Minimum Requirements for First Phase Emergency Response.

Version 1, Approved 23/10/2017 by OI Executing Affiliate Working Group

Supply and Logistics Minimum Requirements for

“First Phase” Humanitarian Response

This document describes the Supply and Logistics Minimum Requirements for “First Phase”
humanitarian response.

Table of Contents
1. Introduction to Minimum Requirements for “First Phase” Humanitarian Response.............................1
2. Supply and Logistics Minimum Requirements (what always needs to be done). ................................3
2.1 Identification/deployment of logistics and procurement staff ..............................................................3
2.2 Procurement and Supply ..........................................................................................................................4
2.3 Warehousing and Transport ...................................................................................................................6
2.4 Distributions ...............................................................................................................................................7
2.5 Infrastructure set-up .................................................................................................................................7
2.6 Vehicle Management ...............................................................................................................................8
3. Simplified Procedures ....................................................................................................................................9
3.1 Purchases of less than 1,000€ ...............................................................................................................9
3.1 Simplified procurement ............................................................................................................................9
3.2.1 Order Value Table and documents required for the procurement file ......................................9

1. Introduction to Minimum Requirements for “First Phase”

Humanitarian Response
Please see the document “Introduction to Minimum Requirements for ‘First Phase’
Humanitarian Response”.

Summary
The rationale for Minimum Requirements is that in all emergencies there is a phase of work
which is particularly high-pressure and often requires doing things very quickly. In these
circumstances Oxfam’s normal procedures, particularly when combined with other factors
(such as shortages of experienced humanitarian staff and the external environment), could
constrain the effectiveness of the response. So Minimum Requirements have been drawn
up, specifically for the first 3 months of emergency response.

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Minimum Requirements for First Phase Emergency Response.
Version 1, Approved 23/10/2017 by OI Executing Affiliate Working Group

Operating in a fast-moving, often insecure, emergency context presents Oxfam with

increased risk to the delivery of its objectives. Decisions may need to be taken based on
incomplete information and broad assumptions, with multiple actions needed in parallel.
Managers and staff need to consider risk, to guide their decision-making, and to take risks
where appropriate. Oxfam relies on staff to use their judgement in all circumstances.
Minimum Requirements are a product of this thinking. They incorporate assumptions about
operating with higher levels of risk – i.e. Oxfam accepts the level of risk implicit within
Minimum Requirements in the interests of delivering an effective humanitarian response.
Minimum Requirements have been designed for a limited period of use only i.e. building in
assumptions about acceptable levels of risk for a limited period.

Minimum Requirements are designed to:

Help balance the need to deliver fast and effective humanitarian assistance with an
appropriate level of ‘control’ of the resources used (e.g. money, people, equipment etc).

Help managers and staff to be really clear about the minimum that is expected of them, in
terms of ‘programme delivery’ and ‘control’ and hence to help all staff work in an empowered
and accountable way. By all means exceed ‘the minimum’, in terms of levels of control of
resources, but not to the detriment of rapid scale up.

Enable effective emergency response programmes within the overall context of Oxfam’s
longterm presence in countries and the normal procedures in place. We have not drawn
up a completely separate manual of emergency procedures. These minimum requirements
offer a ‘core’ that is judged to be really needed for the first, high-pressure phase. They are
important, yet feasible, requirements that relate to normal procedures – often chosen to help
build a basic level of control that can be added to later.

Minimum Requirements are, in principle, a complete set of instructions. When Minimum

Requirements are in use, they replace all previous instructions for the functions concerned. If
something is not covered by the Minimum Requirements; that means it can be done in any
way that is the most practical under the circumstances. Please mind this does not diminish
the need for sound judgement, nor the principle of accountability referred to above.

Note that all the minimum requirements have also been drawn up so that they are also
‘demonstrable’ or ‘measureable’ – i.e. it should be possible to demonstrate that they were
met. They are formal instructions and, for the period they have been put in force in a
country, the MR will be used as the procedural reference by internal and external auditors.

