| United Nations Development Programme

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

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.

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.

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.

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.

Step

Conduct investigation.

Responsible Party

OAI

Template/Guideline

Explanatory Notes

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

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.

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.

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.

1.0

Step

Establish grant selection committee (if different from project board and/or portfolio board).

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Low Value Grants Operational Guidance

Explanatory Notes

Low Value Grants Operational Guidance

2.0

Step

Define grant selection criteria.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Explanatory Notes

Note that grant selection criteria are often determined or influenced by the funding source.

Low Value Grants Operational Guidance.

2.1 OPT

Step

Conduct specific implementing partner capacity assessment for on-granting in line with the selection criteria.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

The PCAT tool is a macro excel file which contains macros. To complete the download of the PCAT, please follow the quick guide under the explanatory notes.

Partner Capacity Assessment tool

Explanatory Notes

The partner capacity assessment tool has a worksheet for on-granting, which is enabled only when on-granting is used. (Quick Guide to Downloading the PCAT).

3.0

Step

Solicit grant proposals in line with the project document and/or portfolio document.

Responsible Party

Project Manager

Template/Guideline

Self Certification (Programming Entities)

Explanatory Notes

Both the overall project and/or portfolio purpose and the grant selection criteria should be referenced.

Low Value Grants Operational Guidance

Grant proposals to include the signed Self Certification (Programming Entities)

4.0

Step

Selection of grantees and award of grants.

Responsible Party

Grant selection committee or project board and/or portfolio board

Template/Guideline

Low Value Grant agreement

Partner Capacity Assessment Tool

Explanatory Notes

The process of selection is described in the terms of reference of the grant selection committee.

Low Value Grants Operational Guidance

Grantees’ capacities are assessed through the Partner Capacity Assessment Tool, which assesses the grantee management and other capacities. The PCAT is completed for low value grants. (Quick Guide to Downloadingthe PCAT).

1.0	Step Identify project activities and/or portfolio interventions to be provided by a responsible party.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline	Explanatory Notes
2.0	Step Select a suitable responsible party using the appropriate method.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline	Explanatory Notes
3.0	Step Screen the selected responsible party and complete any required capacity assessments instructed by the PCAT.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline The PCAT tool is a macro excel file which contains macros. To complete the download of the PCAT, please follow the quick guide under the explanatory notes. Partner Capacity Assessment Tool	Explanatory Notes Partners’ capacities are assessed through the Partner Capacity Assessment Tool, which assesses the partner management and other capacities. The PCAT is completed for any implementing partner other than UN agencies. (Quick Guide to Downloading the PCAT). Financial capacities are assessed through the HACT micro-assessment if more than $150,000 is expected to be transferred in one year.
4.0	Step Sign standard agreement with the responsible parties.	Responsible Party Project Manager and/or Portfolio Manager	Template/Guideline Letter of Agreement (LOA) between UNDP and a Government Ministry/Institution or IGO for the Implementation of a Project/Portfolio where UNDP serves as the implementing partner Contract Face Sheet (for Goods and/or Services) Responsible Party Agreement between UNDP and a Civil Society Organization UN Agency to UN Agency Transfer Agreement	Explanatory Notes

1.0

Step

Approve annual workplan and budget.

Responsible Party

Template/Guideline

Explanatory Notes

The workplan and budget must be approved annually by the programme manager, or staff with Delegated Authority.

