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Procurement Forecasting and Delivery Procedures

1
Step

Develop Procurement Risk Assessment (PRA), based on project concept note

Keep as a risk log to be regularly monitored and updated
Responsible Party

Head of Programme and Operations Manager

Template/Guideline
Explanatory Notes

Ensure both Programme and Operations are aware of procurement challenges 
The form of the PRA should be appropriate to the scale and nature of the project. 
Assessment questions include, among others: 

Do we know how to procure what the project needs for its successful delivery?
Is there a clear understanding of the procurement process and the particular need of this project?
Do we have the capacity (resources and ability) to procure what the project needs for its successful delivery?
What key risks can we identify from our answers to the previous questions?
What steps must we take to minimize the likelihood of the identified risks occurring and/or to minimize the damage caused should the identified risks occur?

2
Step

Approve a procurement plan
Responsible Party
Template/Guideline

Quantum

Explanatory Notes

Procurement plans are required for “standard or complex business needs”, a Head of BU has to approve all procurement plans by monitoring requisite report in QUANTUM. All procurement plans (Project and Operations) are established at the activity level in projects  in Quantum. Consolidated plans can be viewed and analyzed in Quantum by running the applicable reports.  
 

3
Step

Categorize the project as having “Complex Business Needs”
Responsible Party

Business Unit Head

Template/Guideline
Explanatory Notes

Projects with "Complex Business Needs" are defined as being those that meet one or more of the following conditions:

  1. Total project budget is above US$1 million (or their equivalent in the local currency of the programme country);
  2. Procurement accounts for more than 60% of the total project budget;
  3. The Business Unit's senior management considers the project to be of primary significance to its overall performance, in the current and/or subsequent years; and/or
  4. The nature of the project requires procurement activities that the BU does not have prior experience in, and requires significant quantities of any of the following “high risk” categories:

i. Drugs & Pharmaceuticals

ii. Security Services

iii. Laboratory Equipment & Medical Supplies

iv. Medical kits (when specialized)

v. Contraceptives

vi. Elections Equipment

vii. Consultancy Firm Services

viii. Permanent Structures

ix. Construction Services

x. Technical Studies (when they are highly specialized and could impact downstream work).

 

4
Step

Inform PSU of project details
Responsible Party

Business Unit Head

Template/Guideline
Explanatory Notes

Projects categorized as having Complex Business Needs require more rigorous procurement planning. In some instances it may be advisable for the Business Unit to contact the Office of Pocurement (OP) to obtain necessary assistance.

5
Step

Provide guidance to BU
Responsible Party

Office of Procurement/Bureau for Management Services

Template/Guideline
Explanatory Notes

6
Step

Develop a detailed risk mitigation plan for all individual projects in this category using the Risk Assessment Matrix.
Responsible Party

Programme Manager,

Operations Manager

Template/Guideline

The risk assessment matrix is a tool, developed alongside the policies and the procedures that will allow the risks of a specific project to be identified. The template will be linked to the POPP screen for the initial rollout.

Risk Assessment Matrix

Explanatory Notes

In particular the matrix has been designed to highlight:
- The specific risk that has been identified;
- The consequences of that risk occurring;
- The impact that the risk would have on the performance of the BU;
- The likelihood of the risk occurring; 
- The sensitivity of the project to the risk; and
- Proposed solutions for mitigating the likelihood of the risk occurring, and/or the impact the risk would have should it occur.

7
Step

Ensure the implementation of mitigation plans.
Responsible Party

Business Unit Head

Template/Guideline
Explanatory Notes

8
Step

Prepare a Procurement Plan using corporate web-based planning tool.
Responsible Party

Programme/DRR/Operations Manager/ Head of Procurement

Template/Guideline

Quantum

Explanatory Notes

In particular, Programmes should define key procurement requirements, while Operations should determine appropriate procurement methods.


Use the web-based planning tool for this step.

9
Step

Review Procurement Risk Matrix and Procurement Plan
Responsible Party

Business Unit Head

Template/Guideline
Explanatory Notes

10
Step

Based on CO needs, provide guidance to the CO
Responsible Party

Office of Procurement/Bureau for Management Services

Template/Guideline
Explanatory Notes

11
Step

Approve project for submission to Commitment Control (if necessary steps have been taken to comply with policy and procurement needs have been satisfactorily addressed).
Responsible Party

Head of BU

Template/Guideline
Explanatory Notes

Use Finance Module of Quantum.
Regular updates of procurement plans may be necessary when:
1. New funds for the same project are received and programmed;
2. Budget revisions have to be made; or 
3. Change or re-alignment of project activities are needed.

12
Step

Ensure that the BU’s “Consolidated Procurement Plan” shall be updated whenever new projects are approved, and/or when the procurement plans for already approved projects are modified.
Responsible Party

DRR/OM/Head of Procurement

Template/Guideline

Quantum

Explanatory Notes

The online tool provides real time access and updates.

