Office/Region: UNFPA ESARO
Purpose of Engagement:
Support in relation to in-house pro-active self-assessment oversight activities to ESARO and any of the selected Business Units in the Region related to governance, risk and controls (GRC). The renewal affords other Business Units within UNFPA wanting similar activities to use the contract[1].
The purpose of this engagement is to strengthen the GRC in ESARO “the Regional Office” and its supported Country Offices. Learning from the previous contract just completed, the TORs have been extended to include other Business Units requiring similar services. The Region is also responding to the correspondence with the Office of Audit and Investigations Services’ (OAIS) on the need to take proactive postures on the GRC and to ensure improvements in the programme delivery and operations of UNFPA’s respective offices.
Scope of work:
The work aims to:
Continue the in-house oversight support to the Regional Office and its “23” Country Offices in ensuring that the GRC is well understood. Other Business Units within UNFPA will also be able to piggyback on this contract for similar activities. The work will entail ensuring that the Region and its supported Offices are conversant with oversight engagements and how to efficiently prepare and respond to, for instance, readiness requests, issues raised, and recommendations and ensuring timely implementation of findings/observations.
The Regional Office wants to ensure that all the COs are always “audit ready” and are aware of the governance, risk management, and internal controls required from them noting that audits could be undertaken at short notice. This also aims to limit pushbacks by Country Offices when receiving audit announcements.
Review, in conjunction with the Region and the selected Country Office (s), the plan for gathering the required information, within the given time frame aiming to secure auditable evidence to be made available to the auditors. Ensuring that the CO/other UNFPA Business Unit is/are then able to have a response and is able to show all improvements and developments that have been put in place, enabling to reach conclusions on the adequacy and effectiveness of the governance, risk management, and internal control processes in place.
As feasibly possible, the exercises will include reviewing and analyzing, on a “test basis”, other information related to selected Country Offices that the Regional Office and other Business Units consider as needing attention and review.
The Consultant will from time to time be requested to visit these Country Offices to assist and strengthen other spot-checking functions such as “spot-checks & inventory management reviews” as required for example by the Last Mile Assurance Team/Supply Chain Management Unit and any other ad-hoc spot-checking functions as required by the Region and other Business Units.
The main topics to be reviewed on a periodic basis and also during Country Office(s) visits by the in-house Consultant will entail the following:
1. Governance Activities
This area has been flagged as presenting high-priority recommendations as noted in the previous audit reports undertaken by UNFPA’s internal auditors and as such the in-house consultant will ensure that ESARO Country Offices are aware of the recurring audit findings and the recommendations and how best to avoid these repeats in consultation with the Regional Office.
The activities to be reviewed in the governance section are:
Office management activities, to include reviews of the office planning processes in place, annual management plans, performance plans; organizational structure, and staff well-being;
Country office oversight activities on programme delivery and operations and their effectiveness thereof;
Ensuring the understanding of risk management and the activities to be undertaken during the risk assessment exercises.
2. Programme Management Activities
Ensure that the Country Office (s) has/have put in place strong planning and implementation activities’ plans in relation to their Country Programmes;
Review and ensure compliance with policies in relation to work plans (including ensuring that quality assurance processes have been undertaken in formulating, reviewing, and completing work plans);
Review of implementing partner management processes (ensure that policies and activities related to implementing partners have been undertaken plus some sampled visits to IPs);
Where applicable ensure for those country offices receiving supplies that the procurement end-to-end processes have been followed including up to the last mile activities including visits to warehouses and service delivery points; and
Ensure that the Offices are aware of their functions with the donor community and paying attention to previous findings on the management of non-core funds. This includes the analysis and review of the relationships that the Country Offices have with the donors they work with.
3. Operations Management Activities
Review of the Country Office (s)’ understanding and application of the human resources policies in place and their compliance with the said policies with an emphasis on the recruitment processes, contract awards, contract management, staff entitlements, benefits, well-being, leave, etc., as well as undertaking staff surveys were applicable.
Review of the procurement activities (end-to-end) and adherence to procurement policies as well as understanding the suppliers engaged by the Offices and the relationships thereof.
Review of financial management files and the staff capacities in the offices to conduct all the financial management activities.
A review of all other general administration activities in the offices such as travel, asset, and facilities management activities;
The consultant will also look into the security, information & and communication management activities in place in the Country Office (s) visited.
4. Spot-checks and other oversight activities (special requests)
The Consultant will also look into the spot-checking exercises to be conducted by the Country Office (s) and their quality thereof. The Offices will also engage the Consultant when the need arises in relation to conducting spot checks. A request by the Supply Chain Management Unit (SCMU)to conduct a spot-check on their behalf could also be undertaken in this section.
Anticipated/Planned and up-coming Oversight Activities 2023/2024.
The Consultant’s activities will also include responding to OAIS’s audit requests to Country Offices’ prior to, during and after the audit field visits.
The Consultant will work with management to create a detailed program of action covering all the countries that require assistance in 2024.
Duration and working schedule:
The activities to be undertaken by the Consultant will be conducted starting from 14/11/2023 with an end date of 13/09/2024 for a maximum of 200 days only.
Place where services are to be delivered:
The support to the Business Units will be undertaken by traveling to the Country Offices as well as remote engagement. All travel costs will be paid by UNFPA.
Dates for deliverables which will be in phases will be formalized with the Business Units and Regional/Headquarter Offices and will entail the following:
Meetings with Regional/Country Office Senior/other Management and key supervisors.
Review of proposed structure of supporting documentation and ensure information is per audit/oversight requirements.
Prepare the Business Units for any oversight engagement.
Research, and read prior audit reports and requests as detailed by the UN oversight offices and ensure Business Units understand the steps undertaken during oversight missions, with specific emphasis on understanding the governance, risk management, and internal control processes.
Interviews with key staff (operations and programme) and walk-throughs of expectations prior to, during, and after the audit engagements/spot check visits and other oversight-type activity.
Review of information gathered by the Country Office teams and ensure uploaded into the requested drives and provide feedback thereof.
Develop and share other audit/oversight related information to support the audit engagement.
Ensure that Country Offices have the most up-to-date UNFPA policies, guidelines etc.
Review existing business processes for Program & Operations in the CO (including state offices/provincial offices) and provide recommendations focusing on streamlining, simplifying, and improving the efficiency and effectiveness of CO operations where applicable.
Other deliverables
Assist the Business Unit in understanding the issues raised by the audit and review the responses put forward by the Business Units.
Coordinate and oversee that all requested information to address the issues raised is gathered and used to address each issue.
Follow up on any missing elements related to oversight missions/spot checks and last-mile assurances.
Coordinate and conduct virtual meetings with CO staff to orient on the issues addressed and the responses and the development of appropriate Standard Operating Procedures to address the findings.
Follow up on recommendations and ensure timely implementation.
The consultant will produce Mission Reports that will include robust recommendations for the Business Units as well as conduct entrance and exit meetings with the Business Unit focal persons. The consultant will also be responsible for ensuring that the Offices follow up on the mission findings and the status of follow-up will also be presented to Management on a periodic basis.
Qualifications and Experience:
Masters degree in accounting, auditing, business administration, commerce, or related field.
Professional accounting, auditing, or related designation (CA/ CPA / internationally recognized national equivalent or CIA). Additional certifications would be considered an asset.
Ten (10) years or more of internal audit and/or other directly relevant experience, preferably at the international level.
Fluency in English with proven ability to express himself/herself well verbally and in writing (candidates who are not fluent in English will not be selected for the engagement).
Strong knowledge of internal auditing standards and practices, audit tools and techniques, financial and internal controls.
Previous experience with the United Nations and its agencies, and UNFPA in particular, would be considered an asset.
Supervisory arrangements:
The focal points for the engagements at Country Office level will be the Office Management namely the Representatives, the Officers-in-Charge and International/National Operations Managers. For the Programme segments, the focal points are the Deputy Representative and the Program Leads. At Regional and Headquarter level these will be the selected Regional and Headquarter leads for the engagements.
Inputs/services to be provided by UNFPA or implementing partner (e.g., support services, office space, equipment), if applicable:
Background and transactional supporting documents and other relevant documentation to be provided by the UNFPA Country Offices and the Regional and Headquarters staff.
Other relevant information or special conditions, if any:
Chart Of Accounts to be added depending on the Country Office being engaged.
Disclaimer:
UNFPA does not charge any application, processing, training, interviewing, testing or other fee in connection with the application or recruitment process. Fraudulent notices, letters or offers may be submitted to the UNFPA fraud hotline http://www.unfpa.org/help/hotline.cfm
UNFPA will only respond to those applicants in whom we have further interest.
[1] Extended to include other Business Units within UNFPA requesting similar activities.
[2] Specific Requests from East & Southern Africa Regional Office.
