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Programme and Operations Policies and Procedures

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Visual guide on Enterprise Risk Management,

​A visual guide on enterprise risk management has been published in the Enterprise Risk Management policy page here and in Business Processes here. The guide provides an overview of the business process flow steps of all procedures, as well as the tools and guidance on risk management starting from establishing the context, risk assessment, risk treatment, monitoring and review and finally communication and consultation. Links to the relevant resources in the POPP for each process flow step are also included. These are the direct links to the guides in pdf: 


17/11/2022Accountability
Organizational Unit Restructuring,

The Organizational Unit Restructuring Policy sets out UNDP’s human resources policy governing the restructuring of organizational units, including special placement of staff and selection measures. The Organizational Restructuring policy establishes one single policy to manage the restructuring which:

  • Establishes clear roles, responsibilities and accountability for restructures of units organization-wide;
  • Provides a clear and simple process easily understood by different stakeholders;
  • Establishes a process agile enough to be effective in different organizational contexts (HQ and field);
  • Streamlines and increases flexibility in the restructuring process;
  • Ensures consistency, transparency, efficiency and fairness;
  • Significantly increases the speed of restructuring;
  • Provides safeguards for staff affected by restructuring and facilitates placement and selection of staff into new positions;
  • Ensures the restructuring process is aligned with, and leverages the benefits of, other related new processes such as mobility, talent reviews, and rank-in-post plus


01/11/2022Human Resources Management
Formulate Programmes and Projects

The GCF RACI for NIM projects has been completed. The GCF RACI builds on the same structure and logic of roles for 1st and 2nd layer oversight applied to the GEF RACI, but with additional steps and adjustments to align with the specific requirements and project cycle of the GCF. Minor updates were also made to the GEF RACI where a footnote was added to reflect the augmented design oversight support for CO provided by the NCE tier 1 regional technical specialists deployed by BPPS/NCE. The same footnote is also reflected in the GCF RACI.

18/10/2022Programme and Project Management
Select Responsible Parties and Grantees

The policy has been updated to align references to awards with the Innovation Challenges policy and with the Performance-Based Payments policy.

14/10/2022Programme and Project Management
Anti-Money Laundering and Countering the Financing of Terrorism Policy

 The Anti-Money Laundering and Countering the Financing of Terrorism Policy (“AML/CFT Policy”) provides a comprehensive approach to identifying, addressing and managing AML/CFT risks across UNDP. The policy affirms UNDP’s continued commitment to combating money laundering and terrorist financing, by complementing, reiterating, and cataloguing the safeguards and measures that UNDP has in place in this regard. This policy is a part of a broader set of policies aimed at ensuring that UNDP funds are used for the purposes intended.

To access the French and Spanish versions of the policy, click on the respective language tab.

30/09/2022Accountability
Internal Control Framework

The ICF policy and ICF Operational Guide have been updated to incorporate references to the new Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy). The AML/CFT Policy is referenced in the list of Supportive Tools in Annex 2, point 1 Integrity and Ethical Values on page 20 in the ICF policy and a new section 2.9 Mitigating risks associated with money laundering and terrorist financing has been added on page 12 of the ICF Operational Guide.

30/09/2022Accountability
Prepayments

The Prepayments policy has been updated to clarify that the requirement for a bank guarantee and limitation of 20% of the contract value is not applicable to UN Agencies.

30/09/2022Financial Resources Management
Programme and Project Management

The updated RMT reflects the approval of the two-tiered approach for the shielding of the development activities for the budget period 2018-2021 and extended it to the 2022-2025 budget period.

28/09/2022Programme and Project Management
Framework of Accountability for Security

The United Nations Security Management System (UNSMS) requires that each UN entity maintains an internal Framework of Accountability (FoA) documenting individual roles, responsibilities, and accountabilities related to the security of their respective organizations. The recent revision of the UNDP Security FoA policy was undertaken to align with UNSMS policy updates. Consistent with this, the revised policy introduced the role of the senior most UNDP representative at the security area level and incorporates the role of programme and project managers in supporting Resident Representatives to ensure security considerations are mainstreamed in planning processes. The revised policy supports and enables UNDP achieve its goals as established in the UNDP Strategic Plan and is in line with the UNSMS goal of enabling UNDP activities within acceptable levels of security risk.

