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Determination of Nationality (Where a staff member has more than one nationality at the time of appointment or the staff member acquires a new nationality during service)

1
Step

UNDP decides to review or staff member informs GSSC/JPOSC about nationalities at the time of appointment (P-11) or at the time of acquisition of a new nationality during service, including while on SLWOP.
 
Responsible Party

GSSC-Copenhagen/JPOSC,

Staff member

Template/Guideline
Explanatory Notes

Staff member is obligated to inform UNDP in advance of any additional nationality being acquired. New review of closest affiliation is required as per step 1.2.
 

1.2
Step

GSSC / JPOSC conducts a review of the closest affiliation of the staff member with the different nationalities to determine the official UN nationality which may include assessment of the following criteria:


-        The most recently acquired nationality;


-        Circumstances of acquisition of nationality


-        Cumulative years of residence in each country of nationality;


-        Years of education and professional experience in each country of nationality
-        Location of family members;


-        Recruitment into the UN Common system through a National Competitive Examination;


-        Other relevant factors such as ownership of property, voting rights, payment of taxes etc.
 
 
 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline

HR_Recruitment and Selection_Matrix for Determination of Nationality

Explanatory Notes


 

​

1.3
Step

GSSC/JPOSC informs the staff member of the determination of the official UN nationality and impact on Benefits and Entitlements, including the determination of the new official place of Home Leave.

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

The effective date of any change in determination will be the date that the new nationality was acquired. 

 

2.0
Step

If the staff member is assigned to the country of UN recognized nationality or official place of Home Leave the staff member will not be eligible for international benefits.

 
Responsible Party
Template/Guideline
Explanatory Notes

3.0
Step

If the recognized nationality of the staff member is the United States, BES-GSSC/JPOSC authorizes staff member to sign the “ Waiver of Privileges Exemptions and Immunities ” (I-508). 

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

Link to form.
 

3.1
Step

Staff member signs I-508 and sends a copy to BES-GSSC/JPOSC together with his/her social security number.

 
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

3.2
Step

BES-GSSC/JPOSC records the staff member as US tax payer in Quantum. The staff member will be entitled to tax reimbursements as of the date of the signature of the waiver. 

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

Closing a Bank Account in a Regular Operating Environment

1
Step
Request to close the bank account.

Account with no activity for 6 months needs to be reviewed for closure or provide the explanation to Treasury to keep the account open.  
Responsible Party

RR/Business Unit Head

Template/Guideline
Explanatory Notes

2
Step
Provide current B2B, and last 3-month bank statements, clear all outstanding B2B issues, move the fund out of bank account and make available balance zero.
Responsible Party

RR/Business Unit Head

Template/Guideline
Explanatory Notes

3
Step
Review bank account closing request.
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

4
Step
Review B2B report, provide clearance to close the account.
Responsible Party

Chief, CFRA

Template/Guideline
Explanatory Notes

5
Step
Approve bank account closing request.
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

6
Step
Arrange for preparation of the official letter to close the bank account if the request is approved.
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

7
Step
Send Official Letter to close bank account to bank. 
Responsible Party
Template/Guideline
Explanatory Notes

8
Step
Obtain and provide in bank’s letterhead the confirmation that the account has been closed at bank.
Responsible Party

Bank,
Template/Guideline
Explanatory Notes

9
Step
Close the bank account in Quantum.  
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

Quality Assurance for Health Products Procedures

1
Step

Before starting health procurement services for a government, Business Units (BU) (e.g. COs, RBx, GPSD-Health) should be aware of the UNDP QA Policy for health products and inform the partners of the need to comply with the Policy. The BU should seek guidance from the QA team to ensure that the health products to be supplied will comply with the requirements of the UNDP QA Policy for health products.
Responsible Party

CO Director and Programme Manager,

RBx,

GPSD-Health

Template/Guideline
Explanatory Notes

Quality Assurance Policy should be implemented by all business units doing health procurement (e.g., COs, RBxs, GPSD-Health).

Introductory and regular trainings of UNDP staff involved in health procurement activities in COs, RBx and in Copenhagen will be conducted by UNDP QA team to ensure full understanding and implementation of the Quality Assurance Policy.
 

2
Step

If the procurement strategy defined is to do health procurement using the global procurement architecture, the COs/RBx engages the services of GPSD-Health. In this case, the GPSD-Health must engage the services of the QA Team as outlined in 4 below
Responsible Party

CO or RBx Procurement team,

GPSD-Health

Template/Guideline
Explanatory Notes

GPSD-Health will ensure the SOPs are regularly updated on QA aspects in close collaboration with the UNDP QA Team and shared with CO procurement colleagues and UNDP QA team will guide them to implement the QA aspects.
 
The UNDP QA team will review and clear all new procurement processes, based on category and related risks involved, in line with the QA policy and will validate new suppliers and conduct assessment of the manufacturing site and the product as required by the QA policy. 

3
Step

In case local procurement is justified, the BU must engage the services of the QA Team as per step 4. The QA Team should be engaged before the procurement starts to facilitate smooth QA process. 
Responsible Party

CO,

RBx,

UNDP QA Team

Template/Guideline
Explanatory Notes

The project implementation should be carried out in close collaboration with UNDP QA CO.

4
Step

QA services in a procurement process: The UNDP QA Team must be involved to review the list of products to be supplied, develop technical TORs (including review of technical specifications), in developing the QA criteria used in solicitation documents to select the products and sources, in evaluating technical offers received and to approve the products and sources before contracts are awarded.
Responsible Party

UNDP QA Team

Template/Guideline
Explanatory Notes

UNDP QA Team will follow relevant SOPs to ensure the Technical TORs of the solicitation documents include the technical and regulatory requirements and that the products to be procures comply (technical and regulatory) with UNDP QA Policy.

5
Step

All business units should maintain a record of the health’ products supplied to governments/partners (key documents: POs, delivery notes, certificate of analysis, and batch numbers) and details of suppliers to justify the sources selected with National Regulatory Authorities and to facilitate recalls, handling quality alerts or quality complaint.
Responsible Party

CO/RBx Procurement teams GPSD-Health team,

GPSD-Health team

Template/Guideline
Explanatory Notes

All business units doing health procurement should keep files with all documents related to:
1.    Products supplied (POs, delivery notes, certificate of analysis, and batch numbers). 
2.    Suppliers – regulatory certificates/approvals, contact details, supplier master file etc.
 

6
Step

Quality Control (QC) activities (testing of samples) are part of the general QA policy.
All QC activities initiated at CO level must be managed in accordance with the “Guidance for UNDP Country Offices on Health Products Quality Assurance in the Supply Chain”.

Any non-compliant QC results (Out of Specifications = OOS) should be reviewed under the supervision of the UNDP QA team.
Responsible Party

CO/RBx Procurement teams,

UNDP QA Team,

GFPHST PSM Country focal points

Template/Guideline
Explanatory Notes

The second template for this step, “SOP on QC testing of health products” is forthcoming.

COs should share with  UNDP QA team any non-conformed results found through Quality Control testing and follow the instructions on how to interpret these results.

7
Step

Any quality complaints, quality alerts, recalls should be reported to UNDP QA Team. Each case will be reviewed, and relevant instructions and guidance will be provided by UNDP QA Team to BU doing health procurement (e.g. COs, RBx, GPSD-Health).
Responsible Party

Procuring entity e,g, GPSD-Health, CO, RBs,

Suppliers UNDP QA Team

Template/Guideline
Explanatory Notes

All quality-related complaints should be carefully treated since it may lead to a risk of reputational damage. The role of the CO is to collect information and to transfer it immediately to the UNDP QA team and to follow the instructions given by the UNDP QA team to handle the case (communication with national counterparts, with suppliers, with media).

8
Step

Submission of an Annual Quality Assurance Report to the Associate Administrator.
Responsible Party

UNDP QA Team

Template/Guideline
Explanatory Notes

In the UNDP QA Policy, it is agreed BPPS/HHG will submit an annual Quality Assurance Report to the Associate Administrator with copy to Regional Bureaux, Bureau of Management Services, and the Office of Audit and Investigations. 

Knowledge Product Production and Quality Assurance

1
Step

Product Design
 
Responsible Party

Issuing Office

Template/Guideline

Knowledge Product Production Guidelines

Explanatory Notes

The issuing office identifies the need and elaborates the necessary details (intended impact, target audience, budget, roll out plans, etc.) to guarantee that the knowledge product is clearly justified, targeted and impactful.


These details will be submitted in Form 1 of the online assessment as per step 1.1 of these procedures.

 

For further information on  knowledge product types, life cycle steps, production processes, and quality assurance standards, please see the Knowledge Product Production Guidelines.

1.1
Step

Submit Product Details (Online)

 
Responsible Party
Template/Guideline

Step 1 of the online assessment

Explanatory Notes

The focal point submits the new publication for approval. The focal point inputs in the online quality assurance form the justification for the product, the audience, the budget and other product details. See form sample.

1.2
Step

Approve product design

 
Responsible Party
Template/Guideline
Explanatory Notes

After the submission of Step 1 by the Focal Point, an email soliciting the approval of the new knowledge product is sent to the Approver. The Approver follows the link on the email to the online form and approve the knowledge product details or rejects it.


If it is approved, the knowledge product can then be completed by the Issuing Office. 

 

If the form is rejected, the workflow resumes from step 1.1., where the Knowledge Product Focal Point will review and address the Approver’s comments.

 

2.0
Step

Produce the knowledge product

 
Responsible Party

Issuing Office

Template/Guideline
Explanatory Notes

Following the approval of the knowledge product and its details, the issuing office can proceed to produce the product.

 

All products, once finalized in draft, should be subject to critical review. The product’s type determines the nature of the review, the composition of the reviewers and whether an external review is called for.
 

2.1
Step

Assess quality standards (online)
 
Responsible Party
Template/Guideline

Step 2 of the online assessment

Explanatory Notes

Clearing a knowledge product for publication is to certify that the product meets the quality standards set at Step 2 of the online quality assurance forms. This step is completed on the Knowledge Products Quality Assessment site. 

 

2.2
Step

Clearance for publication

 
Responsible Party
Template/Guideline

Step 2 of the online assessment

Explanatory Notes

Following the inputs submitted by the Focal Point on the online quality assurance forms, the Approver receives an email notification soliciting the clearance of the form.


The email notification will lead to an online form for final certification that the product meets the quality assurance. The Approver can either “approve” or “reject” the details in the forms.


If the submission is cleared, it will be uploaded first internally (step 3) and subsequently issued on www.undp.org (and any of the appropriate regional and country sub sites)
 

If the form is rejected, the workflow resumes at step 2.1 of these procedures. The Knowledge Product Focal Point then reviews the Approver’s comments and corrects the issue.
 

3.0
Step

Upload the knowledge product

 
Responsible Party
Template/Guideline

Step 3 of the online quality assurance

Explanatory Notes

Following the Approver's clearance of the knowledge product, the Focal Point will complete “Step 3” of the online quality assurance form. This step is to guarantee that the product details, clearance process, and product itself are documented and uploaded for storage and audit purposes.
 

3.1
Step

Publish the knowledge product

 
Responsible Party
Template/Guideline
Explanatory Notes

The KM Team (knowledge@undp.org) assists the Issuing Offices and Knowledge Product Focal Points in publishing quality approved knowledge products on UNDP’s public site. 

 

3.2
Step

Roll out the product

 
Responsible Party

Issuing Office

Template/Guideline
Explanatory Notes

The issuing office will continue to communicate and roll out plans as indicated in the product’s strategy and details.

 

4.0
Step

Track product’s performance and impact
 
Responsible Party

Knowledge Product Focal Point and Issuing Office

Template/Guideline

Knowledge Product Report on Power BI

Explanatory Notes

Track and Monitor the impact of the knowledge product. Consult the Knowledge Product Report (Power BI) User Guide.
 

Managing Corporate Risk

1
Step

Communications & Consultation
Responsible Party

Risk Owner

Template/Guideline
Explanatory Notes

Include key stakeholders in risk identification and risk analysis process. Communicate UNDP risk profile to EG through annual reporting cycle.

2
Step

Scope, context and criteria
Responsible Party

Risk Committee

Template/Guideline

Risk Committee TORs

Explanatory Notes

3
Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk
Responsible Party

Risk Committee

Template/Guideline

Corporate Risk Register (Quantum+)

Explanatory Notes

Identify major risks (both threats & opportunities) at corporate level affecting UNDP, twice a year at a minimum.

Review and analyze the overall UNDP risk profile and present to Risk Committee.

Evaluate each risk in the Corporate Risk Register to define the risks that require priority treatment based on UNDP’s risk acceptance in order to meet its objectives in the SP and avoid harm.
 

4
Step

Risk Treatment
Responsible Party

Risk Committee

Template/Guideline

Corporate Risk Register (Quantum+)

Explanatory Notes

Escalate the risks from HQ units & all Bureaux for Risk Committee consideration to make decisions on escalated corporate risks (prioritize them and specific actions to be taken).
 

5
Step

Risk Monitoring & Review
Responsible Party

Risk Owner

Template/Guideline

Corporate Risk Register (Quantum+)

Explanatory Notes

Document the decisions taken by Risk Committee in the Corporate Risk Log, and monitor and update it regularly.
 

6
Step

Risk Recording and Reporting
Responsible Party

Risk Committee

Template/Guideline

Corporate Risk Register (Quantum+)

Explanatory Notes

Records Risks in the ERM risk Register and Report the overall risk profile of UNDP; Prepare a bi-annual report to the EG, based on a strategic analysis of UNDP's overall risk landscape.
 

Managing Unit/Programme-Level Risk (Regional/Central Bureaux)

1
Step

Communications & Consultation
Responsible Party

Risk Owner

Template/Guideline
Explanatory Notes

Include key stakeholders in risk identification and risk analysis process. Communicate & consult with relevant parties of the Bureau and the Office at all stages of RM processes and update them at regular/planned intervals.

2
Step

Scope, context and criteria
Responsible Party

Bureau Director

Template/Guideline

Project Document Template

Portfolio Document Template

Unit Risk Register (Quantum+)

Explanatory Notes

Integrated in Regional Programme Document; Global Programme Document; Bureau IWP; Office IWP.
 

 

3
Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk
Responsible Party

Bureau Director

Template/Guideline

Unit Risk Register (Quantum+)

Explanatory Notes

In consultation with relevant stakeholders, identify major risks for the overall objectives across COs in the region, Central Bureaux or the Office level, and track in respective IWPs (Risk Register), during programme design and twice a year at a minimum during implementation.
 


Analyze likelihood and impact of programme/unit risks by applying the ERM Criteria Model and record in Risk Register.

Evaluate each risk in the Programme/Unit Risk Register specific to Regional/Central Bureaus to define which risks require priority treatment based on the Bureau & Office’s risk acceptance in order to meet the Programme objectives and avoid harm.

4
Step

Risk Treatment
Responsible Party

Bureau Director/ Designate

Template/Guideline

Unit Risk Register (Quantum+)

Explanatory Notes

Respond to the COs & Units' escalated risks; Escalate the risks that cannot be adequately addressed by Central/Regional Bureaux, and the Offices to the Risk Committee.

5
Step

Risk Monitoring & Review
Responsible Party

Risk Owner

Template/Guideline

Unit Risk Register (Quantum+)

Explanatory Notes

Monitor risks at the frequency that is best fit for the risk and complexity of the Programme/Unit. Update Risk Register on bi-annual basis at a minimum. For RBx, ensure risk management being conducted in COs across the region.
 

6
Step

Risk Recording and Reporting
Responsible Party

Bureau Director/ Designate

Template/Guideline

Unit Risk Register (Quantum+)

Explanatory Notes

Records Risks in the ERM risk register and Report the Bureau and the Offices' major risks bi-annually in IWP and annually in ROAR.
 

Contract Management Module in Quantum

1
Step

The Contract Management Module is designed to automate contract management and enable colleagues working in programme and operations to better track and manage contracts.
Responsible Party
Template/Guideline

Quantum

Explanatory Notes

Harassment Formal Complaint Procedure

1
Step

Initiate formal resolution by reporting incident(s) to OAI.
Responsible Party
Template/Guideline
Explanatory Notes

Send email to: reportmisconduct@undp.org

Anyone with information regarding allegations of misconduct can report it using one of the following means:

  • By email to OAI at reportmisconduct@undp.org or directly to the Director, Office of Audit and Investigations, or Deputy Director, Head of Investigations, Office of Audit and Investigations.
  • Through an online form accessible through the "Report fraud, abuse and misconduct" link at www.undp.org
  • Through UNDP's telephone answering system (toll-free):
    • Worldwide: +1-770-776-5678 (with interpreters available 24 hours/day)
    • In the United States: 1-877-557-8685
  • By fax: +1-770-409-5008 (worldwide)
  • By mail addresssed to: Director, Office of Audit and Investigations, or Deputy Director, Head of Investigations, Office of Audit and Investigations, One United Nations Plaza, DC1, 4th Floor, New York, NY 10017, USA
  • Use of external sexual harassment helpline for reporting sexual harassment.
     

 
 

 

 


 

 

2
Step

Initial screening.
Responsible Party

OAI

Template/Guideline
Explanatory Notes

During initial screening, OAI will look at, inter alia, whether the complaint falls within OAI's investigative authority. If it does not, OAI may refer the case to the appropriate entity.  

People reporting misconduct have the option to leave relevant contact information or to remain anonymous. An anonymous complaint should contain enough detailed information to allow OAI to obtain independent corroboration of the facts. If there is no way to independently corroborate the information provided by the anonymous source, OAI will not be able to investigate the complaint and may be required to close the case.  

Individuals are encouraged to be as specific as possible, including the basic details of who, what, where, when and how the incident(s) occurred. Specific information will allow OAI to properly investigate the alleged misconduct.

OAI will acknowledge receipt of a complaint as soon as possible, usually within 48 hours after its receipt.

There are no time limitations for reporting cases involving allegations of sexual harassment.

Other complaints of workplace harassment, abuse of authority or discrimination must be submitted to OAI by no later than one year after the last incident. OAI's Director has the discretion to accept a complaint after the time limit has passed in extraordinary circumstances.

To ensure process efficiency, OAI will further assess if a written statement in a standardized format is required.

 

3
Step

Conduct Assessment.
Responsible Party

OAI

Template/Guideline
Explanatory Notes

During the assessment, OAI will look at, inter alia, whether there is sufficient information to warrant a formal investigation and whether an investigation by OAI is the most appropriate action

To ensure process efficiency, OAI will further assess if a written statement in a standardized format is required

Decisions as to whether investigations should be pursued are made in accordance with the rules, policies and procedures of the Organization.

 OAI has the exclusive authority for determining whether to close a case or proceed with an investigation on the basis of OAI's assessment.

4
Step

Assessment decision
Responsible Party

OAI

Template/Guideline
Explanatory Notes

If OAI’s assessment indicates that the complaint falls within OAI’s investigative authority, that there is sufficient information to warrant a formal investigation, and that an investigation by OAI is the most appropriate action, an investigation will be initiated in accordance with the OAI Investigation Guidelines and the UNDP Legal Framework for Addressing Non-Compliance with UN Standards of Conduct.

 

 

OAI will prioritise cases of sexual harassment. It will conduct the investigation expeditiously within the constraints of available resources.

 

OAI will close the case when, for instance, there is insufficient evidence to warrant an investigation, the allegations do not fall within OAI’s mandate, or when an investigation by OAI is not the most appropriate action.

 

OAI will notify the complainant of the closure.

5
Step

Conduct investigation.
Responsible Party

OAI

Template/Guideline
Explanatory Notes

OAI will conduct its investigation in accordance with OAI’s Investigation Guidelines.

6
Step

Investigation reporting.
Responsible Party

OAI

Template/Guideline
Explanatory Notes

When the investigation is completed and it reveals enough evidence to reasonably conclude that misconduct has occurred, the investigator will prepare an investigation report in accordance with OAI’s Investigation Guidelines. The complainant is not entitled to receive a copy of the investigation report concerning allegations of misconduct against the investigation subject.

7
Step

Notify complainant and subject of outcome.
Responsible Party

OAI

Template/Guideline
Explanatory Notes

OAI and/or the relevant authority will notify the complainant and the subject of the outcome of the investigation.

Harassment Informal Complaint Procedure

1
Step

Initiate informal dispute resolution.
Responsible Party
Template/Guideline
Explanatory Notes


An informal dispute resolution process can provide UNDP Personnel with the opportunity to resolve any complaints or grievances in an open, honest, non-threatening, and non-contentious manner. The informal options available to UNDP Personnel include: 

a) Approaching the alleged offender (self-initiated discussion); 
b) Support by a colleague/manager; or 
c) Consulting the Office of the Ombudsman for professional, impartial and confidential advice as to how to resolve the issue informally, including via mediation

 

1.1
Step

Approach alleged offender (self-initiated discussion).
Responsible Party
Template/Guideline
Explanatory Notes

A member of UNDP Personnel may not understand that he/she is being offensive and, if asked, may stop or alter his/her behaviour. UNDP Personnel who feel that they are being subject to any type of prohibited conduct are encouraged, where necessary, to inform the alleged offender, at the earliest point in time, that his/her conduct is unwelcome and request that such conduct cease.

1.2
Step

Seek support from a colleague/manager.
Responsible Party
Template/Guideline
Explanatory Notes

UNDP personnel, including the affected person may request a colleague/manager to be present at a meeting with the alleged offender to let her/him know that his/her conduct is unwelcome and request that such conduct cease.

1.3
Step

Consult the Office of the Ombudsman.
Responsible Party
Template/Guideline
Explanatory Notes

(i)The Office of the Ombudsman plays an important role when it comes to workplace related problems. UNDP Personnel may consult the Office if they feel harassed, and/or have witnessed an incident of harassment.  The services of the Office include listening and conflict coaching, identification and evaluation of options, facilitation of dialogue and mediation. The Office is a safe, confidential and informal place for the affected to express their concerns, and examine the various options in the dispute resolution process. The Office provides support within the informal process, informs on the procedures foreseen in the formal grievance process and makes appropriate referrals where necessary.

1.4
Step

Seek third-party neutral intervention.
Responsible Party
Template/Guideline
Explanatory Notes

Send an email to: ombudsmediation@fpombudsman.org

Third-party neutral intervention, particularly mediation, is a process whereby a third-party neutral with no stake in the outcome helps the parties whose lives are affected by a problem make decisions themselves that are mutually acceptable and which may resolve the problem. Mediation can also help prevent a recurrence of situations that cause conflict.

 

 

2.0
Step

Review progress with informal process and initiate formal process.
Responsible Party
Template/Guideline
Explanatory Notes

If the affected person is not satisfied with the results of the informal process or if they wish to pursue the formal process immediately, they may submit a formal complaint to OAI at any time.

3.0
Step

Consult the Ethics Office.
Responsible Party
Template/Guideline
Explanatory Notes

Send an email to:ethicsoffice@undp.org

UNDP Personnel may contact the Ethics Office for confidential advice and guidance on their options.
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