Minimum Requirements are not a guide on to “How to do humanitarian response”. They are
a toolkit for experienced humanitarian managers. Where the Minimum Requirements
documents – which have been deliberately kept very short - do not cover an aspect of the
operational process, common sense, experience and insight should be used in the context of
the Executing Affiliate procedures.

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Minimum Requirements for First Phase Emergency Response.
Version 1, Approved 23/10/2017 by OI Executing Affiliate Working Group

Minimum Requirements are for all managers involved in, or responsible for, humanitarian
response programmes, including specialist support staff/managers i.e. Finance, Human
Resources, Logistics and Supply and ICT. They are primarily for use by managers/staff
working at ‘field’ or country level. In addition, anyone with responsibility for humanitarian
response programmes or support to these programmes will need to be aware of, and
support the achievement of these minimum requirements.

There are Minimum Requirements for the following functions

• Programme Management.
• Finance.
• Supply and Logistics.
• Human Resources.
• Information and Communications Technology (ICT).

These minimum requirements are intended as a temporary measure normally for the first 3
months of an emergency.
The request to use Minimum Requirements is made by the Country Director. They do this in
consultation with their management line and the Global Humanitarian Team. The decision to
use Minimum Requirements is made by the Executing Affiliate.

2. Supply and Logistics Minimum Requirements (what always

needs to be done).
2.1 Identification/deployment of logistics and procurement staff
Identify and deploy a logistics coordinator and “programme” logistician1 within one day
of the decision to use Minimum Requirements.

Identify and deploy one procurement person plus one logistician for each base and
welfare logistics capacity within one week of the decision to use Minimum Requirements.

Locally identify or deploy an assistant to each logistics role (above) within the first day of
the emergency.

1Programme logistician tracks distribution and stock, and is close to programme people to meet immediate
needs (e.g. vehicles, communications equipment, etc.).

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Minimum requirements for performance management – the responsibility of all managers of

staff - are set out in the Human Resources Minimum Requirements document.

2.2 Procurement and Supply

Structured, regular communications with programme staff (e.g. at daily coordination

meetings) need to take place to cover the orders placed, expected delivery dates,
quantities, quality, new orders placed and stock levels.

For further information on Oxfam procurement procedures, please refer to: the Oxfam
Supply & Logistics Manual

Institutional donor requirements – Institutional donors tend to have specific purchasing

requirements, for example on levels (see below) or constraints on where items can be
sourced. Most of our Humanitarian donors, however, also recognize the need for exceptions
to these rules in (early stages of) emergency response. Calling MR into force needs to be
checked in advance with Donor requirements and donors need to be formally notified of the
start and end dates of MR applicability. Supply and Logistics must at all times be aware of
any specific contractual requirements over and above the applicable Oxfam
procedures, to ensure compliance with them or to seek to negotiate and agree different
arrangements, such as waivers or derogations for particular circumstances. The funding
person in charge of the response, at country level, will provide a summary of constraints and
implications for each donor, for example in a written memo. Keeping a close relationship with
the (local) donor representative will help resolve ad hoc issues.

Important : When working with external suppliers and third parties, it is extremely important
to demonstrate high standards of business behavior and ethics:

• Gifts, hospitality and inducements: Oxfam staff must not accept any personal gifts
or other inducements, which, individually or cumulatively, can be adjudged as aimed
at influencing the purchasing decision. Other issues related to personal gifts and
hospitality are covered in the Code of Conduct.
• Potential conflicts of interest: When potential conflicts of interest arise for the
purchaser, or anyone else involved in the decision-making process related to such
things as supplier selection, tender evaluation, contract award or supplier
performance, there must be compliance with the Declaration of Interest section of the
Code of Conduct.

Even during the first phase of a response, regular planning is required in order to avoid
problems such as delays in the delivery of goods, delivery errors, to mitigate the risk of fraud
etc. The supply plan doesn’t have to be a very detailed plan and can be reviewed on a
weekly basis. Support and programme teams must sit together regularly so that they can
discuss the needs, realistic delivery dates, implementation sites, budget availability, and
challenges.
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Minimum Requirements for First Phase Emergency Response.
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All expenses must be authorized in advance by the Budget Holder to ensure the
availability of funds (budget) and that the request corresponds to a need / priority of the
project. The authorization of expenses is formalized by a Requisition (REQ). It may also
take the form of a cash advance/float for purchases with a total value of less than 1,000€.

