| United Nations Development Programme

1	Step Ensure all agreements (new and renewed agreements eod 1 January 2014 ) in accordance with new cost recovery policy	Responsible Party UNDP Office and Fund Managers	Template/Guideline Financing Agreements and Templates	Explanatory Notes A renewal of existing agreements with additional contributions should be amended with new cost recovery rates; please see Financing Agreements and Templates.
2	Step Regularly review average GMS charged to projects to ensure that correct and latest rates are entered in Quantum	Responsible Party UNDP Office and Fund Managers	Template/Guideline OFM Reports -GMS exceptions report	Explanatory Notes OFM report: Cost Recovery - Average GMS rates
3	Step Seek an approval for any deviations, exceptions and special GMS rate prior to signing donor agreement	Responsible Party	Template/Guideline Template: Action Memorandum for the Assistant Administrator and Director Bureau of Management Services	Explanatory Notes Refer to Template: Action Memorandum for the Assistant Administrator and Director Bureau of Management Services with relevant justifications to BMS director. The requesting bureau needs to obtain a clearance from BMS/OFM prior to its submission.
4	Step Review requests on exceptions on GMS rates	Responsible Party	Template/Guideline	Explanatory Notes Non-standard GMS rates are reported to the Executive Board
5	Step Endorse GMS internal distributions such as Vertical Funds.	Responsible Party Executive Office	Template/Guideline	Explanatory Notes
6	Step Report on average GMS by funding source and budget departments	Responsible Party	Template/Guideline	Explanatory Notes
7	Step Report to the EB on all waiver cases	Responsible Party	Template/Guideline	Explanatory Notes

Step

Transfer funds to the MA through a project document.

Responsible Party

Template/Guideline

Explanatory Notes

Step

Formulate a project in Quantum with the MA as the Implementing Partner.

Responsible Party

Template/Guideline

Explanatory Notes

Standard UNDP procedures for project documents apply (as set out in UNDP’s Results Management, and Finance and Budget Policies and Procedures).

Step

Record payments to the MA as advances (account 16015) through a non-Purchase Order Voucher and are cleared upon receipt of financial reports from the MA.

Responsible Party

Template/Guideline

Explanatory Notes

Procedures for recording this expense in Quantum will vary depending on the arrangements in place. A conversion into UNDP account codes will most likely be necessary. If funds are pooled or commingled by the MA and reported on total JP basis, an apportionment based on the proportion of UNDP contribution to the JP will be required. Refer to the POPP Revenue chapter for recording of revenue under IPSAS.

1	Step Create record and maintain record	Responsible Party Finance staff	Template/Guideline Records Management Guidelines	Explanatory Notes Ascertain accuracy and correctness of the record and its supporting documentation Financial records should be created, managed and stored in accordance with paragraphs 4, 5 and 6 of the Record Retention policy Documents to be filed in a sequential order and in safe storage. When the office is closed, chequebooks, issued cheques and petty cash must be placed in the safe for safekeeping
2	Step Store records permanently for staff payments/ payroll	Responsible Party Finance staff	Template/Guideline	Explanatory Notes
3	Step Establish an area for archiving according to the following guidelines: a) The files/records storage area must be secure and locked at all time b) Files must be easily retrievable c) There must be a log and master list for everything archived and its anticipated disposal date	Responsible Party CO	Template/Guideline	Explanatory Notes
4	Step Ensure regular monitoring of the contracted storage space	Responsible Party Administrative Services Division (ASD) at Headquarters and country offices	Template/Guideline	Explanatory Notes
5	Step Store records for a minimum of seven years for all other financial documents except staff payments/ payroll	Responsible Party	Template/Guideline	Explanatory Notes
6	Step Decide whether to dispose of financial records older than 7 years (apart from documents related to staff payments/payroll)	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes Disposal at the discretion of Res. Rep. after seven years in accordance with paragraphs 7 and 8 of the Record Retention policy on the POPP However, if further guidance is required, please contact the Office of Finance
7	Step Dispose of records	Responsible Party Senior GS Finance staff	Template/Guideline	Explanatory Notes Files will be disposed of by incineration and/or shredding

Step

Preparation of the job description

Responsible Party

Hiring unit

Template/Guideline

UNDP job description template

Explanatory Notes

The job description is typically prepared by the supervisor, with the assistance of the human resources staff using the standard UNDP job description template.