13
Step

Hold programme / operations joint meetings on a regular basis as appropriate to monitor risks by going through questions of the Procurement Risk Assessment
Responsible Party

Head of BU

Template/Guideline
Explanatory Notes

For high-risk procurement

14
Step

Contact the Office of Procurement for advice and guidance
Responsible Party

Head of BU

Template/Guideline
Explanatory Notes

BUs are encouraged to inform the Office of Procurement when projects are categorized as “Complex Business Needs.”

15
Step

Provide tailored support
Responsible Party

PSU/BMS

Template/Guideline
Explanatory Notes

16
Step

Review of Procurement Forecasting and Delivery for all projects categorized as “Complex Business Needs”.
Responsible Party

Head of Programme and Operations Manager

Template/Guideline
Explanatory Notes

Office of Procurement /Bureau for Management Services codify case studies to enhance knowledge management on righ-risk and/or high volume procurement.

Business Continuity Planning

1
Step

Prepare/Review/Update Office/Unit/HQ NY Risk assessment
Responsible Party

BCP focal point

Template/Guideline

Risk Assessment Template

Explanatory Notes

- This includes Country Security Risk Assessment (SRM) prepared and approved by UN Security Management System in country.
- Risk Assessment should be annexed to the BCP.

2
Step

Prepare/Review/Update Office/Unit/HQ NY Business Impact Analysis (BIA)
Responsible Party

BCP focal point

Template/Guideline

Business Impact Analysis Template

Explanatory Notes

- Identify critical business functions and assess the impact from identified risks along with Recovery Time Objectives (RTO) of critical functions along with necessary ICT tools/equipment to continue these functions;
- Identify essential office/unit/bureau documents; keep hard and soft copies in off-site location/OneDrive;
- This is a collective exercise that is done in consultation with senior management;
- Assessment should be annexed to BCP.

3
Step

Prepare/review/update Office/Unit/Bureau BCP document
Responsible Party

BCP focal point

Template/Guideline

Business Continuity Planning (BCP) - All Templates

Disaster Recovery Plan Template

Explanatory Notes

- Based on the Risk Assessment and BIA, review/update existing BCP to ensure inclusion of most recent critical function and critical staffing list with alternates and their contact details;
- Pre-identify off-site location to ensure that in the event of an emergency, Office/Unit/Bureau can operate from the alternative site. Necessary power and ICT connectivity is essential including when/if working from home or from another agency office;
- ICT Disaster Recovery Plan is to be prepared.

4
Step

Share draft BCP with all supporting documents with BMS Directorate
Responsible Party

BCP focal point

Template/Guideline
Explanatory Notes

Via email

5
Step

BMS Directorate review and provide Office/Unit/Bureau any comments
Responsible Party
Template/Guideline
Explanatory Notes

 Via email

6
Step

 Approve/sign off BCP documents
Responsible Party

Head of Office/Unit/Bureau

Template/Guideline
Explanatory Notes

 - All supporting documents are to be annexed to the BCP.

7
Step

Arrange for BCP Test
Responsible Party

Head of Office/Unit/Bureau

Template/Guideline

Business Continuity Management User Guide

Explanatory Notes

- BCP simulation exercise should test the viability of the identified critical functions and procedures in the way that they would be performed in a real crisis/critical incident;
- The test can be conducted to include Office/Unit/Bureau Crisis Management Plan, Business Continuity Plan, and/or ICT Disaster Recovery Plans (i.e. one or several components of the plan); 
- Lessons learnt should be drawn from the exercise and the BCP should be modified as necessary.

8
Step

Upload signed BCP and BCP test report
Responsible Party

BCP focal point

Template/Guideline

BCM platform for internal use only

Explanatory Notes

Termination of appointment in the interest of the good administration of the Organization without consent of the staff member (Staff with continuing appointments)

1
Step

Submission of the request for termination of appointment.

 
Responsible Party

Bureau or Country Office

Template/Guideline
Explanatory Notes

2
Step

Review of the request in section 1.0.
Responsible Party

OHR Business Partner and Legal Office

Template/Guideline
Explanatory Notes

Review by Legal Office necessary in all cases

3
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment.

 

4
Step

Implementation of the decision.
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify Staff Member and prepare Request for Personnel Action.

Receive notification.

Calculation of indemnities.

Implement termination decision.

 

Agreed Separation

1
Step

Submission of application.

 
Responsible Party

Staff Member, Country Office Management or OHR Business Partner

Template/Guideline

The application for the agreed termination

Country Office Submission

New Calculation

Due Process Tracking

Memo

Explanatory Notes

If eligibility criteria are met, the staff member should submit application through Head of Office/Unit to which he/she is assigned.

2
Step

Review of application.
Responsible Party

OHR Business Partner

Template/Guideline
Explanatory Notes

Consider the interests of UNDP and takes into account whether criteria are fullfilled:

  • Review summary prepared by OHR on staff members applying for agreed termination;
  • Determine in the case of recommendations for approval, the applicable terms and conditions as outlined in policy;
  • Ensure process followed took place in full and fair consideration of the staff member's applications;
  • Ensures staff members being selected meet the criteria of the current agreed termination agreements;
  • Seek any additional information from relevant Bureau/Units or Offices
  • Seek Bureau Endorsement
  • Make recommendation to the Assistant Administrator and Director of BMS.

3
Step

Authorize payment of additional termination indemnities.
Responsible Party

Director, OHR

Template/Guideline
Explanatory Notes

Authorizes payment of additional termination indemnities, in accordance with, and limited to the amounts included in the schedule provided in Annex I.

 

4
Step

Decision to terminate the appointment. 

 
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approves termination of appointment.

 

5
Step

Sign Certificate of No Contest (CNC)
 
Responsible Party

OHR Business Partner, Staff Member

Template/Guideline
Explanatory Notes

Prepare CNC.

Required to sign the Certificate of No Contest (CNC) within two weeks of receipt of notification of approval. 

If staff member does not respond within one month of the date of notification of approval or agreed termination, the proposed agreed termination will lapse, and UNDP will initiate termination of appointment as per the UN Staff Rules and Staff Regulations, Annex III for all approvals. 
 

6
Step

Implementation of approved cases. 
 
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

For locally recruited staff, prepare Request for Personnel Action to Global Payroll Services. 

For International Professional & General Service staff based at Headquarters, prepare RPA to BES/GSSC 
 

Facts Anterior

1
Step

Submission of the request for termination of appointment. 
Responsible Party

Bureau or Country Office

Template/Guideline
Explanatory Notes

2
Step

Review of the request. 
 

 

 
Responsible Party

OHR Business Partner and Legal Office

Template/Guideline
Explanatory Notes

Review by Legal Office required in all cases. 
 

 

3
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment. 
 

 

4
Step

Implementation of the decision. 


 
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify staff member and prepare Request for Personnel Action.

Receive notification.

Calculation of indemnities.

Implement termination decision.
 

 

 

Disciplinary Reasons

1
Step

Submission and decision. 


Responsible Party
Template/Guideline
Explanatory Notes

Please refer to the UNDP Legal Framework for addressing non-compliance with the UN standards of conduct

2
Step
Implementation of the decision.
Responsible Party

OHR Business Partner

Template/Guideline
Explanatory Notes

Implements termination decision under LO guidance.

Incapacity for further service for health reasons

1
Step

Submission of the request for termination of appointment.
Responsible Party

OHR Business Partner

Template/Guideline
Explanatory Notes

Once staff member has exhausted sick leave and annual leave. 

Request UN Medical Director to establish medical condition of staff member. 
 

 

2
Step

Review of the request.
 

 


 
Responsible Party

UN Medical Director, Staff Member

Template/Guideline
Explanatory Notes

Reviews submission/determines impairment exists. 
 

If staff member disagrees with the recommendation, OHR BP will submit for further review to be done by UN Medical Director.

If staff member agrees with the recommendation, the recommendation of termination will be provided by UN Staff Pension Committee. 
 

3
Step

Endorsment of the request. 



 
Responsible Party

UN Staff Pension Committee

Template/Guideline
Explanatory Notes

Recommendation of termination provided. 
 

4
Step

Approval of the request in section 1.0.




 
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment. 


 

5
Step

Implementation of the decision. 
 
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify staff member and prepare Request for Personnel Action. 

Receive notification. 

Calculation of indemnities. 

Implement seperation decision. 


 

Unsatisfactory service

1
Step

Submission of the request for termination of appointment.
Responsible Party
Template/Guideline
Explanatory Notes

Discuss expectation and feedback with staff member.

Seek guidance on managing underperformance with Local HR Advisor.

Inform staff of the possible conseuquence of underperformance.

Submit the termination of appointment request to Local HR Advisor.

 
 

 

 

2
Step

Review of the request.
Responsible Party

Local HR Advisor, OHR Business Partner

Template/Guideline
Explanatory Notes

Review the request and documentation.

Inform staff member of performance review process.

Engage TMRG.

Inform Supervisor of HR position & consideration.

Provide recommendation on separation types to Supervisor.

 

3
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment.  

 

 

4
Step

Implementation of the decision.
Responsible Party

OHR Business Partner, Staff Member, PFU

Template/Guideline
Explanatory Notes

Notify staff member.

Staff member receives notification.

 

 

Termination of appointment for abolishment of post or reduction of staff

1
Step

Submission of the request for termination of appointment.
Responsible Party

Bureau or Country Office

Template/Guideline
Explanatory Notes

Submit the request to Local HR Advisor of OHR Business partner.

2
Step

Review of the request in section 1.0.
Responsible Party

OHR Business Partner and Legal Office

Template/Guideline
Explanatory Notes

Review by Legal Office if necessary.

3
Step

Request separation prior to the end of the notice period.
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

If a staff member wishes to separate prior to the end of his or her notice period and that such notice be paid instead of served.

4
Step

Approval of request in Section 3.0.
Responsible Party

HQ: Director, OHR. Outside HQ: Head of Office

Template/Guideline
Explanatory Notes

5
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve the request for termination.  

6
Step

Implementation of the decision in section 1.0.
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify Staff Member and prepare Request for Personal Action (RPA).

Receive Notification.

Calculation of indemnities.

Implement separation decision.   

 
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