To be valid, an authorisation of expenditure must be approved by the budget holder and

must be duly completed (Budget code, description of the items requested, estimated amount
etc.).
In case a Requisition has to be validated by a single person who assumes different roles
(technical, logistics and budget holder), the signature of their direct hierarchical superior is
automatically required.

If quotations are required, a Request for Quotation (RFQ) must be sent to suppliers.
Suppliers may submit their bids in writing: e-mail, fax, mail, by completing the quotation
request sent by Oxfam or using their own form but not verbally or by telephone. A
Competitive Bid Analysis must be agreed by at least 2 Oxfam staff members. As stated in
the principles section above, an essential part of supplier selection is to ensure that they
have the capacity and ability to meet Oxfam's requirements.

A Purchase Order is used to place an order with an external supplier. A requisition does not
need to be re-authorised by the budget holder if the amount on the actual purchase (Purchase
Order / Contract) and the amount validated on the Requisition remains within an acceptable
difference

See below One Oxfam proposed variance threshold as an example. Variance thresholds per
affiliate may vary, check threshold table for more information:

Total amount approved in the Requisition OGB and OES ONL Other affiliates
Acceptable difference between the amount of Up to 20%, with 10% with a Refer to
the actual purchase and the amount validated in a maximum of maximum of affiliate
the Requisition €3,000 €3.000

A signed Proof of delivery is required to confirm the satisfactory reception of goods or

services having verified that they meet the specifications (both quantity and quality).

For Direct Purchase (less than 1,000€), a note of reception (‘Reception confirmed’; By: ‘Name
and Position of the receiver’ and ‘Date of reception’) on the supplier’s invoice or receipt or
delivery note will be enough to justify that the goods/services are delivered. Above 1,000€, a
Goods Receipt Note (GRN) or Services (SRN or Waybill if it is a transport) must be issued.

On receipt of the supplier invoice, Logistics prepare a Payment Request (PR) after checking
the correct correspondence of the information (reconciliation between quantities and qualities
mentioned) on:
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• Purchase order / contract and the general conditions of purchase;

• Delivery note / Reception;
• Invoice

The request for payment is issued by logistics to the Finance manager for the response and
only needs to be verified and approved by the Budget holder if it is above 5,000€. Once the
payment request is issued and duly approved, the logistics responsible transfers the original
complete purchase file to the finance for payment to the supplier, and archiving of the
original purchase file.

For its own follow-up, Logistics will keep a copy of the complete purchase file before handing
over it to finance (Preferably a scanned copy of the originals and if not possible a
photocopy).

From day 1, traceability must be ensured in the supply chain. Each document must
include the reference of the document preceding or having initiated the document. Eg:

 The requisition number must appear on the PO.

 On the stock card, for the entries (IN) must appear the Requisition number, if it is a
purchase or the number of the Stock Request if it is an output (OUT)

From day 1, set up a ‘procurement system’ (e.g. standard Oxfam system for organizing
purchases on paper or spreadsheet). Focus needs to be on expected delivery dates (rather
than on order dates).

Within Week 1, Identify freight-forwarding agent and check the importation procedures
and documentation needed to avoid delay in customs clearance and storage cost. (e.g. start
doing this on arrival at the airport). Contact details of this agent will then be listed in the
master list of suppliers (see below).

From week 1, set up a Requisition tracking system in order to be able to follow up the
requests and inform program staff and managers on the status of purchase ongoing and
done and on items received. From week 1, set up a vendor/supplier list – i.e. a database
or spreadsheet of contacts – showing who to go to for what, prices, etc. This can be part of
the ‘procurement system’ (above). Ideally this should be in place prior to the emergency, as
part of emergency preparedness.

For requirements related to assets and equipment, the standard Supply & logistics
procedures apply.

See section 3.1 below for simplified procurement procedures.

2.3 Warehousing and Transport

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A single person must always be designated as responsible for the stock (i.e. Warehouse
Manager or Storekeeper) and for ensuring that standard Oxfam documentation is completed.

Within one week, Warehousing and Transport ‘paper flow system’ (Oxfam standard)
needs to be set up to ensure transfer of responsibility documentation, issue GRNs, etc.

‘Transfer of responsibility’ documents must be in place and need to be signed for the
movement of items (ie : Stock Request, Waybill, etc..). The minimum requirement is to have
signed and dated ‘goods in/out’ documents that state what has been received into or
released from stock.

Stock records / cards must be kept permanently updated.

Oxfam standard stock reports must be produced weekly.

Within two months an Oxfam standard stock reconciliation must be done and any
discrepancies followed up.

2.4 Distributions including cash distributions

By the end of the first month or earlier when necessary, a tracking system for
distributions (Oxfam standard) must be set up and implemented in close collaboration with
programme managers to ensure adequate control and record keeping and to enable
reporting in programme distributions.

The Programme Team must provide:

• A clear statement of need/requirement and a recipient/beneficiary identification

system (e.g. card, voucher, registration documents), plus a list of the goods/cash to
be distributed.
• Records of distributions, for example through ticking cards/taking vouchers and
decreasing the number of items on the list of goods held.
• Count remaining items/cash at end of distribution and prepare
report/documentation for returning to stock.

The Logistics Team will reconcile as shown below and follow up on any discrepancies:

‘stock/cash out’ minus ‘stock/cash returned’ = Records of distributions (above)

2.5 Infrastructure set-up

Vehicles/Cars – within one or two days, rent secure safe and appropriate vehicle.

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Base – office and staff accommodation to be set up within one week (e.g. contracts on
properties signed). Minimum provision to ensure good working and living conditions as well
as health and safety aspects must be put in place within the first 2 weeks and developed
during the first month. Regarding the minimum provision, Oxfam relies on staff to use their
judgement in all circumstances, and should consider at least the following aspects below
(this is not an exhaustive list):
• Safe working and living spaces, with available clean water in the premises,
• Staff accommodation to consider privacy which is consistent with cultural needs,
• Folding beds or sleeping bags or roll mattresses, and mosquito nets if needed,
• Reliable means of communication to be established and maintained and a backup
system installed,
• Reliable means of electricity to be provided for the at least light bulbs, laptops and
one small printer; if the public electricity is not reliable then provide an appropriate
size generator,
• First Aid kits.

Stock/Warehouse – storage premises to be set up within first week (in practice, requirement
may be for much faster set-up).

Communications equipment – this is dependent on local law. Priority is given to ensure an

effective and safe communications system on international / national / local
communication.

Once the HR organisation charts and needs are defined, the rest of the IT equipment/asset
(laptops, printers, APC protection, etc.) must be integrated into the supply plan and ordered
as soon as possible.

Please refer to the ICT Minimum Requirements and the EA standard for procurement of ICT
material and services.

2.6 Vehicle Management

All staff in cars must wear seatbelts, in the front and rear seats, and crash helmets when on
Oxfam motorcycles.

In populated areas, vehicle speeds must be kept to a maximum of 50kph (30mph) or the
national speed limit (whichever is lower). Outside of populated areas, vehicles must abide
by the national speed limits.

Vehicles must be licensed and insured (normally third-party insurance only).

All new drivers (vehicles, motorbikes, trucks) must successfully pass a driving test by
logistics prior before being employed, authorised to drive, including rental drivers.

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Responsibility for vehicle maintenance needs to be defined and written down (e.g.
maintenance of each vehicle is assigned to a nominated driver).

A Vehicle location ‘system’ must be in place to know the whereabouts of vehicles at all
times (e.g. through a notice board in the office, regular communications contact).

Rented vehicles must be covered by a written contract with the owner, the driver must
abide by Oxfam’s rules and regulations, and Oxfam should always aim for the same
standards as in Oxfam vehicles (e.g. security, safety, maintenance, and communications).