Step

Classification of the post

Responsible Party

HR staff,

deputy resident representative / deputy country director,

Operations Manager

Template/Guideline

Explanatory Notes

The position is classified by human resources staff and certified by the deputy resident representative/deputy country director or operations manager;
Prior to classification, all positions require a position number and budget to cover the expenses of the position. For core positions, position numbers are allocated by UNDP headquarters; for extra-budgetary positions, position numbers are created by the country office.

Step

Review of the classification package by the Local Corporate Review Panel (CRP)

Responsible Party

CRP

Template/Guideline

Explanatory Notes

Classification documents are submitted to the CRP, which reviews the classification package, examines the completeness of the submission (noting things such as the adequacy of the job description, supporting documentation, respect for due process regarding classification) and makes recommendations to the resident representative

Step

Approval of classifications

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Classification recommendations are approved by the resident representative. The following documents should be submitted to the CRP and resident representative:

Note to the file on classification with the detailed justification for the revision in grading, comparison of previous duties/revised duties (for re-classifications) and detailed explanation of the process and tools/standards used (for all classifications) signed by the human resources staff and deputy resident representative/deputy country director or operations manager;
The classification form/ summary (classification template for general service category) signed by the human resources staff and deputy resident representative/deputy country director or operations manager. Classification summary for professional positions should be printed out from the online job evaluation system. Classification forms are not necessary if the job description coincides with the pre-classified generic job description;
An updated job description;
An up-to-date organizational chart showing the placement of the position in question and other positions affected by the proposed classification. The organizational chart should include job code titles, position numbers, grade levels, source of fund (optional), and type of contract;
Previous organizational chart (if classification is based on reorganization);
Recommendation of the CRP (to be submitted to the resident representative).
Documents pertaining to the classification should be maintained on file, in the HR unit, with each delegated classification decision for monitoring/audit purposes;
The resident representative can delegate classification authority to country director, deputy resident representative or deputy country director. Delegation of authority should be done in writing and kept on file for audit purposes.

NOTE: When a review results in a change of the classified level, the new grade of the position is implemented effective the first day of the month following the classification of the post. The effective date of classification is assigned only if the position number and budget are available

Step

Preparation of the job description

Responsible Party

Hiring unit

Template/Guideline

Job Evaluation : Classification Template

Explanatory Notes

The job description is typically prepared by the supervisor, with the assistance of the human resources staff using the standard UNDP job description template;
All positions require an official position number and budget to cover the expenses of the position.

Step

Classification request submission to GSSC

Responsible Party

Resident Representative,

Head of Office

Template/Guideline

Request for classification template

Explanatory Notes

Classification requests are submitted to  the GSSC Classification team, New York. A complete submission consists of the following documents:

A completed request for classification template, which provides justification for classification and contextual information (e.g. description of programme, programme components, complexity, change management process, previous duties/revised duties, how changes in this position affect other positions in the same function, etc.) as well confirmation of funds availability to cover the position in question and position number. The request for classification of positions should be signed by the resident representative or country directors (country offices) or head of department (headquarters);
An updated job description;
An up-to-date organizational chart showing the placement of the position in question and other positions affected by the proposed classification. The organizational chart should include job code titles, position numbers, grade levels, source of fund (optional), type of contract;
Previous organization chart (if the request is based on a reorganization);

Change management materials and documents (if applicable).

