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Programme and Operations Policies and Procedures

  
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Creating and Approving Vendors

To provide clarity, a background note on Background Note on Global Economic Sanctions and Procedural Guidance has been added to a procedure for creating and approving vendors. UNDP must facilitate each bank’s exercise of its obligations by providing full, accurate and complete information about a payment and the beneficiary. This information may be captured at different stages of procurement or accounts payable processes, but in all cases, the preparer must capture full and complete information.

08/02/2017Financial Resources Management
Home Leave

Accelerated home leave is discontinued, except in category D and E duty stations that are not designated for rest and recuperation (R&R) under the framework of International Civil Service Commission (ICSC).

25/01/2017Human Resources Management
Mobility and Hardship

A mobility incentive is introduced to replace the current mobility allowance. The annual amounts of the mobility incentive per grade band are as follows:

P.1 – P.36,500 USD
P.4 – P.58,125 USD
D.1 and above9,750 USD

 

The incentive is payable to staff with at least five consecutive years of prior service in a UN common system organization, as of their second assignment, following a geographical move. Staff assigned to category "H" duty stations will not be eligible to the incentive. The incentive will be payable for a period of up to five years. Staff members serving in the "H'' duty stations that are in receipt of the mobility allowance or received a letter of offer that included the mobility allowance will continue to receive the current amount for up to five years or the move to the next assignment, whichever comes earlier. The mobility incentive will be increased by 25 per cent as of the 4th assignment, and by 50 per cent as of the 7th assignment.

 

The hardship allowance system is adjusted as follows, eliminating the current single rate (amounts in USD):

 

Hardship categoryP.1 – P.3P.4 – P.5D.1 and above
A---
B5,8106,9708,140
C10,47012,78015,110
D13,95016,28018,590
E17,44020,92023,250

 

The current additional hardship allowance is replaced with a non-family service allowance. Eligible staff with recognized dependents receive 19,800 USD/year (1,650 USD/month); staff with no dependents receive 7,500 USD/year (625 USD/month).

A mobility incentive is introduced to replace the current mobility allowance. The annual amounts of the mobility incentive per grade band are as follows:

P.1 – P.36,500 USD
P.4 – P.58,125 USD
D.1 and above9,750 USD

 

The incentive is payable to staff with at least five consecutive years of prior service in a UN common system organization, as of their second assignment, following a geographical move. Staff assigned to category "H" duty stations will not be eligible to the incentive. The incentive will be payable for a period of up to five years. Staff members serving in the "H'' duty stations that are in receipt of the mobility allowance or received a letter of offer that included the mobility allowance will continue to receive the current amount for up to five years or the move to the next assignment, whichever comes earlier. The mobility incentive will be increased by 25 per cent as of the 4th assignment, and by 50 per cent as of the 7th assignment.

 

The hardship allowance system is adjusted as follows, eliminating the current single rate (amounts in USD):

 

Hardship categoryP.1 – P.3P.4 – P.5D.1 and above
A---
B5,8106,9708,140
C10,47012,78015,110
D13,95016,28018,590
E17,44020,92023,250

 

The current additional hardship allowance is replaced with a non-family service allowance. Eligible staff with recognized dependents receive 19,800 USD/year (1,650 USD/month); staff with no dependents receive 7,500 USD/year (625 USD/month).


25/01/2017Human Resources Management
Repatriation Grant

Eligibility to repatriation grant is subject to a minimum of five years of expatriate service. Serving staff will retain their eligibility under the current grant up to the number of years accrued at the time of implementation.

25/01/2017Human Resources Management
Settling-In Grant

The entitlement formerly known as the Assignment grant is now called Settling-in grant. Under this policy, payment of the non-removal allowance is discontinued. Staff who moved prior to the implementation of the new relocation package and are in receipt of non-removal allowance will continue to receive the allowance for up to five years, or until they move to another duty station, as per current eligibility criteria.