Fuel monitoring system: Fuel and Journey Log books must be in place at the end of the
first week to allow fuel consumption to be tracked at the end of the first month.

Oxfam’s standard Terramar system, must be in place later on during the 2nd month to allow
fuel consumption to be tracked into the system.

See also Security and Safety Management in Programme Management Minimum

Requirements.

3. Simplified Procedures
3.1 Simplified procurement of less than 1,000€
Purchases of less than 1,000€ can be done by cash advance/float. A Requisition is not
necessary if a cash advance/float has been approved.

A Goods Receipt Note is not required for purchases of less than 1,000€. A note of reception
and satisfaction on the supplier’s invoice or receipt or delivery note will be enough to justify
that the goods/services are delivered.

If an invoice is not available then a receipt of payment from the supplier is acceptable. The
justification of the expenses is done directly by the finance team during the justification of the
float paperwork.

3.2 Simplified procurement above 1,000€

Minimum Requirements operate with different cut off levels of the need to get quotes and do
tenders to normal procedures. They are laid out below.

3.2.1 Order Value Table and documents required for the procurement file
Oxfam requirements for different levels of procurement are set out in the following table.
These are the default Oxfam Minimum Requirements for first-phase emergency situations -

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Minimum Requirements for First Phase Emergency Response.
Version 1, Approved 23/10/2017 by OI Executing Affiliate Working Group

unless alternative arrangements are needed in order to comply with institutional donor
contracts.

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 Nº1 Nº2 Nº3 Nº4
Direct Purchase Single Quote Multiple Quotes Restricted Tender Process
(No quote) (1 Quote) (At least 3 quotes) recommended, otherwise multiple
quotations process
From 0 to 999 EUR From 1,000 to 9,999 EUR From 10,000 to 99,999 EUR Above 100,000 EUR
Approved Float OR Authorized
Authorised Requisition Authorised Requisition Authorised Requisition
Requisition

Reception Note (Goods GRN or

Services or Work SRN) OR Waybill
One quotation (RFQ signed by supplier All received quotations (At least 3) (RFQ stamp and signed Tender proposal received from bidders
(transport) OR
OR Quotation from Supplier) by supplier Or Quotation from Supplier) Or
Acknowledgment of Reception on Quotation form received from Supplier (at least 3)
invoice / Payment receipt

Tender evaluation report

Comparative Bid Analysis (CBA) Or
The Purchase Order (for goods) + Or Comparative Bid Analysis (CBA)
Invoice OR Payment Receipt Short Term Contract (works or services) Written record rationale for decision on supplier (e.g. speed of
delivery, volume, quality, price). Either document signed by at least 3 persons (Log +
OR Framework Agreement
Either document signed by at least 2 persons Technical lead + Budget Holder or delegated person
(program manager))

Framework Agreement reference (FA) + Purchase Order (PO) Framework Agreement reference (FA) + Purchase
Good Received Note (goods) OR Or order (PO)
Payment Request (only if paid by Or
Delivery document (works) OR Purchase Order (PO) for goods only, up to €25,000 (*)
finance) Specific Contract
Service Received Note (services) Or
Specific Contract Signed off by Executing Affiliate

Good Received Note (GRN for goods)

Good Received Note (GRN for goods) Or Completion Or
Invoice Certificate (works) Completion Certificate (works)
Or Service Recevied Note (SRN for services) Or
Service Recevied Note (SRN for services)

Authorised Payment Request Invoice Invoice

Authorised Payment Request Authorised Payment Request

Waiver All requests to waive procurement thresholds/competitive procedures MUST be approved according to the Executing Affiliate's procedures
Delegation Expenditure authorisation levels (budget holders) and procurement authorisation levels (contract signatories) MUST be defined, formalised in writing and
of authority communicated to the country team
Existing FA's can be used as part of the emergency but consideration should be made to the projected value stated on the Framework Agreement itself (max
Framework exceed is 20%) and how this will impact the wider programs. If using FA, procurement file should link to FA documentation (only FA reference required) for proof
Agreement of competitive process.
(*) Not applicable if funds from AECID are used.

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