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Not Awarding the Within-Grade Salary Increment

1
Step
If the performance of the supervisee is rated as not fully satisfactory, submit a request not to award the within-grade increment to the Director of OHR
Responsible Party

Head of Office

Template/Guideline
Explanatory Notes
This should be done within 5 working days after the decision on the rating is final. If the supervisee contests the rating, the decision is final only after the Rebuttal Panel decision. 

2
Step
Take decision regard the within-grade increment  
Responsible Party
Template/Guideline
Explanatory Notes

3
Step
Inform the supervisee and the payroll team in the Global Shared Services Center (GSSU) about the decision, with a copy to the Head of the Office where the supervisee serves
Responsible Party

OHR Business Partner

Template/Guideline
Explanatory Notes

4
Step
Do not process the award of the increment, which is otherwise due, or arrange for the recovery of the increment
Responsible Party
Template/Guideline
Explanatory Notes

5
Step
Take action in  accordance with Policy on Separation from Service/Termination of Appointment, including with regard to entitlements related to separation.
Responsible Party

Head of Office

Template/Guideline
Explanatory Notes

Dealing with Performance that Is not Fully Satisfactory

1
Step

Issue the first notification to the supervisee of performance shortcomings and initiate the development of PIP.
 
Record the notification in the on-line PMD tool and upload the PIP
Responsible Party
Template/Guideline

See template for the Improvement Performance Plan (PIP)

Explanatory Notes
The PIP should generally be of at least 3 months, provided sufficient time is available within the supervisee’s contract with UNDP. It should be finalized within 10 working days from the time of the notification.

2
Step
Implement improvement measures
Responsible Party

Supervisee

Template/Guideline
Explanatory Notes

Supervisee is responsible for participating in relevant discussions and implementing required improvements. 

3
Step
Periodically monitor implementation of agreed activities
Responsible Party
Template/Guideline
Explanatory Notes
Supervisor is responsible for providing agreed support, having regular performance discussions with the supervisee, and providing guidance.

4
Step
Assess the need for the second PIP
Responsible Party
Template/Guideline
Explanatory Notes

5
Step
Issue the second the notification to superviseeof performance shortcomings and initiative the revision/extension of PIP
Responsible Party
Template/Guideline
Explanatory Notes

6
Step
If improvement in performance is not achieved in line with the established expectations and within the established timeline, make a recommendation to the Head of the Office re: next steps
Responsible Party
Template/Guideline
Explanatory Notes

7
Step
Initiate action in accordance with policy on Separation from Service/Termination of Appointment, in case the recommendation is to separate the staff member from service
Responsible Party

Head of Office

Template/Guideline
Explanatory Notes

Rebuttal

1
Step

Form the Rebuttal Panel
 
Responsible Party

Human Resources Management

Template/Guideline

See Terms of Reference of the Rebuttal Panel

Explanatory Notes

2
Step

Submit a formal rebuttal request, in writing, with a copy to the respective HR Business Partner or HR focal point in the office
 
Responsible Party

Supervisee

Template/Guideline
Explanatory Notes

A rebuttal request should be summited to hq.rebuttal@undp.org within 15 working days of the final decision by the TMC being communicated to the supervisee. Requests submitted after the deadline without a reason that is in the opinion of the Chair of the Rebuttal Panel compelling will not be accepted.  The Rebuttal Request should include:

1. a copy of the annual performance review to be rebutted 
2. a cover memo outlining the reasons for rebuttal and the justifications
3. any other supporting documents as deemed necessary​.
 
The expectation is that each case will take, on average, 30 working days to complete.
 
No template. Submission is to be done by e-mail.
 

3
Step

Refer the request to the Rebuttal Panel for review
 
Responsible Party

Secretary of the Rebuttal Panel in OHR

Template/Guideline
Explanatory Notes

4
Step

Assign members of the review team for each rebuttal case 
 
Responsible Party

Chair of the Panel

Template/Guideline
Explanatory Notes

5
Step

Review the case and present findings in a report

 
Responsible Party
Template/Guideline

See Terms of Reference of the Rebuttal Panel for more details

Explanatory Notes

The review panel will be supported by the consultant, as specified in the Terms of Reference. This will allow to ensure shorter timelines for processing rebuttal cases.
 

6
Step

Review the recommendation of the review team and sign-off
 
Responsible Party

Chair of the Panel

Template/Guideline
Explanatory Notes

The final decision is captured in the Rebuttal Panel Report signed-off by the Chair​.

 

7
Step

Inform the supervisee, the supervisor, and the Head of the Office

 
Responsible Party

Secretary of the Rebuttal Panel in OHR

Template/Guideline
Explanatory Notes

8
Step

Implement the decision of the Rebuttal Panel 
 
Responsible Party

Supervisor and/or Supervisee, as needed

Template/Guideline
Explanatory Notes

Annual Performance Review

1
Step

Hold a discussion about supervisee’s performance, achievements and development in the past year
 
Responsible Party
Template/Guideline
Explanatory Notes

In case of matrix reporting, both direct and matrix supervisors should be part of the annual performance review discussions/decisions.​
 

2
Step

Prepare a statement of annual achievement and post it in Quantum
Responsible Party

Supervisee

Template/Guideline

Quantum PMD module

Explanatory Notes

In case the supervisee has not prepared and submitted the statement of annual achievement within the agreed timeframe, the supervisor must still complete their annual performance review​.
 

3
Step

Request additional feedback from others (optional)
 
Responsible Party
Template/Guideline

See Quantum PMD module

Explanatory Notes

Requesting additional feedback from others is optional and it is recommended that it is requested throughout the year, as appropriate (e.g. after large projects are completed) rather than all at once at the time of the annual performance review.
 
It is advisable that an indicative list of potential additional feedback providers is discussed by the supervisor and the supervisee when the performance goals are agreed on, but the final decision on who to request additional feedback from should be made at the time of the request.
 
In Quantum, the supervisee will see all the feedback provided by others without the indication of who provided what feedback​.
 

4
Step

Record the outcome of the annual review in Quantum
 
Responsible Party
Template/Guideline

APR Offline Template (for reference purposes)

Quantum Step by Step guide

APR Guidance

Core Behavioural Competencies

People Management Competencies

Explanatory Notes

An annual performance review by the supervisor includes:

  1. Responses to a set of questions regarding the supervisee’s performance and competency proficiency, and narrative comments
  2. An indication of whether the performance of the staff member ‘Successfully meets performance expectations’ and ‘Does not fully meet performance expectations’

For the staff members reassigned to new positions within UNDP during the performance year, as a general principle, the supervisor who supervised the staff member for most of the year will lead the annual review. However, specific arrangements for the review and its record in Quantum will be determined depending on the time of the reassignment and circumstances of the case​. 
 

5
Step

Make a recommendation for supervisees to receive a special recognition certificate to TMRG
 
Responsible Party
Template/Guideline

Guidance for Supervisors on recommending Certificates of Special Recognition

Explanatory Notes

Supervisees are qualified to receive special recognition for consistently exceeding performance expectations throughout the year, or for a special achievement(s) or impact achieved.
 
The supervisor should include into the annual performance review of such staff members examples of incidents where expectations were exceeded or of special achievements.

The recommendation of the supervisor should be endorsed by the second level supervisor and approved by the Head of the Office before uploading the certificate to Quantum.

6
Step

Review the annual performance review by the Supervisor 
 
Responsible Party

Supervisee

Template/Guideline
Explanatory Notes

7
Step

In case of disagreement, request a TMC review 
 
Responsible Party

Supervisee

Template/Guideline

Guidance for HR focal point to create TMC Document on Quantum

Explanatory Notes

The request for the TMC review should be submitted within 10 working days from the notification that the supervisor has completed their review to the HR Focal Point. The HR Focal Point will capture this in a TMC Document for the supervisee on Quantum
 

8
Step

Review the outcomes of all performance reviews in the respective Bureau/Office where staff  have received a ‘Does not fully meet performance expectations’ rating to ensure consistency between teams in the application of standards.

Review cases of supervisees who disagree with the annual performance review by the Supervisor.
Responsible Party
Template/Guideline

Talent Management Committee (TMC) Terms of Reference (TOR)

Explanatory Notes

9
Step

Record the final TMC comments, as needed, in the supervisee’s personal record on Quantum

 
Responsible Party
Template/Guideline
Explanatory Notes

10
Step

Review the final results of the annual performance review and provide relevant comments, as needed 

 
Responsible Party

Supervisee

Template/Guideline

See Quantum PMC Module

Explanatory Notes

11
Step

Ensure that all supervisors in their team complete the annual reviews of their supervisees. Find an appropriate solution in case reviews are not completed.

Review recommendations for special recognition submitted by supervisors in their team along with the comments and examples of special achievement. If in agreement, endorse the recommendation and submit certificate to the Head of the Office for approval.
 
Responsible Party

Supervisor of the supervisor

Template/Guideline
Explanatory Notes

Template for Certificate of Special Recognition-to be uploaded in Quantum once proposal is approved.

 

12
Step

Once approved upload the Certificate of Special Recognition to Quantum.
Responsible Party
Template/Guideline

Guidelines for uploading Certificate of Special Recognition on Quantum

Explanatory Notes

Performance Monitoring

1
Step

Hold regular check-in discussions with the supervisee about performance, provide feedback, and discuss support needs; record their results in the Quantum PMD module, as appropriate 
 
Responsible Party

Supervisor (initiative) Supervisee (participate, request)

Template/Guideline

Quantum PMD module

Explanatory Notes

While the supervisor is responsible for providing feedback to supervisees on performance, in line with the principle of mutual accountability for performance, supervisees should also proactively seek feedback on performance and indicate support and development needs​.
 
Records of the periodic reviews are strongly encouraged for all staff but optional. For staff with performance shortcomings, however, the supervisor must make a record of performance discussions and agreements on improvement, next steps, consequences, etc.

2
Step

Hold a formal mid-term review of the supervisee’s performance and record its results in the on-line PMD tool
 
Responsible Party
Template/Guideline

Quantum PMD module

Explanatory Notes

Unless confirmed otherwise, the mid-term reviews of performance are expected to be conducted in July-August of the year​.
The record of the mid-term review in the on-line PMD tool should include an update on progress in the achievement of annual goals, confirmation of any modifications in the annual plan, if required, and brief feedback on performance to-date and support needs (the latter part is optional).
 
Detailed comments are required for supervisees with identified performance shortcomings. Performance Improvement Plans (PIPs) should be attached to the mid-term reviews in the on-line PMD tool.
 
In case of matrix reporting, both direct and matrix supervisors should be part of the mid-term review discussion/decisions. 

Modifying Annual Goals

1
Step

Discuss modifications to the annual goals
Responsible Party
Template/Guideline
Explanatory Notes

Periodic performance check-ins and the mid-term review should provide a forum for discussions about potential modifications to the annual goals. In case of matrix reporting, both direct and matrix supervisors should be part of the discussion on goal modifications. 

2
Step

Record modifications in the annual goals in the Quantum PMD Module
 
Responsible Party
Template/Guideline

Quantum PMD Module

Explanatory Notes

3
Step

Approve modifications in the annual goals and provide justification in the Quantum PMD module
Responsible Party
Template/Guideline

Quantum PMD Module

Explanatory Notes

Supervisor can decide on modifications but has the obligation to inform the staff member.

 

Annual Performance Planning

1
Step

Discuss the annual performance and learning and development goals
Responsible Party

Supervisor (initiative) Supervisee (participate, request)

Template/Guideline

See Quantum PMD Module

Explanatory Notes

See guidance on how to prepare for an annual performance planning discussion. In case of matrix reporting, both direct and matrix supervisors should be part of the discussion on annual goals.

In discussing learning and development goals, it is important to have a discussion with the supervisee about their career aspirations so that goals could relate to both current and potential future jobs.

2
Step

Draft annual performance and learning and development goals based on the discussion; record them in the on-line PMD tool​
 
Responsible Party

Supervisee

Template/Guideline

See Quantum PMD Module

Explanatory Notes

See guidance on setting goals.

Performance goals should include goal statements and more detailed descriptions to clarify expectations and success criteria. Goals should be prioritized to acknowledge that they can be different in terms of importance/criticality and time and effort required.
 
Performance goals should include a mandatory goal on effective people management for all staff with supervisory responsibilities. This goal is assigned automatically, through a centrally managed process. 
 
Project Managers, Heads of Offices, senior managers in Country Offices, Regional Hubs and HQs and other staff with delegated authority and accountability for budget and financial management should also have a goal on financial management. This goal is assigned automatically, through a centrally managed process, to all RRs and Heads of Offices. 

In line with the commitments of the UNDP Gender Equality Strategy and Gender Parity Strategy, managers and staff should include into their performance goals results related to gender equality and gender parity.  These individual results should be aligned with and contribute to the specific results/targets that the Bureau/office/unit plans to achieve both in terms of UNDP policy/programmatic response to gender equality and empowerment of women, as well as gender inclusion in the workplace. This goal is assigned automatically, through a centrally managed process, to all Heads of Offices.
 
All RRs will have a mandatory goal related to their contribution to the UNCT results. It will be assigned to them through a centrally managed process. Additional indicators of success should be discussed with the UN RC, as needed. Other staff should also include such goals as relevant. 

Learning and development goals should include goal statements and more detailed descriptions of activities to advance staff development, including increase their proficiency in the UNDP core and technical competency areas.
 
Learning and development goals may respond to immediate needs for a staff member to be/remain successful in the current job, as well as those that relate to their longer-term career aspirations and plans.

 Since goals should be aligned with one's functions, it is important to ensure that Job Descriptions are kept up to date and are reflective of the functions that a staff member is expected to perform.

3
Step

Approve the annual performance and learning and development goals
Responsible Party
Template/Guideline

See Quantum PMD Module

Explanatory Notes

Approval should be recorded in the on-line PMD tool.
 
Supervisor can assign additional goals to the supervisee in the PMD tool, as needed, following the discussion. 
 

4
Step

Ensure that all supervisors in their team approve the annual goals of their supervisees.  Find an appropriate solution in case goal plans are not completed for some supervisees
 
Responsible Party

Supervisor of the supervisor,

Head of Office

Template/Guideline
Explanatory Notes

Settling-In Grant

1
Step

Inform BES/JPOSC HR focal point as soon as possible that the staff member has arrived in the duty station and taken up duty. (where applicable, confirm arrival of eligible family members.)
Responsible Party

Local HRA / SM’s supervisor / other Agency

Template/Guideline
Explanatory Notes

Local HR Focal point/Supervisor/Other agency must inform the BES/JPOSC HR Focal point that the staff member and eligible family members have arrived at the duty station together with the entry on duty date and the travel dates.

2
Step

Authorize payment of assignment grant through memo or voucher.
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

UNDP staff assigned to a CO duty station:

BES sends a payment authorization to UNDP Country Office. UNDP Country office processes and releases payment. The authorization specifies the amount of the assignment grant lump sum whereas the amount of the DSA entitlement is determined by the UNDP CO.

UNDP staff assigned to a HQ duty station:

BES/JPOSC raises a voucher and sends it for approval to the budget owner.

For staff members who are reassigned to a new duty station, BES/JPOSC may authorize the lump sum of the settling-in Grant up to three months in advance at the request of the staff member. The payment will be based on the exchange rate and post adjustment rate applicable on the date of payment. The payment will not be adjusted if there are any fluctuations in exchange rate/post adjustment following payment.

For staff arriving in New York the DSA portion of the settling-in Grant is paid upon submission of the following copies:

1. Entry visa arrival stamp

2. G-4 visa from passport Completed P.1 form

3. Completed P.1 form

3
Step

Process payment authorization/Approve voucher.
Responsible Party
Template/Guideline
Explanatory Notes

UNDP country office processes and releases payments through AP voucher. Calculates DSA entitlement using the DSA rate applicable on the day of arrival of the staff member and/or eligible family members.

Budget owner approves voucher for JPOSC staff population (JPOs/SARCs/Swedish Government Secondments.) JPOSC is the budget owner of donor funds. Payments/vouchers approval requests should be sent to JPOSC.Payments@undp.org for verification and approval by JPOSC Finance. For JPOs/SARCs on co-funded arrangement, approval of payment shouldered by the hiring unit, should be solicited from the respective hiring unit.

Relocation Shipment

1
Step

Submission of signed Relocation Grant Attestation to HR focal point with BES or JPOSC
Responsible Party

Staff

Template/Guideline

Relocation Grant: Staff Member Attestation

Explanatory Notes
  • With the Lump Sum arrangement, the staff member is not required to submit documentary evidence as proof of having made a shipment or shipments.
  • The Lump Sum is not adjusted due to changes in family status
  • One is not entitled to the lump sum option for appointment/reassignment within the country of the duty station
  • Duplication of entitlements are avoided. e.g. if a relocation shipment lump sum is paid by another organization upon separation and the staff member has received an offer from UNDP at the time then UNDP will not issue a relocation shipment lump sum.

2
Step

For staff going to or leaving a country office:
Issue authorization for payment of Relocation Shipment Lump Sum or Shipping arrangements if exceptional organization assisted shipment
Responsible Party
Template/Guideline
Explanatory Notes
  • The payment or authorization is issued upon medical clearance and prior to travel.

3
Step

Issue and approve voucher payment of relocation shipment lump sum
Responsible Party

Finance focal point in country office/budget owner

Template/Guideline
Explanatory Notes
  • The voucher is raised upon receipt of the authorization from the HR focal point in BES/JPOSC as well as vendor information from Staff Member.

4
Step

For staff leaving HQ and other agencies:
Issue voucher and approval of voucher in Atlas
Responsible Party
Template/Guideline
Explanatory Notes

5
Step

Shipment Organized by UNDP:
TS is authorized to organized the shipment from locations where there are no UNDP office, from USA and when split shipment.
Responsible Party
Template/Guideline

PT. 78 Form (Itemized Valued Inventory of Personal Effects/Insurance Claims Procedure)

Explanatory Notes

Please use PT 78 form. 
 
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