Further, the second lump sum equivalent to one additional month of net salary previously payable under the non-removal option in case of moves to field duty stations for three years or more has been abolished. Where the letter offer issued to the staff member includes a payment of the second lump sum payment, this will be honoured.

 

Information and FAQs on these updates and other elements of the New Compensation Package for internationally recruited staff members in the professional and higher categories can be found on OHR website.


25/01/2017Human Resources Management
Cost Recovery from Other Resources – GMS
Adjustments to the POPP content on GMS income to reflect the changes arising from the 2017 enhanced planning exercise, including:
a.      A discontinuation of internal distribution of GMS income for all funds except those from Vertical Funds;
b.      A revised GMS rate calculator for UNDP, GEF, GFATM and MP projects
c.      Recording of DPC in relation to GMS exceptions.
01/01/2017Financial Resources Management
GMS Fee Set-up and Collection

Adjustments to the POPP content on GMS income to reflect the changes arising from the 2017 enhanced planning exercise, including:
a.      A discontinuation of internal distribution of GMS income for all funds except those from Vertical Funds;
b.      A revised GMS rate calculator for UNDP, GEF, GFATM and MP projects
c.      Recording of DPC in relation to GMS exceptions.

01/01/2017Financial Resources Management
GMS Fee Set-up and Collection

Adjustments to the POPP content on GMS income to reflect the changes arising from the 2017 enhanced planning and budgeting exercise, including:

  • A discontinuation of internal distribution of GMS income for all funds except those from Vertical Funds, which are the Global Fund to Fight AIDS, Tuberculosis and Malaria (GFATM); Global Environment Facility (GEF); Green Climate Fund (GCF); and Montreal Protocol (MP); and
  • A revised GMS rate calculator for UNDP, GEF, GFATM, and MP projects
01/01/2017Financial Resources Management
Pre-award negotiation
Pre-award negotiation (“hereinafter referred to as “Negotiation”) is the process in which the business unit discusses certain aspects of the bid with the bidder who has been recommended for the award of the contract, with the aim of understanding the rights and obligations of both parties and to achieve a mutually beneficial agreement. Negotiation is not a mandatory step in a procurement process. It shall be undertaken on an exceptional basis, and shall be only initiated by UNDP[1] subsequent to review of the procurement process by the relevant procurement authority and in accordance with this policy.
 
The policy outlines the two types of negotiations:
·         Substantive Negotiations: Should be fully justifiable, as they may significantly affect the scope of the requirements, terms and/or price beyond UNDP’s right to vary the quantity up to 25%.
·         Non-Substantive Negotiations: Do not significantly affect the scope of the requirements, terms and/or price, and are within the right of UNDP to vary the quantity by 25%
 
It is important to note the required conditions for exceptional negotiation of price:
·         Price alone, under normal circumstances, should not be negotiated (especially in cases of open competition, which is designed to reflect true value for money). An exception can be made in a situation where the price quoted by the recommended offeror is deemed to be higher than market rates.
·         Negotiation of price in Direct Contracting – When UNDP is evaluating only one offer, the price can and should be negotiated whenever necessary.

[1] The recommended offeror can only request negotiations on certain aspects of the contract upon the award of the contract, while this policy addresses pre-award negotiations. BUs shall ensure that such negotiations are in the interest of UNDP and for the success of the contract.


07/12/2016Procurement
Pre-award Negotiations

Pre-award negotiation is the process in which the business unit discusses certain aspects of the bid with the bidder who has been recommended for the award of the contract, with the aim of understanding the rights and obligations of both parties and to achieve a mutually beneficial agreement. Negotiation is not a mandatory step in a procurement process. It shall be undertaken on an exceptional basis, and shall be only initiated by UNDP subsequent to review of the procurement process by the relevant procurement authority and in accordance with this policy.

