TEMPLATE FOR LEVEL 3 PROCESSES and SUB PROCESSES



Commercial Risk AviationThis content should be used to meet the requirements of the UNSMS Security Policy Manual, Chapter VII “Provisions on Safety Matters”, Section B “Air Travel Policy” (here and further referred?to?as?UNSMS?Air?Travel?Policy), and read in conjunction with the UNDP Duty Travel Policy. The UNSMS Air Travel Policy forms a framework to identify different risks and, using best practices, relies upon the expertise of the International Civil Aviation Organization (ICAO) to address issues that may challenge or pose additional risks to a flight. For the purpose of these guidelines, responsibilities, aviation risks and safety must be considered within the context of the safety and well-being of UNDP personnel supporting the corporate mandate, programmes and activities and in accordance with the requirements of all applicable policies and procedures. This will serve the purpose of enabling informed decision-making by the UNDP Managers with Signature Authority.Scope of Risk Management“The primary responsibility for the security and protection of personnel employed by the United Nations system organizations, their spouse and other recognized dependents and property and of the organizations’ property rests with the Host Government.” Similarly, the primary responsibility for the safety of UNDP personnel using commercial passenger air operators rests with the Host Government’s civil aviation authorities, which have the ultimate responsibility for ensuring that air operators are appropriately licensed and regulated in accordance with the International Civil Aviation Organization’s (ICAO) established Standards and Recommended Practices (SARPS).Notwithstanding the responsibility of the Host Government, United Nations Security Management System (UNSMS) personnel also play a role in ensuring their own safety and security and in implementing safe practices with regard to air travel to minimize injuries and loss of pliance and RestrictionsThese guidelines are applicable to all UNDP Personnel on official travel via Commercial Air (Transport) Operators, UN Chartered Flights and Donated Flights as defined in the UNSMS Air Travel Policy.All UNDP Personnel are expected to comply with these Guidelines.All UNDP Personnel are expected to comply with the safety requirements and briefings provided by crew members with regard to safety on board.All UNDP Personnel are expected to comply with other UNSMS policies, including the requirements to undergo relevant security training and obtain a security clearance through the Travel Request Information Processing (TRIP) system. In addition to mandatory use of the TRIP system for travelling on official business, it is strongly recommended that UNDP personnel use TRIP system to obtain security clearance for personal travel as well. The UN General Assembly (GA) has not passed any resolutions that ban or sanction the use of air operators currently providing commercial service. There is, however, a long-standing ruling in effect from the UN Office of Legal Affairs (OLA), dating back to March 1997, proscribing the use of Taiwanese carriers for official UN business due to potential implications relating to GA Resolution 2758 (XXVI) of 25 October 1971 on the Restoration of the lawful rights of the People's Republic of China in the United Nations.The total number of UNDP personnel permitted on any one individual flight is limited to a maximum of ten persons. This restriction applies to all commercial international and domestic passenger flights as well as to all United Nations charter aircraft flights. This restriction is not applicable to evacuation and emergency travel. The Resident Representative is the Line Manager for approving travel and acceptance of risk for all UNDP personnel in the offices of her/his area of responsibility. The Resident Representative may delegate the authority to Deputy or Country Director, but overall accountability will be retained by the Resident Representative. Exceptional approval should be duly filed to justify the risk acceptance. The Resident Representative’s own travel is approved by the Director of the respective Regional Bureau.Line managers, in approving personnel travel, may impose further restrictions, considering: a) The business impact of the loss of UNDP personnel from the same team, project group or discipline in terms of disruption due to the loss of business knowledge or residual expertise; b) Instructing personnel to travel separately or to consider other forms of communication such as video and/or telephone conferencing. InsuranceUNDP Personnel are covered under Malicious Acts Insurance Policy and Air Travel Insurance Policy, 15 through 18 below.Malicious Acts Insurance Policy (MAIP)MAIP covers the following categories of personnel:All Staff MembersConsultants on SCs, SSAs, ICs and similar categoriesNon-Staff persons while on Mission, Travel, Daily Subsistence Allowance statusCasual Daily WorkersInternsThe compliance with UNDSS security guidelines and procedures is a conditional precedent for coverage, when it is a malicious act as defined by the policy.There is no direct link between Malicious Acts Insurance Policy (MAIP): and categorization of airlines, i.e. MAIP coverage does not depend on the category of air carrier. UN Air Travel Insurance PolicyThe Air Travel Insurance Policy is a risk financing mechanism used to reimburse the organization for claims paid pursuant to the provision under Appendix D of the Staff Rules and Staff Regulations of the United Nations resulting from an air crash. UN Master Aviation PolicyThe UN Master Aviation Insurance Policy addresses the chartering of aircraft to support specific UN mission operations. This policy covers the Organization’s legal liability arising from aviation operations, involving third party injury/property, including: Use of Military Aircraft and pro-bono aircraft – Primary coverageUse of Charted Aircraft by the UN (long term and short term) – on an excess basis, there should be underlying coverage by operatorAirport Operations conducted in Peacekeeping missions including mobile equipment operating at airport.It should be noted that UNDP is not covered under the UN Master Aviation Policy. This should be taken into account during direct chartering of aircrafts by UNDP. Personal insuranceIt should be noted that commercial passenger air carriers are not required to provide passenger insurance for domestic flights. Even on international flights, where passenger insurance is mandatory, the minimum limits imposed by Warsaw and Montreal Conventions might not be seen as sufficient. As a general principle, personnel may wish to consider their personal levels of insurance coverage.Categorization of Commercial Scheduled Air OperatorsCommercial Air (Transport) Operator is an operator having a valid Air Operator Certificate (AOC) issued by the State of the Operator, which, for remuneration or hire, provides scheduled or non-scheduled air transport services to the public for the carriage of passengers. Commercial Air Operators are categorized using ICAO’s methodology, which filters air operators into one of three categories: Unrestricted Use, Conditional Use, or Restricted Use. Unrestricted Use: The air operator meets established safety criteria and is considered suitable for use by UNDP personnel on official travel.Conditional Use: The air operator is considered suitable for use by UNDP Personnel on official travel when an Unrestricted Use air operator is not available, and the risk assessment of the specific flight does not indicate High/Very High Concern. A risk assessment, using the Risk Management Tool (RMT), can be conducted by the UNDSS security professional. The resulting report contains supplemental information which should be used to clarify the Conditional Use categorization and to determine the overall level of concern for decision-making by the UNDP Signature authorities (managers approving travel).Restricted Use: The decision to use air operators categorized as “Restricted Use” shall be made only after conducting a risk assessment, using the RMT, and determination of the overall level of concern, unless it is used for life-threatening or evacuation purposes. If the level of concern is High or Very High, the Line Manager approving the travel should escalate the decision to the Regional Bureau. UNDP Global Booking List The UNDP Global Booking List includes airlines pre-approved for travel. The list includes:all airlines categorized as “Unrestricted Use” under the ICAO methodology, airlines that have undergone a recognized safety audit by IATA IOSA, IATA ISSA or Flight Safety Foundation BARS, airlines that have recognized partnerships, and airlines with a time limited authorization from Regional Bureaus.Airlines, which are consistently assessed as having an Overall Concern Level of Low in specific risk assessment may be included in the Booking List as well. The use of airlines not included in the Global Booking List is subject to a risk assessment and clearance (see para. “Airlines not Included into the UNDP Global Booking List” below).The UNDP Global Booking List is published and updated every quarter on the UNDP Security Office Intranet page and shared with the Travel Service, BMS. The UNDP Global Booking List does not contain information on categorization of any air operator, which is Strictly Confidential and shall only be used for internal UNDP purposes and shall not be made available to any individual or organization outside of the UNSMS. Noting that many air operators have questions regarding how they are assessed by the United Nations, UNDSS has created an information page which is also posted on the UNDP Security Office Intranet page. Airlines Not Included in the UNDP Global Booking ListThe air operators not included in the UNDP Booking List, for which categorization is not available, or categorized as “Conditional” or “Restricted” should be encouraged to register and undergo a safety audit with the IATA ISSA or Flight Safety Foundation BAR, which does not require a membership and costs approximately $ 18,000 for small aircrafts. Due to implementation of certain programmes, UNDP may require its personnel to travel on an airline which is not included in the UNDP Global Booking List, but for which categorization is available and normally falls under “Conditional” or “Restricted”. To address this requirement, Line Managers approving travel should request UNDSS office in the duty station or the UNDP ATFP to conduct an assessment using the RMT and provide the report result. The overall level of concern should be referenced for decision-making based on the criticality of the mission. In order to expedite processing of risk assessments in geographical areas within the same time zone, it is advisable to engage the UNDSS office on the ground or Regional UNDSS Office. Should the advice or service not be available, the alternative route is to seek advice from the UNDP ATFP. If the overall level of concern is “Low” or “Medium” Concern, the decision to approve a stand-alone travel is exercised by the Line Manager. Should the overall level of concern be “High” and/or the travel is required frequently, the approval should be requested from the Regional Bureau. Very High Levels of Concern, must be endorsed by the UNDP Administrator and the UNDSS USG.The Director of the Regional Bureau may grant a time-limited authorization for certain airlines not included in the UNDP Global Booking List. This authority may be delegated to the Deputy Director, per decision of the Regional Bureau. The time limited authorization is granted after risk assessment and consultation with the UNDP Security Office/AFTP. If authorization is granted, the Security Office would request ARMO/UNDSS to share any future information that could potentially result in the revoking of the authorization. If there exists a requirement to use a specific airline not included into the Booking List due to operational requirement for all agencies in the country office, a decision to grant a time-limited authorization should be made at the country team level and endorsed by all participating agencies, after consultation with ARMO/UNDSS. Acknowledgement by the Designated Official is required. The endorsement on behalf of UNDP is made by the Regional Bureau for the duty stations in the respective regions. Commercial Non-Scheduled and Non-Commercial Air OperatorsCommercial Non-Scheduled Air OperatorsMost commercial non-scheduled operators can be categorized. On occasion, an air operator cannot be accurately categorized, and therefore the risks of using these operators are not known. If the air operator has published its schedule but is not present in the UNDP Global Booking List, or any list provided by UNDSS locally, a request for categorization should be made to ARMO either via UNDSS office in the duty station or the UNDP AFTP. Field offices should notify the UNDP AFTP and UNDP Regional Security Advisors about any new air operators emerging on the market that can be used for official travel and request their categorization. UN Contracted Chartered ServicesAir charter agreements refer to a contractual arrangement between an air operator and an organization employing its aircraft, crew and other necessary personnel for the sole purpose of providing short-term or long-term air transport services. Air charter agreements, procured for use to support UN-mandated activities are governed by the UN Aviation Standards for Peacekeeping and Humanitarian Air Transport Operations (AVSTADS), which are established common aviation standards for chartered humanitarian and peacekeeping air transport operations to facilitate interoperability and that are applicable to UNSMS organizations involved in the provision of air charter agreements.Charter services offered by air carriers that are available on the UNDP Global Booking List may be accepted by UNDP. It should be noted that ARMO does not provide assessment of airlines for chartering purposes. The following process should be adhered to:UNDP offices can charter one-time or short-term services of airlines that appear on the UNDP Global Booking List provided that their risk assessment through RMT does not show “High” or “Very High” Concern.The services could be procured only under the standard UN Air Charter Agreement. Any deviation should be cleared by the Legal Office. Although the procurement is decentralized the OSO/CPO can assist in chartering on behalf of the CO. The focal point in OSO/CPO to facilitate procurement of the charter service is as follows:Ms. Adenike Akoh, Procurement Specialist, OSO, CPOPhone: 12129066518Email: adenike.akoh@Any one-time, short-term or long-term charter services by airlines not included in the “UNDP Global Booking List of Airlines” pre-approved for travel by UNDP personnel, or any High or Very High Concern charter flights carried out by airlines included in the UNDP Global Booking List, or by non-categorized air carriers should be contracted solely via Air Transport Unit, WFP. WFP has expertise and makes a safety assessment of airlines in accordance with the UN Aviation Standards (AVSTADS) as a part of their procurement process. The request should be addressed to Conny Akerstrom, Chief, Aviation Safety Unit, WFP (conny.akerstrom@), copying to Carlos Botta, Head of the Air Contracting Unit in Rome (carlos.botta@).Donated FlightsDonated flight references air transport offered and provided at no cost to UNDP by the air operator, whether publicly-owned by the state, government or privately owned by corporate or individual. The approval for the use of donated flight rests with the Resident Representative for all personnel of the offices in her/his area of responsibility, and with the Director of the respective Regional Bureau for his/her own travel in line with programme criticality. Authorization is granted after a Donated Flight Risk Assessment is conducted by an authorized user (UNDSS CSA/SA, ARMO) using the RMT, and the assessment does not indicate Very High Risk. Should the Donated Flight risk assessment indicate Very High Risk, approval for use by the Under-Secretary-General for Safety and Security (USG, UNDSS) shall be required. The Risk Assessment is initiated by completing the “Donor Flight Information Collection Template” (Attachment 2) and forwarding it to UNDSS, either via UNDSS personnel in the field (as first responders) or the AFTP. ARMO requires at least three (3) working days for these special risk assessments. It is recommended that the Form contains well-elaborated justification for taking the flight, availability of other options for travel if any, and also as much information as possible about an aircraft to be used. Incomplete or inaccurate information delay or make it impossible to conduct an assessment. In a crisis setting, whereby immediate deployment is required, approval may be granted by USG, UNDSS in lieu of a Donated Flight risk assessment.UNDP personnel are sometimes offered lifts with little or no notice in private aircraft or aircraft operated by non-categorized or non-approved companies or organizations. In such cases ARMO and UNDP ATFP may not be in a position to provide advice on the operator’s safety in a timely manner. For this reason, accepting lifts on aircraft is discouraged when travelling for official duty. In such cases the unknown safety risk should be weighed against the importance to the business or diplomatic relationship, as well as any possible consequences in declining a seemingly reasonable offer. The line manager of the traveler is responsible for taking these elements into consideration. Registering to TRIP is required for compliance to the UN’s Malicious Act Insurance Policy (MAIP)Emergency TravelIn emergency circumstances there may be a need to use an unauthorized flight where alternative modes of transport may be less safe and timing does not allow other travel arrangements to be made. UNDP personnel should consult with the line manager authorizing their travel or UNDP ATFP as circumstances permit. In such circumstances, the Resident Representative has authority to approve evacuation on any category of airline. Safety/Security risks at the destinationIf Minimum Operating Security Standards (MOSS) special measures for the country of travel specify the restriction to travel and commute to-from the airport during night hours, which could be gender specific, the booking options should be limited to the light hours of arrival and departure. Note: Risk assessment conducted with the help of the RM Tool accounts for security concerns at the points of departure and destination. Fly/Don’t Fly DecisionAll Personnel are expected to comply with the safety requirements and briefings provided by the crew on all air operators. It is advisable to take into account seasonal and local weather conditions in travel planning. Excessively bad weather or a forecast of such weather should be considered good reason for postponing travel to avoid delayed flights, and additional risks. Airlines may require assurance that pregnant travelers are "fit to fly", so a prior medical clearance certificate should be obtained and carried to ensure that there are no problems with travel plans. Having arrived for a flight, the Traveler may see something which causes concern. UNDP Personnel are fully authorized and expected to refuse to fly in any circumstance where:The UNSMS Air Travel Policy or UNDP Air Travel Risk Mitigation Guidelines are breached.Travelers have serious concerns about the general conditions of the proposed flight to the extent that it threatens their personal safety;Instincts and common sense tell them that something is not right. These concerns may include the following:There is no co-pilot on the plane; The aircraft is clearly overloaded, such as too many passengers for the number of seats, excess and/or unsecured baggage or freight visible in the cabin;There is no seat with attached safety belt available for the Traveler, even though there may be room in the cabin; In winter, snow and ice removal procedures for aircraft are not being adequately observed prior to flight.The crewmembers seem to be impaired.UNDP Personnel should confer with their line manager or UNDP’s ATFP prior to the departure of the proposed flight. If this is not possible, a written report should be made as soon as possible to their line manager with copy to UNDP’s ATFP, indicating the deficiencies observed and the action taken by the UNDP traveler. UNDP Travelers are expected to report any abnormality. All information that may increase risks for travelling with air operators should be reported to AFTP either directly or through the UNDP Regional Advisors. Arranging Air Travel for other UN AgenciesVarious UN Agencies have different level of acceptance of risk. When UNDP offices provide service by arranging air travel it should be limited to administration and follow decision of risk acceptance based on mission criticality by the Agency that requested a service. If travel involves use of airlines not included in the Booking List, prior Agency authorization should be obtained. Focal PointsUNDSS Aviation Risk Management Office: To meet the United Nations Department of Safety and Security (UNDSS) mandate "to manage the risks arising in the context of United Nations related operations" and to enable objective and evidence-based decision-making, the Aviation Risk Management Office (ARMO) has been established. It provides advice and guidance to the UNSMS organizations in regard to the suitability of air operators for operational planning and use, worldwide. ARMO provides updated information on categorization of air operators and other evidence-based information that may be used for risk management. Real-time information is posted on the UNSMIN web page, which is accessible by UNDSS senior security professionals and Air Travel Risk Mitigation Focal Points (ATFPs) appointed by Agencies.UNDSS Senior Security Professionals: UNDSS senior security professionals have access to a structured, holistic, and objective risk assessment model. This model, managed by the ARMO and accessed through UNSMIN, is called the Risk Management Tool (RMT). The RMT concept is aligned with the Security Risk Management (SRM) process and is used to provide additional information and overall level of concern relating to specific risks associated with an individual air operator conducting flights between identified locations that may affect personnel and programmes. UNDP Security Office: UNDP Senior Security Manager (Director, Security Office/BMS) is responsible for coordinating the organization’s response to security and safety concerns and provides advice to the Senior UNDP Managers, including Regional Bureau Directors and Resident Representatives for the implementation of security policies and procedures, including policies and procedures related to air travel risk mitigation.UNDP Air Travel Risk Mitigation Focal Point (ATFP) assigned individuals, acting as the representatives of their UNSMS organization, who are responsible for responding to questions relating to air travel in accordance with the UNSMS Air Travel Policy and these guidelines are as follows:Primary ATFP:Mrs. Valeria Mustafayeva Operations SpecialistSecurity Office, OOLTS, Bureau for Managementvaleria.mustafayeva@Phone: 212-906-6346Alternate ATFP:Mr. Andrei VoicuOperations AnalystSecurity Office, OOLTS, Bureau for Managementandrei.voicu@Phone: 212-906-3605Roles and responsibilities of ATFP are defined in Annex A, Chapter VII “Provisions of Safety Matters-B. Aviation Safety.Duty Travel Focal Point:Ms. Jillian KellowManager, Travel SectionOSO, OOLTS, Bureau for Managementjillian.kellow@AcronymsAOCAir Operator Certificate ATSAir Transport Section (UN Section responsible for aircraft chartering)ATFPAir Travel (Risk Mitigation) Focal Point ARMOUNDSS Aviation Risk Management OfficeCAACivil Aviation AuthorityDFSDepartment of Field SupportDPKODepartment of Peacekeeping OperationsGAGeneral AssemblyIATAInternational Air Transport AssociationIASMNInter-Agency Security Management NetworkICAOInternational Civil Aviation Organization IOSAIATA Operational Safety AuditISSAIATA Standard Safety Assessment ProgrammeMAIPMalicious Acts Insurance PolicyOLAOffice of Legal AffairsRMTRisk Management ToolSARPSStandards and Recommended PracticeTRIPTravel Request Information ProcessingAVSTADSUnited Nations Aviation StandardsUNUnited NationsUNDSSUnited Nations Department of Safety and SecurityUNHASUnited Nations Humanitarian Air Service UNSMSUnited Nations Security Management System WFPWorld Food ProgrammeFormsAttachment 1: Air Travel Evaluation Form for Time-Limited Blanket AuthorizationAttachment 2: Donated Flight Information Collection TemplateAttachment 1: REQUEST FOR EVALUATION FOR TIME-LIMITED AUTHORIZATION OF USE OF AIRLINES NOT INCLUDED INTO UNDP BOOKING LIST Date of Request Approved by: Regional BureauSignature:Yes ?No ? PART I: (To be completed by the requesting office)Name of the AirlineCode:Category by ICAO:Type of Travel (International or Domestic)Route (City-Pairs) of travelType of aircrafts on the route to destinationSchedule of departure/arrival(please indicate if take-off and landing may occur between 12 am and 5.30 am)Yes ?No ?Comments, if any:Frequency of Travel to the DestinationEvery day ?Once a week ?Few times a week ?One a month ?Less frequently than once a month ?Comments, if any: Name of alternative Air Carrier/s on the route, if availableAvailability of alternative travel by road, water Assessment of safety of alternative modes of travelUse by International Organizations, EmbassiesUse by UN AgenciesCriticality of missions to the destinationPC1 ?PC2 ?PC3 ?PC4 ?Justification of criticalityNotes: (pls. provide any other additional information in regard to flights to the destination that may be available on the ground, such flight delays due to maintenance problems, presence of bird flocks on the airport field, missing or faulty seat belts, etc.)Requested by:Please do not write below this linePART II: (to be completed by the Security Office, OOLTS, BMS)Safety Score by FlightSafe Partnership with other airlinesAvailability of wet-lease agreementsYes ?No ?(if positive, pls indicate airline/category)Accidents within the last 3 years (number and severity)Banned by European Aviation Safety AgencyYes ?No ?N/A?Comments, if any: New aircrafts on order, typeAge of airplanes on the routeIATA registrationYes ?No ?IOSA registrationYes ?No ?Volume of operationsIncreased ?Same level ?Decreased ?Not known ?New contributing factors (pls specify):: Recommendation:Recommended by: Recommendation endorsed by: Date:Attachment 2: Donated Flight Information Collection TemplateLink: PROPERTIES [Link]Responsible UnitSecurity Office, BOMFocal Point Valeria MustafayevaIssuance/POPP Publishing dateTentative Dec. 2016Approval Date*Effective Date*Planned Review Date*Last Revision Date*Summary of Changes (One entry per revision)NewApplicabilityALL UNDP personnel//07//01//2016 ................
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