1.0	Step Appraise the quality of the project in the local project appraisal committee.	Responsible Party	Template/Guideline Project QA - Design and Appraisal (Quantum+) Social and Environmental Standards - see procedures	Explanatory Notes Project QA Design and Appraisal User Guide (Quantum+) Local project appraisal committee terms of reference. For projects where UNDP serves as the managing agent for a CBPF, see the Country Specific Operational Manual for the CBPF.
2.0	Step Update and approve the final quality assurance report in the Corporate Planning System.	Responsible Party	Template/Guideline Project QA Design and Appraisal User Guide (Quantum+)	Explanatory Notes Project QA Design and Appraisal User Guide (Quantum+)
2.1 VERT	Step Delegation of authority letter from the UNDP BPPS Vertical Fund Executive Coordinator to the Resident Representative.	Responsible Party UNDP BPPS Vertical Fund Executive Coordinator	Template/Guideline Delegation of Authority (DOA) Agreement for GEF projects – GEF TF LDCF SCCF NPIF – Master Template Delegation of Authority (DOA) Agreement for GCF Funding Proposals – Master Template Delegation of Authority (DOA) Master Template for Adaptation Fund Fully Developed Proposals Delegation of Authority (DOA) and Initiation Plan for GEF Project Preparation Grants - template [automated] Delegation of Authority (DOA) Agreement for GCF Project Preparation Facility (PPF) Grants - template Delegation of Authority (DOA) template for Adaptation Fund Project Formulation Grants (PFG)	Explanatory Notes For GEF Project Preparation Grant (PPG) projects, the signed PPG Delegation of Authority (DOA), including the annexed PPG Total Budget Workplan, constitutes the equivalent of the corporate Project Initiation Plan for the PPG phase, serving as the formal authorization for initiating PPG activities. The same process is followed for Adaptation Fund Project Formulation Grant (PFG) projects. Note that additional quality assurance and oversight must be provided by BPPS for GEF, GCF and AF projects as outlined in the RACI. For AF, please follow the GEF RACI: GEF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects GCF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects
3.0	Step Approve and sign the project document.	Responsible Party Programme manager/Resident Representative, Government development coordination authority (as applicable), Implementing partner	Template/Guideline	Explanatory Notes The agreement of the government development coordination authority can be acknowledged by any of the acceptable methods as agreed with government, including an exchange of letters or minutes of the LPAC.
4.0 ALT	Step Approve and sign the initiation plan.	Responsible Party Programme Manager/ Resident Representative	Template/Guideline	Explanatory Notes Evidence that the government agrees to the initiation plan is required through meeting minutes, an exchange of letters or emails, or a signature on the initiation plan document.
5.0	Step Apply the Output Markers and activate the project in Quantum	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes The multi-year workplan should be ‘mirrored’ in Quantum, so that there is a clear correspondence between the outputs and activities identified in the workplan, and the outputs and activities established in the system. Once the project has been approved by the local project appraisal committee, its proposal should be ‘awarded’ in Atlas. After the project ID is generated, multi-year budgets clearly indicating the responsible parties, funding sources, and planned budget amounts as per the annual workplan must be finalized. Each output under the project ID must also be linked to a relevant country programme outcome.
5.1 ALT	Step Ensure the project is linked to the relevant portfolio in Quantum, if relevant.	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes This will enable joint project management, assurance and reporting features in Quantum and the corporate planning system.
6.0	Step Sign contribution agreements with donors or memorandum of understanding for joint programme, as relevant.	Responsible Party or staff with delegated authority	Template/Guideline Contribution Agreement Templates UNSDG Memorandum of Understanding for Joint Programmes	Explanatory Notes
7.0	Step Initiate the project.	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes Agrees on project manager's responsibilities, as well as the responsibilities of other key members of the project management team. Delegates any project assurance function as appropriate. Reviews the progress report for the initiation stage (if an initiation plan was approved). Reviews and appraises detailed project plans, including the multi-year workplan and Quantum reports covering activity definition, an updated risk log and the monitoring schedule plan. Shares annual reports and relevant information on achievement of the outcomes with the programme board and outcome group.
OPT	Step Advance authorization	Responsible Party	Template/Guideline Advance Authorization Cover Page	Explanatory Notes