The policy outlines the two types of negotiations:

  • Substantive Negotiations: Should be fully justifiable, as they may significantly affect the scope of the requirements, terms and/or price beyond UNDP's right to vary the quantity up to 25 percent.
  • Non-Substantive Negotiations: Do not significantly affect the scope of the requirements, terms and/or price, and are within the right of UNDP to vary the quantity by 25 percent.

Price alone, under normal circumstances, should not be negotiated (especially in cases of open competition, which is designed to reflect true value for money). An exception can be made in a situation where the price quoted by the recommended offeror is deemed to be higher than market rates. Negotiation of price in Direct Contracting – When UNDP is evaluating only one offer, the price can and should be negotiated whenever necessary.


07/12/2016Procurement
Guidelines on Engagement with NGOs under Country Based Pooled Funds

Country Based Pooled Funds (CBPF) are designed to support cluster coordination and stronger humanitarian leadership. Such funds are made available to UN agencies and NGOs that participate in the country’s consolidated appeals process (CAP) or Humanitarian Response Plan (HAP). The Guidelines on Engagement with NGOs under CBPF supplements OCHA’s Operational Handbook for CBPFs(2015), and provides guidance to Country Offices acting or considering to act as Managing Agent.  

Currently, UNDP Country Offices in the Central African Republic, the Democratic Republic of Congo, South Sudan, and Sudan are Managing Agents for CBPF grants to NGOs. This work is not only important in the context of the UN’s humanitarian delivery in protracted crisis situations, but also advances an agenda where local actors are at the forefront of this response. The capacity-building work that UNDP does through the CBPF’s also contributes to programming that advances better collaboration across the humanitarian and development nexus. For questions on this process, please contact Taija Kontinen-Sharp at  taija.kontinen@undp.org , Programme Specialist, the Crisis Response Unit.

 


01/12/2016Crisis Response
Purchase Orders (Commitments, Maintenance and Closure)

For greater efficiency and better financial tracking, offices are now able to set up multi-year POs for projects that have future year resources and budgets. This allows UNDP to better track deliverables of a supplier for a given procurement action through a single PO reference. When raising multi-year PO lines in Atlas, offices must ensure that corresponding multi-year budget and resources are available. For projects where Annual Spending Limits (ASLs) are limited to one year, multi-year PO lines should not be used.

Previously, goods or services, which are expected to be received over more than one financial period, a separate PO had to be raised for each of the respective financial periods, and offices were requested to close POs annually. Multi-year contracts for projects were also maintained outside Atlas. Such requirements are no longer relevant. For questions on this process, please contact Helen Hall at helen.hall@undp.org, the Chief of Account, Office of Financial Resources Management, Bureau for Management Services.


30/11/2016Financial Resources Management
Atlas Financial Closure Instructions

We have reflected the International Public Sector Accounting Standards (IPSAS) closure process and linked the technical year-end closing guidance.


29/11/2016Financial Resources Management
Revised Selection and Recruitment of FTAs not covered by the candidate pool
The following provision, which previously required Fast Track activation request are no-longer necessary (i.e. integrated into the main policies).
 
Offices are authorized to conduct desk review in lieu of an interview for all positions up to and including P-5 level. The desk review would still need to be conducted by an independent panel which must adhere to the recruitment principles as set out in the Policy.
03/10/2016Human Resources Management
Revised Aviation Risk Management

The Air Travel Risk Management Guidelines have been revised to reflect a new UN Security Management System Air Travel Policy. Theseguidelines are applicable to all UNDP Personnel on official travel via Commercial Air (Transport) Operators, UN Chartered Flights and Donated Flights. To facilitate booking of flights, a Global Booking List of Airlines Pre-approved for Travel by UNDP Personnel has been made available on the UNDP Intranet via the following link. For Airlines which are not pre-approved (and therefore not included in the UNDP Global Booking List), the guidelines provide for an evidence-based risk assessment methodology, enabling informed decision making by the UNDP Managers with Signature Authority before use of these airlines.
29/09/2016Security
Revised Increased Delegated Procurement Authority

The following provisions, which previously required Fast Track activation request are no-longer necessary (i.e. integrated into the main policies).

a)       The authority to grant the increase in Delegated Procurement Authority was devolved to Regional Chief Procurement Officers (RCPOs) in consultation with respective Regional Bureau Director for clearance. The respective RACP Chairpersons then will be responsible for obtaining technical inputs from relevant offices in assessing a request for increased delegation.

b)      Recognizing the reduction of risks through e-Tendering, the standard delegated procurement authority of Resident Representative or head of a business unit in an office that systematically uses the e-Tendering has been raised from US$ 150,000 to US $200,000, based on the confirmation by the ACP Chairperson or respective Regional ACP Chairpersons.

22/09/2016Procurement
Revised Procurement Method
a)            Micro-purchasing
Country offices may request increasing the micro-purchasing threshold from US$ 5,000 to US$ 10,000 as part of their request for increase in delegated procurement authority. Please see Procurement Methods .
 
b)            Request for Quotation (RFQ)
Offices are now authorized to issue RFQs in line with the following thresholds:
•              For offices with micro-purchasing threshold of USD 5,000, the RFQ limit is US$ 5,000 ¬ US$ 149,999.
•              For offices with micro-purchasing threshold of USD 10,000, the RFQ limit is US$ 10,000 ¬ US$ 149,999.
22/09/2016Procurement
Revised Engaging CSO as Responsible Party
10/08/2016Procurement
Revised Temporary Appointment
The following provision, which previously required Fast Track activation request are no-longer necessary (i.e. integrated into the main policies).
 
The Regional Bureau Directors are authorized to grant waiver of competitive recruitment for up to 10 (ten) Temporary Appointment (TA) positions per annum, per country office in accordance with the following provisions:
(a)     The process must ensure that the person selected is the best-qualified candidate to perform the job functions in a fully satisfactory manner;
(b)    References must be checked prior to contracting/appointment;
(c)     Contracting/appointing of close family relatives and other conflict of interest matters must be verified prior to contracting/appointment;
(d)    The individuals must be medically cleared an enrolled in the applicable medical and life insurance policy prior to contracting/appointment;
(e)    The appointment letter/contracts issued must be in compliance with the standard terms and conditions;
(f)      The individuals must be informed of the contract terms and standards of conduct as set out in the POPP
04/08/2016Human Resources Management
Resived Service Contract
The following provision, which previously required Fast Track activation request are no-longer necessary (i.e. integrated into the main policies).
 
The Regional Bureau Directors are authorized to grant waiver of competitive recruitment for up 20 Service Contract (SC) positions per annum, per country office in accordance with the following provisions:
(a)     The process must ensure that the person selected is the best-qualified candidate to perform the job functions in a fully satisfactory manner;
(b)    References must be checked prior to contracting/appointment;
(c)     Contracting/appointing of close family relatives and other conflict of interest matters must be verified prior to contracting/appointment;
(d)    The individuals must be medically cleared an enrolled in the applicable medical and life insurance policy prior to contracting/appointment;
(e)    The appointment letter/contracts issued must be in compliance with the standard terms and conditions;
(f)      The individuals must be informed of the contract terms and standards of conduct as set out in the POPP


04/08/2016Human Resources Management
Revised Procurement Oversight and Review Committee

The requirement for Contracts, Assets and Procurement (CAP) Committee review was replaced with Direct Review by the CAP Chairperson for procurement actions valued between US$ 50,000 and US$ 150,000 (and US$ 75,000 for direct contracting). The CAP Chairperson may consult or request assistance from the Chairperson of the Regional Advisory Committee for Procurement (RACP) in reviewing any procurement action. If necessary, the CAP Chairperson, in consultation with the Head of Office, may escalate the case to the RACP Chairperson for his or her Direct Review. A full CAP Committee review is required only in those Country Offices that are granted an Increased Delegation of Procurement Authority (DPA) to review procurement actions valued between US$ 150,000 and the Increased DPA for competitive processes (and between US$ 75,000 and up to 50 percent of the Increased DPA for direct contracting). The quorum for a Committee was reduced from three members to two members, in addition to the Chairperson and/or Secretary.

26/07/2016Procurement
Revised Making Information Available to the Public Policy

Independent nature of Information Disclosure Panel is more emphasized.  The independent Panel now consists of four members, including one from a United Nations agency other than UNDP; and one from a non-governmental organization. ​

12/04/2016Accountability
New Internship Policy

This enabling Policy provides expanded eligibility by including any student enrolled in the last year of a bachelors' degree and one year after graduation from a master's degree or equivalent studies. It also removes the obligation that interns secure life insurance, as well as the ban on employment following the internship while clarifying that interns may not apply to positions during their internships. ​

08/04/2016Human Resources Management
New Policy on Provision of Services to UN Entities

The Policy provides measures to address UN clients' needs to obtain service provision at the Regional Hub and Global Shared Service Center levels to collaborate with, and support for Country Offices. This Policy also clarifies institutional arrangements for corporate Framework Agreements at Headquarters level, and Service Level Agreements for technical details to avoid duplication of efforts and arrangements. ​

05/04/2016Financial Resources Management
Revised Salary Advance Policy

​The revised policy introduces the principle that UNDP is not a lending institution. Where no lending institutions exist or obtaining loans is impractical, UNDP can disburse a salary advance subject to certain conditions. Among others, the Policy clarifies that where a staff member does not receive his/her regular salary through no fault of his/her own, an advance shall be automatically granted in the amount due. The revised Policy also emphasizes the recovery of outstanding advance balances from final emoluments and any further balances in excess of the final emoluments.​

04/03/2016Human Resources Management
New Policy on Quality Standards for Programming

Offices are required to assure quality of all projects. The new programme design stage quality assurance assessment form is available here.

For project quality assurance, UNDP offices are required to use the following forms: 

01/03/2016Programme and Project Management
New Monitoring Policy

​Monitoring provides an opportunity to validate or adjust the theory of change and make evidence-based decisions to improve programming performance and results achievement. Evidence collected from monitoring is reviewed periodically to assess performance and inform actions and decisions. Such reviews focus on projects, programmes, the ABP/IWP, or the Strategic Plan.​​

01/03/2016Programme and Project Management
Revised Programme and Project Management (PPM)

New Project Document Template

While the new project document template can be used immediately, it will be required for all new projects as of 1 March 2016. Country offices should take note of the strengthened resource planning requirements of the project document. All project inputs, including those provided by UNDP staff, are to be fully budgeted and included in the multi-year work plan. 

01/03/2016Programme and Project Management
Revised Programme and Project Management (PPM)

The CPAP will no longer be required for countries with a signed UNDAF

Please make sure the standard legal clauses are attached to the UNDAF. If your country does not have an UNDAF, you must still sign a CPAP with the Government, establishing national ownership over the programme. 

01/03/2016Programme and Project Management
Revised Programme and Project Management (PPM)

New Programming Instruments

To reflect new elements introduced by the Policies on Quality Standards for Programming and Monitoring, most references to the Country Programme Action Plan (CPAP) has been eliminated. When the reference to CPAP appears, it is alongside the UN Development Assistan+ce Framework (UNDAF) as CPAP to serve as country programme document signed with government that established national ownership of the programme.

Annual Work Plans were replaced with Multi-Year Work Plans. The PPM chapter also updated links and references to the new project document template. It also removed references and links to old considerations of quality programming and project document check list, and replaced them with references to the new Quality Standards for Programming and the Quality Assurance rating tools at various stages. It also added pre-Project Appraisal Committee requirements for Country Programme Documents (CPD).

01/03/2016Programme and Project Management
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