Step

Classification of the post

Responsible Party

GSSC Classification Team

Template/Guideline

Explanatory Notes

Upon submission of a request for classification, GSSC Classification team reviews and confirms the completeness of the submission. Should additional material be required or submitted material is unclear, GSSC Classification team advises the submitting office. Only upon confirmation that the submission is complete (i.e. clear and fully documented), will it be considered formally received for classification;
When confirming the receipt of a request for classification, GSSC Classification team establishes a target date for notification of the classification results. This target date normally falls within two weeks of the receipt of the completed submission, which will allow for proper analysis of the request;
In case of a full office review, GSSC Classification team after proper analysis of the submitted documentation will advise the submitting office of a target date. The target date for a full office review usually falls within two to four weeks of the receipt of the completed submission. GSSC Classification team reserves the right to request any additional information necessary for classification;
At the end of the classification process, GSSC Classification team sends a memo with classification results to the requesting business unit;
If a full office restructuring is taking place, the HR business advisor serving the duty station and GSSC Classification team should be informed and involved in the process and agree on the positions that should be reviewed by headquarters. All restructuring information and documentation (new strategy of the country office, restructuring process, methodology, a draft new organizational chart, etc.) should be presented to the HR business partner and GSSC Classification team during the 'aligning structures' phase of the change management process. Final job descriptions, classification decisions done by country offices, request for classification of certain positions by HQ, and the new organizational chart should be submitted to GSSC Classification team for final review and confirmation of levels during the 'optimizing resources' phase of the change management process

Step

Post-classification action

Responsible Party

Requesting office (country office, regional centre / headquarters unit)

Template/Guideline

Explanatory Notes

After notification of classification results, the submitting office has the right to initiate a new classification submission. A new submission should reflect substantive changes in functions for a post that were not a part of an earlier review. It is anticipated that a request for a new classification review would occur only after significant revision of duties, for example, the reorganization of an office. A new submission should normally not occur within 12 months following the completion of an earlier review.

NOTE: When a review results in a change of the classified level, the new grade of the position is implemented effective the first day of the month following the acknowledged receipt of a complete submission. The effective date of classification is assigned only if the position number and budget are available.

Step

Enrollment:

Enrollment in the plan for eligible staff members who apply more than 60 days after signing the qualifying letter of appointment is conditional on the provision by the staff member at the time of application, on a special form for the purpose, of evidence of insurability satisfactory to the insurance company.

Responsible Party

Staff member

Template/Guideline

Life Insurance Application Form

Beneficiary certification form_1: (This form is to be completed by United Nations Group Life Insurance beneficiaries who do not have a United States Social Security Number and do not reside in the United States of America)

Beneficiary certification form 2. (This form is to be completed by United Nations Group Life Insurance beneficiaries with a United States Social Security Number or beneficiaries who reside in the United States of America)

Life Insurance Termination Waiver Form

Explanatory Notes

The group life insurance plan is offered as a part of the scheme of social security for the staff that the Secretary-General is required to establish under staff regulation 6.2. The underwriter of the plan is the Hartford and the policy holder is the United Nations.

The plan is financed solely from the contributions of participating staff members. No subsidy is paid by the Organization.

Participation in the plan is voluntary for all eligible staff. A staff member may withdraw from the plan at any time. The plan provides term insurance coverage only and has no cash value at the time of withdrawal.

Enrolment in the plan is automatic for eligible staff members who apply for life insurance coverage under the plan, on the appropriate form, within 60 days of signing the qualifying letter of appointment. They will be covered from the effective date of the letter of appointment.

A revised administrative instruction (ST/AI/2002/6) has been issued. In addition, the same information and any updated administrative instructions may be accessed via the Internet at the following URL: http://www.un.org/insurance.

If an office administers personnel on behalf of another agency, the same rules and procedures for UNDP staff must be followed.

Step

Enrollment:

Data on enrollment form is verified and validated and any change in coverage is processed in the system promptly

Responsible Party

OHR

Template/Guideline

Responsible Party

UN Health and Life Insurance Unit

Template/Guideline

Life insurance Death Claim Checklist

Explanatory Notes

Health and Life Insurance Section is informed about the death of a participant in the group life insurance programme or when all applicable claim documents are received along with notification of death. In the former case, in order to permit the insurer, The Hartford, to pay the requisite benefits, the UN Health and Life Insurance Section will provide the beneficiaries with clear instructions regarding the documents that must be completed and submitted. In the latter case, the Section will forward the properly furnished set of claim documents to The Hartford for processing.