1.0	Step Integrated Programme Assessment Committee reviews the programme's draft theory of change.	Responsible Party Regional Bureau Director	Template/Guideline RBM guidance on the Theory of Change	Explanatory Notes This should take place when the draft theory of change is robust enough for a meaningful review and before the programme priorities are finalized in order for the priorities to be informed by the knowledge and lessons tabled during the IPAC. Consider using the RBM Guidance to assist with the design and use of the Theory of Change.
2.0	Step Programme Appraisal Committee of CPD/RPD quality.	Responsible Party Regional Bureau Director	Template/Guideline Programme Quality Assurance (QA) Assessment Template Regional Programme Quality Assurance (QA) Assessment Template	Explanatory Notes The programme appraisal committee ensures the programme meets UNDP's quality standards for programme and reviews the office's capacity to implement the proposed programme.
3.0	Step Submit the programme (CPD or RPD) to the Executive Board for approval.	Responsible Party	Template/Guideline New Country Programme Clearance Form RMT Country Programme Performance Summary	Explanatory Notes Programme documents are submitted through the Executive Board Secretariat for onward submission to the Executive Board for approval. All required documentation, including evidence that the CPD meets UNDP quality standards, must be submitted with the documents that will be posted to the Executive Board. Documents to be submitted for clearance (RBx -> BPPS/Quality and Impact Hub -> EB Secretariat) Signed Clearance Sheet Final draft CPD and RRF (one document, max 6000 words including footnotes) Evaluation Plan (as separate file) Signed RMT table UN Cooperation Framework for posting on EB website Government endorsement(s). In the case of Multi-Country Programmes, the endorsement of all relevant governments is required. Written endorsement of alignment by Resident Coordinator ICPE or Country Programme Performance Summary
4.0	Step Endorsement of the programme by the executing partner (typically the programme country government).	Responsible Party	Template/Guideline Country Programme Action Plan Template Cooperation Framework Legal Annex Cooperation Framework 2019 Guidance	Explanatory Notes UNDP's CPD is considered part of the United Nations Sustainable Development Cooperation Framework. It represents UNDP's contribution to the Cooperation Framework. The CPD must be co-designed with national partners; the final draft must be endorsed by the executing partner of the programme (typically the national government). Once the Cooperation Framework is agreed, it is signed by the government and all UN entities.This establishes the government's execution of the programme. The Resident Coordinator sends the signed Cooperation Framework to all partners and to the chair of the UNSDG. The completed Cooperation Frameworks are posted on the UNSDG website. If a Cooperation Framework cannot be prepared, a country programme action plan is prepared and signed.

1.0

Step

Prepare the annual report of the Administrator on the Strategic Plan.

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Submit Financial Report.

Responsible Party

Project Manager

Template/Guideline

Explanatory Notes

See Appendix VI of UNSDG HACT Framework for the template of the FACE form and Appendix VII for guidelines for completing FACE form.

Frequency: quarterly or when additional resources are needed.

See Financial Management section.

3.0

Step

Sign the Combined Delivery Report.

Responsible Party

Programme Manager/ Resident Representative Implementing Partner certifies

Template/Guideline

Explanatory Notes

Frequency: second, third and fourth quarters

Standard combined delivery report under construction in Quantum

4.0

Step

Prepare a Quality Project Report.

Responsible Party

Project Manager

Template/Guideline

POPP Guideline: Donor Reporting Guideline and Template

One-stop-shop link to all environmental vertical fund (GEF and GCF) templates, procedures and policies)

Evaluation Inception Report

UNDP Evaluation Report

Executive Snapshot Project Progress Report

Audit Trail Form

Management Response Template

Explanatory Notes

Frequency: As stated in the project document.

The standard project progress report in the Executive Snapshot is the standard report required by UNDP. Donors often require additional information beyond what is available in the standard report, so an optional template is provided as a resource. Some funding partners have specific reporting formats, such as the GEF and GCF.

The GEF Annual Project Implementation Report (PIR) is completed online using the BPPS Nature, Climate and Energy PIMS+ system.

The GCF Annual Performance Report (APR) is completed online using the BPPS Nature, Climate and Energy PIMS+ system.

UNDP Evaluation Guidelines:

Evaluation Inception Report (page 22-23)
UNDP Evaluation Report (page 49-53)
Audit Trail Form (page 25)
Management Response Template (page 54)

5.0

Step

Document and communicate results to donors and other stakeholders, ensuring due credit is given to partners.

Responsible Party

Programme manager/Resident Representative,Programme officer

Template/Guideline

Explanatory Notes

UNDP Brand Portal

1.0

Step

Prepare the annual report of the Administrator on the Strategic Plan.

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Contribute to the One UN country results report.

Responsible Party

Template/Guideline

Explanatory Notes

3.0

Step

Ensure complete, accurate, timely and quality Results-Oriented Analysis Report and Ensure Integrated Results and Resources Framework progress data.

Responsible Party

Template/Guideline

Evaluation Inception Report

UNDP Evaluation Report

Audit Trail Form

Management Response Template

Explanatory Notes

Results-Oriented Analysis Report and IRRF reporting should be drawn from UNDP’s contribution to the One UN country results report, to the extent possible.

UNDP Evaluation Guidelines:

Evaluation Inception Report (page 22-23)
UNDP Evaluation Report (page 49-53)
Audit Trail Form (page 25)
Management Response Template (page 54)

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Policy Areas

Contract Management Module in Quantum

Step

Responsible Party

Template/Guideline

Explanatory Notes

Harassment Formal Complaint Procedure

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Responsible Party

Template/Guideline

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Harassment Informal Complaint Procedure

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Grantees

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