal consultation with the UN Country
Team (UNCT) / Security Management Team (SMT) to the extent possible, should identify the
individuals in the mission and/or in the UNCT/HCT able to cover the responsibilities and functions
of the ERSG, RC and DO. The ERSG/RC/DO should normally use the following criteria:
-
Senior members of the mission/SMT (for the ERSG function) and UNCT (for the RC
function);
Accredited to the host government (for the RC function);
Be one of the three DO a.i. candidates identified by DO/SMT and formally approved by
DSS/USG in advance (for the DO function);
S/he should have the experience, personal capacity, time available and ability to take the
responsibility to carry out the ad interim functions in a satisfactory manner and the formal
written agreement of his/her agency to undertake the functions.
For hiatus absences of less than 90 days, i.e. where the incumbent is departing the mission prior to
the arrival of a successor, primary responsibility lies with the lead department, UNDG Chair and
DSS ASG to determine ad interim arrangements.
The person taking on the DO function should have already been trained by DSS on the expected
security tasks and responsibilities of a DO ad interim. If no suitable individual with this training
exists within the UNCT/SMT, then before designation, DSS will provide a briefing / training on
security matters either through the Security Advisor in country if possible, or via teleconference to
the identified candidate.
In all types of absences outlined below, it is the responsibility of the ERSG/RC/DO and the
ERSG/RC/DO ad interim to ensure that their respective successors are fully briefed on priorities,
key pending actions and issues requiring immediate attention during the interim period. The
departing ERSG/RC/DO is responsible for preparing a Handover Note or End of Assignment Report
and arrange for follow-up communication with the new incumbent, either via face-to-face meetings
of video / tele conferencing (templates for the Handover Note and End of Assignment Report can be
found on the UNDG website). The ad interim(s) is/are responsible for updating this document for
the benefit of the longer-term incumbent, once selected.
a. Short-term planned absence
Step 1 – Identification: Well ahead of the expected departure, the ERSG/RC/DO initiates informal
consultation to the extent possible with the UNCT/SMT to identify the most suitable individual(s) to
carry out the RC and DO functions and consults him/her as well as his/her agency to secure their
agreement, as per criteria outlined above. The ERSG separately designates someone inside the
mission to perform the ERSG function.
Step 2 – Notification: For short-term planned absences, the ERSG/RC/DO is not required to acquire
prior approval from the Regional UNDG Chair, the lead department or DSS to designate the ad
interim individuals. This process does not replace the usual approval required for annual
21
leave/duty travel/home leave, etc. The sitting ERSG/RC/DO, prior to his/her departure, is
responsible for officially notifying, via email or facsimile, the following partners:
-
UNCT/SMT;
Regional UNDG Team Chair;
DPA/DPKO
DOCO;
DSS;
The notification should note the name, title, contact details of the ERSG officer in charge and the
RC/DO ad interim, and the expected duration of his/her ad interim functions. The notification
should also confirm whether or not the individual designated as DO has had the required security
training from DSS.
b. Hiatus absence of less than 90 days
Step 1 – Identification: In cases involving a vacancy of less than 90 days, the ERSG function shall
normally be carried out by someone internal to the mission, while the RC/DO ad interim will
normally be someone from the UNCT/SMT. Once known that the sitting ERSG/RC/DO is departing,
the lead department, the Regional UNDG Team Chair, and DSS may seek his/her views, as well as
those of the UNCT/SMT, on the most suitable individuals to carry out the ERSG, RC and DO ad
interim functions.
Step 2 – Consultation: The lead department designate individuals in the mission to perform the
ERSG a.i. functions. The lead department consults with the Chef de Cabinet and then informs
him/her in writing of the transitional arrangements.
RC/DO a.i. – For the RC/DO a.i. functions, the current RC/DO will officially inform, via email, the
Regional UNDG Team Chair12 and DSS, copying DOCO Director, the UNDG Regional Team Secretariat
and the lead department, of the name, and contact details (email, office and mobile number) of the
recommended RC/DO ad interim. The Regional UNDG Team Chair will consider the nomination and
within 48 hours inform DSS of their decision in relation to the proposed RC ad interim, and seek
DSS concurrences on the DO ad interim function. DSS will have 48 hours to revert to the Regional
UNDG Team Chair with their decision on the recommended HC ad interim.
The Regional UNDG Team Chair may, at his/her discretion, request DOCO’s support in facilitating
the concurrence of DSS.
Step 3 – Designation: The lead department informs the selected individual and the departing
incumbent in relation to the ERSG designation, with copy to the Regional UNDG Team Chair and
DSS. The Regional UNDG Team Chair, informs the ERSG/RC/DO in relation to the RC functions, with
copy to RC/DO ai, DSS, the lead department and DOCO Director.13 DSS will send the official
designation to the DO a.i.
The approval of RC ad interim designations is undertaken by the Regional UNDG Chair, in consultation with
the regional UNDG Team, and on behalf of the UNDG Chair (due consultations will be undertaken, when
necessary).
13 DOCO is responsible for hosting a directory and an archive of the RC ad interim arrangements and to
coordinate with other UN entities in maintaining updated lists of current RCs and acting RCs for the different
regions.
12
22
Step 4 – Communication: The ERSG/RC/DO (or if s/he has departed already, Regional UNDG Team
Chair) informs the UNCT/SMT and the relevant Government counterpart(s) in relation to the
RC/DO functions.
Step 5 - Follow-up: Once the new ERSG/RC/DO has been selected by the Secretary-General and
announced, the Regional UNDG Team Chair is responsible for advising the RC/DO ad interim of the
new ERSG/RC/DO’s name, details and expected arrival date. The mission is informed by the lead
department.
c. Hiatus absence of more than 90 days, emergency situations and special
circumstances14
Step 1 – Identification: Beyond 90 days, the aim is to select one candidate to perform all functions,
who will be formally appointed by the Secretary-General on a temporary basis. Once the departure
of the ERSG/RC/DO is known, and when a gap of 90 days or more seems likely, the lead department
initiates this discussion at Headquarters level with the Regional UNDG Team Chair representing the
UNDG Chair, and DSS, with support from DOCO and DFS.
Step 2 – Consultation: The lead department, the Regional UNDG Team Chair15 and DSS agree on one
candidate, who may be external or internal to the mission/UNCT in question, with support from
DOCO and DFS.
Step 3 – Designation: On the basis of the consensus reached, the lead department submits a note to
the Chef de Cabinet seeking approval for the appointment of a single ERSG/RC/DO on a temporary
basis.
Step 4 – Communication: Upon approval by the Secretary-General, DFS/SLAS informs the lead
department, UNDP, DSS and DOCO. The lead department informs the successful candidate and
drafts a letter from the Secretary-General to the President of the Security Council (in accordance
with standard procedure for Heads of Mission; separate guidance applies). At the end of the silence
procedure, on-boarding is initiated, including signature of a letter of appointment by the SecretaryGeneral and the candidate. The lead department informs the mission. The Regional UNDG Team
Chair, informs the ERSG/RC/DO where still present, the UNCT/SMT and relevant Government
counterpart(s). DSS will send the official designation to the DO a.i.
Step 5 - Follow-up: Once the new ERSG/RC/DO has been selected by the Secretary-General and
announced, the lead department is responsible for advising the ERSG/RC/DO ad interim of the new
ERSG/RC/DO’s name, details and expected arrival date.
Includes cases of sudden long term illness or death of the RC, cases when period of absence may be
unknown and other complex circumstances
15
The approval of RC ad interim designations is undertaken by the Regional UNDG Chair, in consultation with
the regional UNDG Team, and on behalf of the UNDG Chair (due consultations will be undertaken, when
necessary).
14
23
Flow Chart ERSG/RC/DO arrangements during a hiatus period of less than 90
days
ERSG a.i
Step 1 Identification
Lead department, with support from
departing ERSG/RC/DO when appropriate,
identifies officer in charge to perform ERSG
function. Chef de Cabinet is consulted and
informed in writing.
RC/DO a.i
RC/DO a.i is identified, in informal
consultation to the extent possible with
UNCT/SMT members function.
RC/DO sends communication to the
Regional UNDG Team Chair and DSS, with
copy to DOCO Director, the Regional
UNDG Team Secretariat, and the lead
department
Step 2 –
Consultation
The Regional UNDG Team Chair informs
DSS of the recommended RC a.i. and
seeks their concurrence on the DO ad
interim function with copy to the lead
department and DOCO
Step 3 –
Designation
Step 4 Communication
Step 5 –
Follow-up
Lead department informs the selected
individual and the sitting ERSG/RC/DO,
with copy to the Regional UNDG Team
Chair, in relation to the ERSG function.
Lead department informs the Government
in relation to the ERSG function.
The lead department informs the mission of
the new ESRSG/RC/DO’s name, details and
expected arrival date
The Regional UNDG Team Chair informs
the ERSG/RC/DO on the final decision on
the recommended RC a.i, with copy to the
RC/DO a.i, DSS, lead department, and
DOCO.
DSS sends the official designation to the
DO a.i.
ERSG/RC/DO (or Regional UNDG Team
Chair in the event the incumbent has
departed) informs UNCT/SMT and
Government counterpart(s) of the
decision in relation to RC/DO functions.
Regional UNDG Team Chair informs the
RC/DO ai of the new ESRSG/ RC/DO’s
name, details and expected arrival24
date
Flow Chart ERSG/RC/DO arrangements during a hiatus period of more than 90
days
Step 1 Identification
Step 2 –
Consultation
Step 3 –
Designation
Step 4 Communication
Step 5 –
Follow-up
Lead department initiates discussions with
Regional UNDG Team Chair and DSS, with
support from DOCO and DFS.
Discussion generates one candidate, internal
or external to mission/country in question.
Lead department submits note to EOSG
seeking formal approval for appointment of
an ERSG/RC/DO ad interim.
DFS/SLAS transmits approval of SecretaryGeneral to lead department, DSS and DOCO.
Lead department informs successful
candidate, submits required documentation
to Security Council and informs mission
following silence procedure. Regional UNDG
Team Chair, informs ERSG/RC/DO where
still present, UNCT/SMT, and relevant
Government counterparts.
The lead department informs the
ESRSG/RC/DO ai of the new ESRSG/ RC/DO’s
name, details and expected arrival date
25
5. AD INTERIM SUPPORT
Support at the country level: as the Guidance Note on RC and UNCT Relations puts it, “In the case of
prolonged absence of the RC, a Resident Coordinator ad interim will be assigned. This person will
carry out the duties of the Resident Coordinator while continuing his/her own work, and receives
support from the RC Office and the rest of the UNCT. The RC a.i. should have access to all the
information and other resources that the RC would have” (p.3).
Financial Support
As per the UNDG Guidance Note on RC/UN Country Team Working Relations (page 3): “the RC a.i.
should have access to all the information and other resources that the RC would have.” As such, the
financial resources available to the RC function are predominantly the Support to Resident
Coordinator (SRC) and Country Coordination (CCF) funds, which are intended to strengthen
country level coordination and allow RCs to respond quickly and effectively to opportunities for
United Nations system collaboration. The main objective of the funds is to provide the UN Country
Team (UNCT) with basic coordination capacity, complementing staff time provided by agencies.
The majority of the funds should therefore be used on coordination staff to cover the key functions
of the RC office. Funds are programmed based on each UNCT’s annual work plan includes agreedupon exercises such as UNCT retreats, joint programming consultants and the like. The 1998 Acting
RC Arrangements explain the management and use of these funds. This includes the UNDP approval
of such funds as manager of the RC system16
Support for RC a.i.:











Your RCO staff hold useful institutional knowledge and some minimal funds to support
coordination.
The UNDG has a Regional Coordination Specialist in your region.
The Regional UNDG should be able to offer quality assurance, trouble-shooting, oversight
and strategic advice.
DOCO has three Regional Liaison Advisors covering two regions each (South Asia and EAP
being considered one region).
CPN network is a place to pose a query or read those of others.
The UN Coherence Handy Guide can also provide information on various aspects of UN
Coherence related to your RC a.i. work. (This will be updated in 2013)
Your organization may offer general and specific support for you –contact the appropriate
division
RC generic job description
UNDG Guidance Note on RC and UNCT country relations
Policy documents are available on the UNDG website
Resources for RC/HC/DOs on the RC Online site (please note that the restricted access area
of the site is reserved to RC pool candidates who successfully undertook the RC Assessment
Center)
The 1998 Acting RC Arrangements (page 2) notes that expenditures should be made with the explicit
authorization of the acting UNDP Resident Representative or Officer-in-Charge, due to the need to ensure
accountability for the use of such funds.
16
26