27/09/2022Security
Solicitation Policy

The RFQRFP (for services $200K and above) and ITB templates have been updated to align with the new Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy) and now includes ‘ultimate beneficial owners’ as follows: (i) In the procurement self-certification sections in the RFQ template in Section 2: RFQ Instructions and Data, Eligibility and in Annex 2: Quotation Submission Form, Bidder’s Declaration, Prohibition, Sanctions. (ii) In Section 2. Instructions to Bidders, A. General Provisions, 3. Eligibility in paragraph 3.2 in the RFP template (for services $200K and above) and in the ITB templates. For AML/CFT purposes (FATF Recommendation 24), the definition of ultimate beneficial owners focuses on the natural persons behind corporate entities. Ultimate beneficial owner means a natural person that exercises control over an entity through direct or indirect ownership, or has other means of influencing the Bidder such as through financing, close family relationships with the owners of the Bidder or through holding key positions within the Bidder. The updated templates are linked in paragraph 4 of the Solicitation policy.

24/09/2022Procurement
Protection against Retaliation Policy

The UNDP Policy For Protection Against Retaliation (PaR) has been updated to incorporate reference to the new Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy): the AML/CFT Policy is referenced and linked as footnote 3 to Section 2.1 of the PaR policy, and also appears in the “Links to Documents” section at the end of the PaR Policy. 

22/09/2022Accountability
Annual Leave


- The Annual leave policy has been amended to guide staff on the principles underpinning their annual leave entitlement and to gender neutralize the policy in accordance with UNDP’s Gender Strategy policy. More specifically:
  • Staff members are encouraged to take at least half of the annual leave they are entitled to in each year and to take it in a reasonable period of continuous annual leave;
  • The policy has been updated to reflect that staff can now take seven uncertified sick leave days continuously; and
  • The policy has been updated to reflect the fact that staff who are able to do so are expected to work remotely in the event of office closure, rather than having paid time off.


15/09/2022Human Resources Management
UNDP ICT Standards

The ICT Standards policy, has been updated to include the following: 1. Overall review and update of the policy 2. User equipment standards update 3. Standard software section update 4. ICT Support services- section updated 5. Online Subscriptions and Cloud Services section added 6. Application development standards– section added 7. Assets Disposal section added 8. Azure cloud subsection added 9. Guidance on the use of MS Azure Annex added.

24/08/2022Information and Communications Technology
Personal Data Protection and Privacy Policy

The purpose of the Personal Data Protection and Privacy policy is to guide project/programme implementation when handling data, to be embedded throughout the data lifecycle to ensure UNDP implements the highest ethical standards for data protection and privacy. Protection of personal data is essential to upholding fundamental rights to privacy and the UN system-wide personal data protection and privacy principles. Strong policies on personal data protection and privacy, and on information handling and classification are critical for operating efficiently, considering opportunities and risks in the use of personal data, including in combination with evolving technologies.

26/07/2022Information and Communications Technology
Information Classification and Handling

The purpose of the Information Classification and Handling policy is to guide project/programme implementation when handling data, to be embedded throughout the data lifecycle to ensure UNDP implements the highest ethical standards for data protection and privacy. Protection of personal data is essential to upholding fundamental rights to privacy and the UN system-wide personal data protection and privacy principles. Strong policies on information handling and classification and on personal data protection and privacy are critical for operating efficiently, considering opportunities and risks in the use of personal data, including in combination with evolving technologies.

26/07/2022Information and Communications Technology
Security Policy

The UNDP Security Applicability Guideline is now available in French and Spanish. To access the French and Spanish versions click on the respective language tab. The guideline is located in step 2 of the Security Policy procedures.

06/07/2022Security
Social and Environmental Standards

A minor update to the Social and Environmental Risk Screening Template Question 6.3 has been implemented, modifying the presumption of risk significance. The change guides the screener to assume that affirmative answers to the question should rate the project at least as Moderate risk instead of Substantial, as was previously the case. This modification is based on lessons learned and aimed at streamlining the environmental and social assessment process

30/06/2022Programme and Project Management
Enterprise Risk Management

The Enterprise Risk Management (ERM) policy has been harmonized with the Social and Environmental Standards (SES) policy. The risk sub-categories in the Quantum + corporate planning system (capturing programme level risks) and in the Atlas project risk registers are now fully aligned with the project-level social and environmental standards. To align the risk entry systems, a slight rewording of ten risk sub-categories has been made and the risk sub-category on “Cultural Heritage” has been re-introduced in the relevant annexes of the ERM policy, Risk Appetite Statement and Risk Appetite Statement Guidance. 

28/06/2022Accountability
Project Risk Register Template

The project risk register template has been updated to align with the updated Enterprise Risk Management (ERM) policy which has been harmonized with the Social and Environmental Standards (SES) policy. The risk sub-categories in the Quantum + corporate planning system (capturing programme level risks) and in the Atlas project risk registers are now fully aligned with the project-level social and environmental standards. The offline project risk register template (Annex 2) is aligned with the risk entry system in the Quantum + corporate planning system and with the risk appetite to risk significance in the risk matrix (Annex 3). 
The updated project risk register template has been published as follows: (a) in steps 1 and 2 of the Social and Environmental Standards procedures; (b) in step 3.3. of the Formulate Development Projects procedures; (c) in step 2.4 of the Monitor procedures.

28/06/2022Programme and Project Management
Formulate Programmes and Projects

The project risk register template has been updated in Step 3.3 of the procedures to align with the updated Enterprise Risk Management (ERM) policy which has been harmonized with the Social and Environmental Standards (SES) policy. The risk sub-categories in the Quantum + corporate planning system (capturing programme level risks) and in the Atlas project risk registers are now fully aligned with the project-level social and environmental standards. The offline project risk register template (Annex 2) is aligned with the risk entry system in the Quantum + corporate planning system and with the risk appetite to risk significance in the risk matrix (Annex 3).

28/06/2022Programme and Project Management
Deliver results

The policy has been updated to reflect the roles and responsibilities in the development and oversight of the evaluation plan as a part of project implementation. 

17/06/2022Programme and Project Management
Monitor

The policy has been updated to add a new section on “Monitoring of Evaluation Plan implementation” (paragraphs 25-28). The updated guideline includes the process and content of annual and mid-year review of the evaluation plan; guidelines on the expected timeline for oversight; and monitoring roles and responsibilities of the country office, regional bureau, Bureau of policy and programme and independent evaluation office. 

17/06/2022Programme and Project Management
Manage Change

The policy has been updated to add a new section on “Making changes to the evaluation plan” (paragraphs 26-30). This section provides the process of making any adjustments to the plan including date changes, deletions and additions that need to be clearly supported with a detailed rationale validated and approved by the regional evaluation focal point as per UNDP Evaluation Guidelines. 

17/06/2022Programme and Project Management
Report

The policy has been updated to add a new section on “Evaluation Report” (paragraphs 11-15). This section provides guidance on objective and use of evaluation reports along with guidance on review and finalization of reports like Inception report, final report, Management Response to evaluation.

17/06/2022Programme and Project Management
Close and Transition

The policy has been updated to align with the UNDP Evaluation Guidelines’ mandatory criteria for the terminal or final evaluation of projects or programmes. Expected mandatory criteria and thresholds were added to the section. 

17/06/2022Programme and Project Management
Formulate Programmes and Projects

Updates were made in the policy to reflect UNDP Evaluation Guidelines as follows: (1) Under new programme development, paragraph 20 has been added providing guidance to the submission of CPD-costed evaluation plans; (2) Planning for evaluation section is updated with the addition of three new paragraphs 39, 40, 41 to address UNDP’s Strategic Plan 2022-2025 requirements on the need of strategic evaluations; to inform on Independent country programme evaluations and reflect accountability for the development of CPD evaluation plan.

16/06/2022Programme and Project Management
Performance-based payments

The policy was updated with links to UNDP Evaluation Guidelines (paragraph 16) and UNDP Evaluation Policy (paragraph 27)

16/06/2022Programme and Project Management
Appraise and Approve

The policy has been updated related to Programme Assessment and Appraisal to add references (1) a review of UNDP’s comparative strengths and mandate that effectively integrated into the Cooperation framework Theory of Change (paragraph 12); (2) to the importance of learning from any past evaluation results into the formulation of the new country programme design (paragraph 14).

16/06/2022Programme and Project Management
Annual Planning

The policy has been updated to incorporate UNDP evaluation guidelines on the annual and mid-term review of the annual evaluation plan in paragraph 3.

16/06/2022Programme and Project Management
Cost Recovery from Other Resources - GMS

​The GMS rate table and contents are updated to reflect (i) Executive Board Decision on 5% for Individuals, (ii) OPG approval on applying 7% for Government Cost Sharing where UNDP provides support services to the government in its capacity as a Global Fund grant recipient, (iii) abbreviation changed from GFATM to GF, (iv) approval authority from Chief Finance Officer to BMS Director and (v) the updated table for Direct costs vs. Indirect costs from PPM.

14/06/2022Financial Resources Management
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