Step

Review results of assessment conducted.

Responsible Party

Office

Template/Guideline

HACT Annexes A-D

Explanatory Notes

Template/Guideline

Explanatory Notes

Results of Partner Assurance Activities shall be reviewed by Head of Office or his/her designate and remedial actions shall be discussed with the Partner.

The reports of assurance activities should be uploaded in the HACT Platform. Issues highlighted in the report including the action plan needs to be documented in the HACT Platform.

Step

Conduct review of implementation of Assurance Plan.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Offices are required to monitor the findings identified and necessary action plan should be documented in the HACT Platform. To ensure that the risk does not materialize the action plan should be executed and identified findings promptly closed in the HACT Platform. The execution of the action plan is the responsibility of the Office.

The action plan needs to be communicated and agreed with the Partner.

Step

Follow up of findings of periodic on-site reviews (spot checks) and special and scheduled audits.

Responsible Party

Office

Template/Guideline

HACT Tables

Explanatory Notes

See Table 4 for triggers prompting review of Partner Adjusted Risk Rating arising from spot checks.
See Table 5 on triggers prompting a change of Partner risk rating arising from scheduled audits.

1	Step In the event that the requester is not satisfied with the response from the Legal Office to the request to review, and a request for a document remains denied in whole or in part, the requester may submit an appeal against this response from the Legal Office to the Information Disclosure Oversight Panel, providing reasons for the appeal. Requests for appeals should be directed to: Coordinator of the Information Disclosure Oversight Panel: Effectiveness Group, Bureau for Policy and Programme Support United Nations Development Programme 304 East 45th Street, FF-16th Floor New York, NY 10017 USA Email: IDPOversightPanel@undp.org	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
2	Step Every request for Appeal will be acknowledged. The Panel shall review the denial of requests to disclose a document or portion of a document as described in the appeal to a member of the public. The Panel will have the authority to make the final decision and will make its best efforts to do so within 45 calendar days of receipt of the appeal.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
3	Step The Panel will share its decision with the appellant, the UNDP Administrator and the relevant internal unit or office. If the Panel determines that the requested information will not be disclosed, its reasons will be provided to the appellant.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
4	Step Functions: The Panel’s primary function is to review appeals submitted to it, and to consider whether UNDP’s Information Disclosure Policy has been properly applied. Such consideration shall be guided by the principle of seeking amicable solutions in the context of the request and the parties who may be affected by the release of the information.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
5	Step The Panel may also review the implementation of the Policy, and recommend, as appropriate, more detailed mechanisms and procedures for the review of denied requests in light of operational and other changes within UNDP.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
6	Step Membership. The Panel consists of three members who are independent to UNDP: one from a non-governmental organization; one from a foundation and one from a UN agency other than UNDP. The Chair of the Panel will be selected from amongst, and by, the Panel members.	Responsible Party , Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes Criteria for selection of Panel members. Members are selected through a competitive selection process on the basis of the following criteria: keen understanding of UNDP policies, structures, programmes and operations at Headquarters and Country Office levels; knowledge of programmes and operations of UNDP’s associated Funds and Programmes; knowledge of, and familiarity with, information disclosure and access to information policies; and proven ability to work with development partners. All members are appointed by the UNDP Administrator. Members serve for a term of three years, which may be extended for another term at the discretion of the Administrator. Appointments are made at the expiry of the term of a member any time during the course of the year or when a vacancy arises.

1	Step Negotiate and sign agreements at Business Unit level (sign with the local US Federal Government Agency)	Responsible Party	Template/Guideline	Explanatory Notes
2	Step Agree on frequency of interim FFR-425 reporting requirements and deadline with local COTR/AOTR	Responsible Party	Template/Guideline	Explanatory Notes Prior to signing agreement
3	Step Submit a copy of signed grant agreement to GSSC for recording in Quantum Portfolio Project Management (PPM) Contract Module	Responsible Party	Template/Guideline	Explanatory Notes As soon as grant agreement is signed (within 1 week of signature)
4	Step Creation of Project in the Portfolio Project Management (PPM)	Responsible Party	Template/Guideline	Explanatory Notes As soon as the project budget is finalized (before agreement is signed)
5	Step Credit revenue to project in PPM	Responsible Party	Template/Guideline	Explanatory Notes Upon receipt of signed agreement or amendment and after confirming the grant has been obligated
6	Step File quarterly FFR-425 to local US Federal Government Agency office	Responsible Party	Template/Guideline	Explanatory Notes As agreed with COTR/AOTR
7	Step Manage agreement against required filing dates and expiry date	Responsible Party	Template/Guideline	Explanatory Notes As per agreement requirements
8	Step File final FFR-425 (individual grant)	Responsible Party	Template/Guideline	Explanatory Notes Within 90 days of grant expiry following expenses certification by UNDP Office
9	Step File quarterly FFR-425 (consolidated for all grants)	Responsible Party	Template/Guideline	Explanatory Notes Within 30 days of quarter’s end following expenses certification by UNDP Office
10	Step Expenses certification	Responsible Party	Template/Guideline	Explanatory Notes Submit quarterly and upon grant expiry to GSSC
11	Step Year-end Adjustment of Revenue	Responsible Party	Template/Guideline	Explanatory Notes At year-end as part of year-end closing
12	Step Project Operational Close	Responsible Party	Template/Guideline	Explanatory Notes By the grant expiry date
13	Step Project Financial Close	Responsible Party	Template/Guideline	Explanatory Notes UNDP Office to submit UNITY/ UNall informing GSSC to financially close the project after operational closure but not more than 90 days after grant expiry
14	Step Cash Draw-Down	Responsible Party	Template/Guideline	Explanatory Notes Quarterly or other period to be determined by GSSC
15	Step Grant Extension Notification to GSSC	Responsible Party	Template/Guideline	Explanatory Notes UNDP Office within 1 week of extension approval
16	Step Notification of Grant Expiry	Responsible Party	Template/Guideline	Explanatory Notes 60 days prior to grant expiry date
17	Step Processing Refunds and De-Obligations	Responsible Party	Template/Guideline	Explanatory Notes After submission of Final FFR-425

1	Step Submit the request through the Operations service icon in UNall. For local renewal a DS.1648 and the latest i-94 record should be uploaded to the UNall case. For visas to be issued outside the US complete form DS 160 online indicating the city where visa is to be picked up.	Responsible Party Staff member	Template/Guideline	Explanatory Notes
2	Step Submit the completed application through the Operations service icon in the UNall Service Portal.	Responsible Party Staff member, Certifying Officer in General Operations/BMS	Template/Guideline UNall/Operations/General Operations Services	Explanatory Notes The national passport should be valid for at least 6 months; if a visa is also requested for eligible dependents, their national passports should also be submitted.
3	Step Review, sign form and forward to UNTTS together with the national passport/s.	Responsible Party	Template/Guideline	Explanatory Notes
4	Step Request the U.S. Department of State’s Bureau of Consular Affairs (CA), Diplomatic Liaison Division in Washington, D.C. to grant the visa.	Responsible Party	Template/Guideline	Explanatory Notes For G-4/G-5 visas to be issued in New York.
5	Step Send cable to US consulate outside the US requesting issuance of the visa.	Responsible Party	Template/Guideline	Explanatory Notes For G-4/G-5 visas to be issued outside the US, a copy of the cable will be provided to the staff member.
6	Step For visas to be issued outside the US, go in person to the US consulate to complete a visa application form.	Responsible Party Staff member	Template/Guideline	Explanatory Notes Bring a valid national passport valid for at least 6 months. Present a copy of the UNTTS cable to expedite the processing of visa application.

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Policy Areas

Cost Recovery from Other Resources - GMS

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Pooled funding arrangement when another UN organization is the MA

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Record Retention, Data Security and Contingency

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Following procedures should be followed for job classifications conducted at the country office level

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline