| United Nations Development Programme

1	Step Submit the request through the Operations service icon in UNall. Upload completed forms and other documentation to the UNall case, have forms certified by General Operations/BMS then submit to the UN Visa Committee.	Responsible Party Staff member	Template/Guideline	Explanatory Notes Form TTS.1 should be certified by General Operations/BMS.
2	Step Forward approved application to UNTTS.	Responsible Party	Template/Guideline	Explanatory Notes UN Visa Committee will advise the staff member on the status of the application and of any required additional information. All follow-ups should be made directly with the UN Visa Committee or the UNTTS.
3	Step Send a cable requesting issuance of the visa, to the US consulate in the city where the G-5 visa will be picked up.	Responsible Party	Template/Guideline	Explanatory Notes The staff member may request a copy of the cable for the household employee to present to the US consulate.
4	Step Provide all required documentation to the household employee.	Responsible Party Staff member	Template/Guideline	Explanatory Notes
5	Step Apply for the G-5 visa in person at the US consulate where the visa is to be picked up and where the UNTTS has sent the cable.	Responsible Party	Template/Guideline	Explanatory Notes The household employee should carry all required documents, including a copy of the UNTTS cable to facilitate the visa application processing.

1	Step Estimate annual preliminary GLOC targets to country offices	Responsible Party	Template/Guideline OFM site	Explanatory Notes GLOC target tables include GOC targets in cash and GLOC in-kind contributions
2	Step Issuance of GLOC targets to country offices	Responsible Party	Template/Guideline	Explanatory Notes A joint memo from OFM and RBx sent to the Resident Representatives
3	Step Communicate GLOC targets and settlement of arrears to Host Governments	Responsible Party Country Offices	Template/Guideline Create UNALL case with GSSC to create master contract	Explanatory Notes
4	Step Create a master contract for GLOC cash targets	Responsible Party	Template/Guideline	Explanatory Notes Cash payments from host governments are applied to the respective year’s master
5	Step Clarify any issues related to GLOC cash and in-kind contributions to host governments	Responsible Party	Template/Guideline	Explanatory Notes Support will be provided from OFM and Regional Bureau
6	Step Revise and communicate GLOC targets if necessary, based on the final year-end certification of the GLOC in-kind and GLOC master contracts based on revised final GLOC targets	Responsible Party	Template/Guideline Refer to Government Local Office Cost -GLOC- Valuation of the In-Kind Contribution from the Host Government	Explanatory Notes Upon closure of the year-end certification, OFM reviews and updates in-kind GLOC contributions on annual basis
6.a.	Step Receive GLOC contributions and submit a request through UNALL for all GLOC payments (current, arrears and advance) Send “Thank you” letters to host governments	Responsible Party	Template/Guideline Submit GLOC contributions information through UNALL	Explanatory Notes CO should indicate the contribution amounts with a corresponding GLOC target year including the future years, in case of advance payments.
6.b.	Step Apply cash payments to GLOC cash targets Transfer an annual portion of deferred revenue to the current year target account	Responsible Party	Template/Guideline	Explanatory Notes COA- GLOC fund – 00200; accounts: Current year payment – 51015 Arrears payment – 51014 Advance payment – 51017
7	Step Issue GLOC performance reports	Responsible Party	Template/Guideline GLOC Performance Report	Explanatory Notes GLOC performance report is updated automatically from Quantum.
8	Step Apply accounting linkage, if any, to outstanding GLOC targets	Responsible Party BERA	Template/Guideline	Explanatory Notes BERA – validates and confirms voluntary contributions (VC) GSSC & OFM – determines the amount of accounting linkage from VC and posts the entries in GL Based on voluntary contributions received from host governments, any shortfall in GLOC targets are settled through GLOC accounting linkage
9	Step Report annually to UNDP stakeholders and UNDP Executive Board Issue an appreciation letter for the payment of GLOC cash and in-kind	Responsible Party ExO and Regional Bureaux	Template/Guideline UNDP financial statements The United Nations Board of Auditors Annual Review of the Financial Situation, table 4 and 8 The Documents for the Executive Board sessions	Explanatory Notes A letter from UNDP Associate Administrator is sent after the closure of Contract Module in Quantum upon finalization of revenue entries.
10	Step Report to UNDP Executive Board through Integrated Budget	Responsible Party	Template/Guideline	Explanatory Notes Integrated budget documents

Step

Conduct due diligence and complete the mandatory Risk Assessment Tool (RAT) digitally in UNITY/Quantum+

Responsible Party

Template/Guideline

Private Sector Risk Assessment Tool

UNDP Private Sector Due Diligence Risk Assessment Tool User Manual

Explanatory Notes

The Business Unit Initiating the partnership completes the Private Sector Risk Assessment Tool in Quantum+ and makes a recommendation to engage or refrain from engaging. Refer to the Private Sector Resource Mobilization for additional information and to the Offline Private Sector Risk Assessment Tool Guide.

Step

Develop risk log, monitoring plan and communications material

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Risk Management

Explanatory Notes

Document the identified risks into a risk log. If the partnership is part of a project that already has a risk log, these risks can be added into the existing mechanism. In low-risk and short-term partnerships the project manager may decide that a risk log is not needed.
Monitoring activities to screen publicly available information relating to the partner and the industry as well as assessing whether the partner is meeting the conditions (if any) of the partnership.
The communications materials covers the basic details about the partnership and should address the main risks identified during the risk assessment process

Step

Quality assurance

Responsible Party

For Low-Risk: Country Office (CO) Private Sector Due Diligence Focal Point (PSDD) for CO level partnerships; Regional Bureau PSDD Focal Point for regional level partnerships; and relevant Central Bureau PSDD Focal Point for global level partnerships,

For Moderate/Substantial Risk: CO Private Sector Due Diligence (PSDD) Committee for CO level partnerships; Regional PSDD Committee for regional level partnerships; and HQ Inter-Bureau PSDD Committee for global level partnerships,

For High-Risk: Regional Private Sector Due Diligence Committee for CO level partnerships; HQ Inter-Bureau Private Sector Due Diligence Committee for regional and global level partnerships

Template/Guideline

Explanatory Notes

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Decision making

Responsible Party

For Low-Risk: RR for CO level partnerships; relevant Bureau Director for regional and global level partnerships,

For Moderate/Substantial Risk: Relevant Bureau Director for CO, regional and global level partnership,

For High-Risk: Corporate Risk Committee

Template/Guideline

Explanatory Notes

For moderate, substantial and high-risk cases the CO, Regional or HQ Private Sector Due Diligence Committee provides quality assurance and advisory support to the relevant decision maker.

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Monitoring the partnership, managing risks, reporting

Responsible Party

Initiating Business Unit – Project/Programme Manager

Template/Guideline

Explanatory Notes

Initiating business unit conducts monitoring on a regular basis.

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

Step

Spot-check

Responsible Party

The relevant Regional Bureau for Due Diligence conducted by Country Office,

BPPS/Quality Programming Team will organize independent assessment for Due Diligence conducted by Regional and Central Bureaus

Template/Guideline

Explanatory Notes

Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification.

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

Explanatory Notes

It is the responsibility of the staff member to ensure the correct mailing address is submitted. Incomplete or incorrect mailing addresses in

Quantum will result in misdirected mail or failure to receive important documents.

Step

Enrollment:

Staff member records in the system are validated, contributions are computed and coverage is activated

Responsible Party

UN Health and Life Insurance Unit

Template/Guideline

Explanatory Notes

The UN Health and Insurance Unit administers the workflow of enrollment and reporting directly with the Insurance Company on behalf of UNDP

Step

Premiums:

The premiums for the plan must be paid in full by the staff member participating in the plan.
The premiums shall be paid by monthly payroll deduction.

Responsible Party

Staff member

Template/Guideline

Access to the Group Life Insurance Rate Stimulator

UN HLIS - Life insurance

Explanatory Notes

The premiums and benefits are receivable and payable by the insurance company in United States dollars

The premium rate is determined by the insurance company, in consultation with the Organization, and will be announced periodically in an information circular

Step

Claims:

All life insurance claims must be processed through the Health and Life Insurance Section at Headquarters. Claims or notification of claims should not be transmitted to the Hartford Life Insurance Company directly.

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.

1	Step Set up project budget, including GMS budget component in Quantum, for each fund and donor combinations	Responsible Party	Template/Guideline GMS Calculator	Explanatory Notes Use the GMS Calculator to determine amounts for project programmable budget and GMS budget List of funds subject to GMS can be found here (taken from UN_GMS_FUNDS)
2	Step Set up GMS fee in Quantum Grants Module under Awards - MS fee collection method is pre-set to 'earn as you go' - Set up GMS fee at the Project / fund / donor levels - Ensure the correct GMS Rate is selected from the drop-down menu.	Responsible Party Office or Fund Managers	Template/Guideline Guidance Note on GMS Setup in Quantum	Explanatory Notes Ensure Distribution modality is communicated to GSSC through a UNALL case and is setup properly in Contracts Module
3	Step Monitor GMS fee set up	Responsible Party Office/Bureau	Template/Guideline	Explanatory Notes
4	Step Review GMS exception reports and take corrective actions	Responsible Party Office/Bureau	Template/Guideline GMS Exceptions - Power BI	Explanatory Notes Review and monitor the GMS exceptions – Power BI regularly and make necessary corrections.
5	Step Process daily/monthly GMS batch process	Responsible Party IMT/OFRM	Template/Guideline	Explanatory Notes Refer to monthly closing deadlines from OFM
6	Step Monitor GMS charged to projects and funds Monitor GMS Income	Responsible Party	Template/Guideline Review Ledger results until Quantum queries are made available. Refer to: Guidance Note on GMS Setup in Quantum	Explanatory Notes Corporate - Average GMS Rate Performance - Power BI

Step

Send Request for Information (RFI)

Responsible Party

Programme Staff

Template/Guideline

Request for Information from CSO/NGO Template

Explanatory Notes

Identify potential NGOs relevant to UNDP programmatic areas

Step

Filter Request for Information

Responsible Party

Programme Staff

Template/Guideline

Explanatory Notes

Filter NGOs relevant to UNDP programmatic areas

to submit Partner Capacity Assessment tool. Basic criteria:

a. Not Proscribed

b. Area of expertise of interest to UNDP

Step

Send Partner Capacity Assessment tool

Responsible Party

Panel: Programme Staff Operations Staff Independent Participant (appointed by RR)

Template/Guideline

Explanatory Notes

Obtain detailed information from NGOs

Step

Conduct Partner Capacity Assessment

Responsible Party

Template/Guideline

Explanatory Notes

Identify capacity to deliver & Identify capacity development opportunities

Step

Conduct General Risk Analysis

Responsible Party

Panel: Programme Staff Operations Staff Independent Participant (appointed by RR)

Template/Guideline

Explanatory Notes

Assess the general risks for UNDP in engaging with the NGO

a. Identified risk levels (actual/ mitigated)

b. Maximum financial ceiling to channel through the NGO

Step

NGO Overall Information Capture

Consolidate information

Responsible Party

If objective is to establish an office Roster in identified areas a Roster manager to be identified to maintain/ updated roster

Template/Guideline

Explanatory Notes

The following information will be consolidated from all previous steps:

a) Relevance against need

b) Capacity to deliver

c) Opportunity for capacity development

d) Financial ceiling

e) Risk level/ mitigation

Step

Terms of Reference for the Specific Engagement

Responsible Party

Programme Staff

Template/Guideline

Explanatory Notes

Defined clear outputs and deliverables for UNDP project

Step

Identify Unique Collaborative Advantage Criteria

Responsible Party

Panel: Programme Staff Operations Staff Independent Participant (appointed by RR)

Template/Guideline

Explanatory Notes

Identify specific unique collaborative advantage criteria for NGO for the project success.

Such criteria will be the basis for the later “Collaborative Advantage Analysis” once the long list of NGOs have been identified

Step

Identify NGOs from the Roster

Responsible Party

Panel: Programme Staff Operations Staff Independent Participant (appointed by RR)

Template/Guideline

Explanatory Notes

Identify suitable NGOs from the roster – Long List to be established based on:

a. Area of expertise

b. Access to beneficiaries

c. Ceiling

Step

Reassessment of Risk Based on Specific TOR

Responsible Party

Template/Guideline

CSO/NGO Selection: Risk Analysis Template

Explanatory Notes

Confirm/Reconfirm general risk level in light of the specific TOR

Step

NGO Collaborative Advantage Analysis

Responsible Party

Panel: Programme Staff Operations Staff Independent Participant (appointed by RR)

Template/Guideline

CSO/NGO Selection: Comparative Advantage Analysis Template

Explanatory Notes

Determination of the most appropriate modality for engaging NGO(s)

Decision on whether

Selection based on unique collaborative advantage

(OR)

Selection based on competitive process

Step

Endorsement by Senior Manager if Selection Based on Unique Collaborative Advantage

Responsible Party

RR/OIC (no further delegation)

Template/Guideline

Explanatory Notes

Accountability for selection through non-competitive process

Decision on NGO(s) with whom RPA can be negotiated

Step

Engagement Through Unique Collaborative Advantage Selection Process

Responsible Party

Template/Guideline

Explanatory Notes

Definition of key areas such as:

a. Activity Work Plan (AWP)

b. Cost negotiations including overheads

Step

Engagement Through Competitive Selection Process

Responsible Party

Operations Staff

Template/Guideline

Call for Proposals from NGOs Instructions

Quality-Based under a Fixed Budget Methodology Selection Guide

Procurement Methods Policy

Explanatory Notes

Selection through a competitive process as several NGO can deliver

Subject to oversight by the procurement committees

Step

Negotiation of Responsible Party Agreement. Please refer to the Programme and Project Management (PPM) Select Responsible Parties and Grantees policy for Responsible Party definition.

Responsible Party

Programme & Operations Staff

Template/Guideline

Responsible Party Agreement between UNDP and a Civil Society Organization

Explanatory Notes

Clear understanding of expectations on both sides

RPA ready for signature

Step

Signature of RPA

Responsible Party

As identified in the ICF[SB2]

Template/Guideline

Internal Control Framework

Explanatory Notes

NGO legally engaged

Step

Update of Project M&E and Results Framework

Responsible Party

Programme Staff

Template/Guideline

Explanatory Notes

Manage NGO-specific risks NGO-specific capacity development and risks incorporated into the overall project design

Step

Flowchart - Compensation for Death, Injury or Illness – Appendix D

Responsible Party

Template/Guideline

Flowchart - Compensation for Death, Injury or Illness – Appendix D

Explanatory Notes

Step

Draft Memorandum of Understanding (MOU)

Responsible Party

Programme/project manager of the unit initiating the partnership

Template/Guideline

MOU Templates

Explanatory Notes

An MoU sets a framework for partnerships with no transfer of resources between partners.

Guidance on MOUs.

Step

If deviates from the standard template (MOU), request for legal clearance

Responsible Party

Template/Guideline

Explanatory Notes

Bureau of Management Services, Legal Office

Step

Sign MOU

Responsible Party

RR for CO, Regional Director for RBx

Template/Guideline

Explanatory Notes

RR – for country level agreements with national entities or national branch of multinational entities.
RBx Director for regional agreements with region entities or regional branch of a multinational entity.
Administrator, Associate Administrator or Central Bureau Directors for corporate or global partnerships.

Step

Upload signed MOUs

Responsible Party

Programme/project manager of the unit initiating the partnership

Template/Guideline

Non-Financial Agreements Library

Explanatory Notes

All MoUs should be uploaded in the partnerships Unity Agreements module which is the central UNDP Non-Financial Agreements Repository.

Step

Prepare a Financing Agreement

Responsible Party

Template/Guideline

Financing Agreements and Templates

Explanatory Notes

Please see Financing Agreements and Templates and the Standard Provisions of a Financing Agreement with legal guidance on frequently asked questions.

Step

If deviates from the standard template request for legal clearance

Responsible Party

Template/Guideline

Explanatory Notes

Bureau of Management Services, Office of Legal Services

Step

Sign Financing Agreement

Responsible Party

Template/Guideline

Explanatory Notes

RR to sign national agreements with national entities or national branch of multinational entities.
RBx Director to sign regional agreements with region entities or regional branch of a multinational entity

Step

Sign Pro-bono agreement

Responsible Party

RR,Regional Bureau Director

Template/Guideline

Templates

For additional guidance, please visit the PSRM Toolkit

PSRM Toolkit

Explanatory Notes

1) Pro-bono agreements receives goods and/or services in accordance with the UN SG Bulletin on Acceptance of pro-bono goods and services (2006), complemented by UNDP policies.

2) The comprehensive template has the option to formalize a partnership for both Pro-bono (goods and services), and financial contributions.

a) RR signs national agreements with national entities or national branch of multinational entities.

b) RBx Director signs regional agreements with region entities or regional branch of a multinational entity.

3) When a private sector entity approaches UNDP with an unsolicited offer of pro bono contribution of goods or services, it is necessary, in addition to the risk assessment of the private sector entity itself, to take special care to ensure that this is the most cost effective way to achieve a particular objective. If it is not clear that there is a unique feature to the offer being made, then it is essential to undertake a thorough mapping and scoping exercise to research comparable alternatives and to:

a. approach a wide range of similar companies in order to ascertain that there are no better offers available;

b. provide evidence that the pro bono services or goods are fit for purpose and offer best value by obtaining complete specifications of donated goods, including quality standards;

c. define the necessary quality checks to be conducted depending on the nature of the donation;

d. have a documented process of peer review of options;

e. Conduct an analysis as to whether the contribution may lead to a ‘future standardization whereby a specific good/service limits UNDP future choice and imposes unexpected costs. In particular, the analysis must show that there will be no dependency that can incur future costs;

f. Provide no unfair advantage.

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Policy Areas

G-5 visa

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Government Contribution to Local Office Costs (GLOC) from LIC and MIC

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

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Explanatory Notes

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Responsible Party

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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

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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

Conducting due diligence for private sector entities

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes