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Identifying and analyzing foundations for partnerships with UNDP

1
Step

Analysing potential partners 
 
Responsible Party
Template/Guideline
Explanatory Notes

Conduct  research on "legitimacy" of the foundation to confirm their basic purposes, including scanning of programmatic activities; board membership and individuals/entities affiliated with the foundation; previous grant-making; and tax and other financial information (if available). Information may be available in international/national foundations registers, websites of the foundations, news published by media, watchdogs, etc. 

For additional information please refer to the intranet guidance in BERA/Public Partnerships Group. 

2
Step

Due-diligence review of cases for foundations that have controversial profiles, or are linked to corporations whose business practices are inconsistent with the ideals of the United Nations
Responsible Party

The case should be discussed by members of an ad hoc local Committee,

Initiating Business Unit

Template/Guideline

Self Certification Form for Donor Entities

Self-Certification Form for Donor Individuals

Private Sector Risk Assessment Tool

UNDP Private Sector Due Diligence Risk Assessment Tool User Manual

Explanatory Notes

Members of the Committee should include relevant CO staff and relevant strategic UNDP local partners (e.g. representatives of Government/CSO.

The Self Certification Form for Donor Entities and the Self-Certification Form for Donor Individuals are relevant for in-scope donors.  In-scope donors refer to private companies/foundations/private individuals acting as donors, in the context of the Anti-Money Laundering and Countering the Financing of Terrorism Policy which is supplemented by the Operational Guide for the Implementation of the UNDP Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy). The Operational Guide provides detailed procedures and guidance for the implementation of the policy across UNDP and specifies roles and responsibilities in the vetting process, including escalation procedures and available corporate tools. The Offline Private Sector Risk Assessment Tool Guide contains the practical steps to be followed to reach a decision on a given partnership with corporate foundations and business associations, coalitions and alliance.

3
Step

Due-diligence review for corporate foundations
Responsible Party
Template/Guideline

Private Sector Risk Assessment Tool

UNDP Private Sector Due Diligence Risk Assessment Tool User Manual

Explanatory Notes

Corporate foundations should be in line with the guidelines for conducting private sector due-diligence. Refer to Policy on Due Diligence and Partnerships with the Private Sector for further clarification. 

Conducting due diligence for private sector entities

1
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.

2
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

3
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.

4
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. 

5
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. 

6
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. 

Medical Evacuation Travel (MET)

1
Step

Flowchart – Medical Evacuation Travel (MET) Process
Responsible Party
Template/Guideline

Medical Evacuation Travel Flowchart

Explanatory Notes

2
Step

Request approval for MET to Head of Office and advise HR Administrator 
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

Request for MET must be accompanied by a medical report from the attending physician that justifies medical necessity.

3
Step

Verify eligibility of patient for MET
Responsible Party
Template/Guideline
Explanatory Notes

International and national staff members with an appointment governed by the UN Staff Regulations and Staff Rules.

4
Step

Consult with UN Examining Physician/UN Dispensary Physician on the need for MET
Responsible Party

Head of Office

Template/Guideline
Explanatory Notes

Head of Office (RR/Officer-in-Charge) 

MET should be approved on the recommendation of the local Medical Officer of the Regional Commission/UN Examining Physician/UN Dispensary Physician.

5
Step

Evaluate and recommend MET
Responsible Party

Physician

Template/Guideline

Entitlement Travel MET Annex C Guidelines for Physicians advising on Medical Evacuation

Explanatory Notes

The local Medical Officer of the Regional Commission or 
the UN Dispensary Physician or 
local UN Examining Physician 
Guidelines for physicians on MET should be followed (Annex C); the recommendation for MET should be forwarded to the Head of Office for approval.

6
Step

Approve MET to a recognized regional medical centre within the region
Responsible Party

Head of Office

Template/Guideline
Explanatory Notes

If MET is not authorized, the HR Administrator should inform the staff member. 

MET to any other place will require the prior approval of the UN Medical Director.

7
Step

Evaluate request for MET outside the region and approve MET to any other place other than the recognized medical centre within the region
Responsible Party

UN Medical Director

Template/Guideline
Explanatory Notes

The Head of Office should forward a request to the UN Medical Director with the following information: 
- staff member’s name, agency, duty station and index number; 
- indication of whether the patient is the staff member or an eligible family member; if eligible family member, relationship to staff member; 
- proposed place and date of evacuation; 
- patient’s current clinical condition; 
- tentative diagnosis by the treating physician; 
- laboratory test; 
- treatment initiated; 
- specific purpose of the evacuation; and 
- recommendation of the local Medical Officer of the Regional Commission, the UN Dispensary Physician or the local UN Examining Physician. 

It is essential that correct and complete information be communicated to the UN Medical Director to avoid unnecessary delays. Each request for MET will be reviewed individually, taking into consideration the recommendation of the Medical Officer of the Regional Economic Commission, the UN Dispensary Physician or the local UN Examining Physician, and any other medical information at hand. 

If MET is not authorized outside the region, the RR would be advised to inform the staff member.

8
Step

Arrange MET: 
- Communicate approval to staff 
- Inform Cigna or GMCS of MET 
- If patient is unable to, forward completed and signed Cost Estimate form to Medical Insurance on behalf of patient 
- Organize MET of the patient and accompanying escort, if applicable 
- Organize purchase of tickets, confirmation of flights and DSA 
- Process salary advance for the staff member, if requested 
- Ensure that any required entry visas are obtained 
- Forward itinerary and MET approval to Finance for payment of DSA and terminal expenses 
- If the MET destination is in security level I or above, request security clearance for the patient and/or family member/ medical escort 
- Forward the travel details to the HR Administrator of the receiving office and request logistical arrangements for the patient: hospital appointment, hotel accommodation and transportation
Responsible Party
Template/Guideline
Explanatory Notes

In non-emergency cases, appointments with the hospital should be confirmed before the staff member or dependent leaves on MET; Cost estimate forms should be completed at least 10 days before hospitalization or no later than three days after hospitalization in cases of emergency 

All logistical arrangements should be put in place before departure and confirmed with the receiving UNDP office at the place of MET 

The following information should be forwarded to the receiving office: 
- patient’s name, date of birth and relationship to the staff member; 
- if applicable, name of accompanying family member and/or medical escort; 
- date of arrival, name of airline, flight number and estimated time of arrival for patient and, if applicable, accompanying family member and/or medical escort; 
- estimated date of departure, name of airline, flight number and estimated time of departure for patient and, if applicable, accompanying family member and/or medical escort; 
- whether hotel accommodation arrangements are required for the patient and, if applicable, accompanying family member and/or medical escort; 
- whether transportation arrangements to and from the airport are required for the patient and, if applicable, accompanying family member and/or medical escort; and 
- whether patient is covered under Cigna, MIP or any of the New York Insurance Plans.

If the staff member is unable to complete and/or sign the form, the staff member’s spouse or an adult family member may complete and sign the form on his/her behalf. If attempts to contact the staff member’s spouse or an adult family member have failed, the UNDP RR, Country Director or OIC may sign on the staff member’s behalf. This measure should only be taken under circumstances where there is supporting documentation to show that efforts to contact the staff member’s spouse or adult family member were unsuccessful and where further delay could jeopardize the staff member’s well-being. When using this measure, the UNDP decision maker is responsible for communicating all medical information to the staff member until such time as a spouse or adult family member is contacted.

9
Step

Approve the application for hospitalization and direct billing;
Forward Letter of Guarantee to the hospital/clinic
Responsible Party
Template/Guideline

UN Worldwide Medical Insurance Plan.

MIP Rules

Explanatory Notes

Insurance Company Cigna, MIP or any of the New York Insurance Plans

For local staff covered under MIP, please refer to MIP Rules. 

For international staff covered under UN WWP (Cigna), please refer to UN  Worldwide Medical Insurance Plan.

10
Step

Take MET
Responsible Party

Staff member,

Dependent

Template/Guideline
Explanatory Notes

For local staff covered under MIP, please refer to MIP Rules.

For international staff covered under the UN WWP (Cigna),, please refer to UN  Worldwide Medical Insurance Plan

11
Step

For a patient covered under MIP, sign and forward the GMC Prior Agreement form completed by the doctor to GMC.
Responsible Party

Staff member,

Dependent

Template/Guideline

GMC Prior Agreement Form

Explanatory Notes

For local staff covered under MIP, please refer to MIP Rules. 

For international staff covered under Vanbreda, please refer to UN  Worldwide Medical Insurance Plan.

12
Step

Request completion of ‘Medical Evacuation’ form (MS.39) by the attending physician at the place of evacuation, together with a complete medical report to the Medical Service through the attending physician at the staff member’s duty station within two weeks of the evacuee’s return to the duty station
Responsible Party

Staff member,

Dependent

Template/Guideline

Medical Evacuation Form (MS.39)

Explanatory Notes

13
Step

Forward the ‘Medical Evacuation’ form (MS.39) and the medical report from the attending physician to the UN Medical Director when the staff member returns from MET
Responsible Party

Physician

Template/Guideline

Medical Evacuation Form (MS.39)

Explanatory Notes

The local Medical Officer of the Regional Commission or 
the UN Dispensary Physician or 
local UN Examining Physician

A complete medical report delivered by the attending physician at the place of evacuation should be forwarded to the Medical Service within two weeks of the evacuee’s return to the duty station. 

The record will include all supporting documentation that may have been submitted to justify a request for MET in excess of 45 days.

14
Step

Maintain a complete record of the MET;
Forward the data on MET to the UN Medical Director each quarter
Responsible Party
Template/Guideline
Explanatory Notes

A written record must be kept by the local HR/Operations Manager of each MET, setting out the following information (which should be forwarded to UNMS):
- the name of the staff member, index number, name of the organization, whether locally or internationally recruited; 
​ - the name of the dependant and his/her relation to the staff member, if the evacuee was not the staff member; 
- the name of the Head of Office who authorized the evacuation; 
- the place of evacuation authorized by the Head of Office; 
- the actual place of evacuation; 
- the total cost of the MET, including travel expenses and DSA; and 
- the total medical costs during MET.

15
Step

Repatriation of mortal remains
Responsible Party
Template/Guideline

Annex D : List of Reimbursable Expenses

Explanatory Notes

The funding source for the authorized expenses related to the preparation and transportation of mortal remains is the same funding source against which the staff member’s salary is charged. Please be guided by Annex D. 

All expenses related to the staff member’s medical treatment are charged to MIP in accordance with the rules. 

Expenses related to the MET (e.g. staff member’s air ticket, nurse’s air ticket, DSA, ambulances etc.) are charged to the same funding source against which the staff member’s salary is charged.

Agency Implementation Finances

1
Step
Ensures that approved project budget (created by IP in close consultation with Programme Officer) and project funding (allocation/ASL or cash) are correctly entered into Quantum:
   (i)  Project Module
   (ii) Budgetary Control
Responsible Party

UNDP Programme Officer

Template/Guideline
Explanatory Notes
Offices should be mindful that in Quantum, all UNDP advances will consume project budget in PPM as well as the GL cash budget.  This requires all Offices to ensure that project budgets are correctly set up in PPM prior to processing any advances.  Particularly in relation to corporate advances to partners, in order  to prevent delays, the project  budget should be properly set-up as soon as agreements are signed and prior to partners start sending the advance request  to GSSC Agencies for review, CFRA’s approval and final payment by GSSC.​

2
Step
For core and non-core funds:
Agency submits request for advance of funds. The Programme Officer should monitor that the requested advance by Implementing Agencies as well as the subsequent implementation and liquidation is consistent with the AWP, project budget and project plan.  Agencies send their request for advance along with signed agreements and other supporting documents directly to  GSSC Agencies for initial analysis and review.  GSSC sends the results of the analysis with recommendation to CFRA for final review and approval Once approved, GSSC will release the payments.
Responsible Party

Programme Officer/Agencies/GSSC Agencies/CFRA

Template/Guideline
Explanatory Notes

3
Step
Agencies submit cumulative quarterly PDRs to the GSSC Agencies unit , which processes their upload into UNEX; recognition of expenses and  liquidation of advances in Quantum AP and final posting to GL. All PDRs must include expenses on a full accrual accounting basis under IPSAS.
Responsible Party
Template/Guideline
Explanatory Notes

4
Step

Each Quarter, after PDRs are processed and GL closure is notified by CFRA/FPMR/OFM, Programme Officers are expected to perform the following tasks:

     (a) Review all PDR expenses in UNEX () or from GL programme expense details  to ensure they are:

  • Consistent from a programming and financial perspective with the AWP, project budget and chart of accounts to ensure that only valid expenses are recorded in UNDP's books and in the period when the goods were received or the services rendered.
  • Within the established and available project budget and Authorized Spending Limit (ASL/AX1) ceilings to ensure that over expenditure does not occur.
  • Should the PDR from an Agency not be available at year end closing, country offices should contact GSSC Agencies to ensure that estimated expenses for the period are recorded in the system.

This scrutiny is particularly important as Agency PDR expenses are not necessarily reviewed by UNDP's programme officers before being processed in UNEX and recognized in GL.Budgetary Control.  Therefore, programme officers
     (b) Review in UNEX, PDRs rejected by UNEX and communicated by GSSC Agencies and ensures causes for the rejections are resolved. .
     (c) Where necessary, amends in UNEX the automated apportionment exercise (UNEX apportions costs in respect of donor and activity which do not exist in standard UN agency budgets).
    (d) Follow-up with UN agency counterparts to resolve all pending issues concerning rejected or contentious expenses.  Determines if any PDR expenses should be rejected or the chart of accounts revised.
Where correction or rejection in UNEX is justified (for example due to expenses above budget) notifies GSSC Agencies (with supporting documentation)
Responsible Party

UNDP Programme Officer

Template/Guideline
Explanatory Notes
Review UN Account Analysis Report and Project Module Reports for Account Balances and activity details.  Check budget control under budget module for budgetary status. 

Explanation of PDR reject error messages, possible causes and action required are communicated in detail by GSSC as well as HQ instructions.  

Valid PDR expenses reported by a UN agency and not recorded by UNDP due to UNEX rejection would constitute a liability in UNDP's balance sheet as legitimate expenses not paid by UNDP to the UN agency.
GSSC Agencies will ensure rejected expenses are reversed from Agency books and not reported on future PDRs.

5
Step
Validated PDRs are then processed in UNEX and the information will be populated in AP to record expenses and liquidate the advances recorded under a particular responsible party.  
Responsible Party
Template/Guideline
Explanatory Notes
This process is known as the outbound process whereby valid expenses are recorded in Quantum AP.

6
Step
Project Clearing Account (PCA) balances are reconciled with each UN agency through the Schedule 12 (a) report. The Schedule 12 (a) report is the quarterly reconciliation report used by UNDP and other UN agencies to reconcile interagency balances.
Responsible Party

GSSC Agencies

Template/Guideline
Explanatory Notes

7
Step
On an on-going basis, expenses recorded in Quantum are reviewed to ensure they are correctly stated.  UN Account Analysis Report can be used for this purpose. 
Responsible Party

UNDP Programme Officer

Template/Guideline
Explanatory Notes

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

1
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.

2
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. ​

3
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

4
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​

Formalizing partnerships with foundations

1
Step

Formalizing via MoU (optional) 
 
Responsible Party
Template/Guideline

Memorandum of Understanding (MoU) and Statement of Intent (SoI)

Explanatory Notes

An MoU captures areas of intended collaboration towards a common goal, when such commitments does not include any transfer of resources between the partners, or make any financial demands on UNDP.

2
Step

Formalizing via financing agreement
Responsible Party

RR focal points, and Directors of initiating business unit

Template/Guideline

Financing Agreements and Templates

Foundations’ partner specific agreements

Explanatory Notes

Collaboration which involves formalization via a financing agreement must always be done in the context of UNDP's Programme and Project Management policies and procedures; please see Financing Agreements and Templates.

If the financing agreement's text deviates from the standard, approval should be sought from the Office of Legal Services (OLS), Bureau for Management Services (BMS). Any deviation from the standard templates must be reviewed before signature by the Director of the Office of Legal Services (OLS/BMS).

3
Step

Tax Status:  As an international organization, UNDP does not possess these documents. However, as a subsidiary organ of the United Nations, UNDP’s tax-exempt status is derived from the Convention on the Privileges and Immunities of the United Nations. 
 
Responsible Party
Template/Guideline
Explanatory Notes

Information regarding UNDP’s tax status is usually requested by foundations based in the United States. Those foundations will ask for the submission of a Tax-Exempt Statement in the form of an IRS Section 501(c)(3) Status Determination letter/statement.  The following sample text can be submitted to U.S.-based foundations in place of the IRS determination letter:
"UNDP, as a subsidiary organ of the United Nations, is immune from taxation based on the Convention on the Privileges and Immunities Act of the United Nations, to which the United States Government acceded on 29 April 1970, 21 U.S.T. 1418, [1970], T.I.A.S. No. 6900. The United Nations, including UNDP, is also exempt from taxation pursuant to the International Organizations Immunities Act (IOIA). Pub. L. No. 79-291, 59 Stat. 669 (codified at 22 USC 288 et seq.). For the purposes of this Act, the President of the United States designated the United Nations as an international organization, Executive Order No. 9698, 11 Fed. Ref. 1809 (1946)."

4
Step

Financial information:
Responsible Party
Template/Guideline
Explanatory Notes

Some foundations may request financial documentation, such as an organization's budgets and financial statements, which is included into the project proposal as appendixes.  
UNDP bi-annual support budget and the annual financial report to the Executive Board are available on the Executive Board website. UNDP bi-annual financial report and audited financial statements of the Board of Auditors is available on the UN General Assembly website. 
 

5
Step

Pre-approved Status provision to accompany the Financing Agreement
Responsible Party
Template/Guideline
Explanatory Notes

"UNDP confirms that it is a subsidiary organ of the United Nations, which is an international organization designated by Executive Order 9698 of the United States International Organizations Immunities Act, 22 USC 288. You agree to advise us immediately if there is any change in your organization’s status during the term of this grant".
Always ensure that this provision is included without any deviations. In case of deviations, please seek clearance from the UNDP legal office.

Country Co-Financing Cost Sharing (Fund 11888) and Non-Earmarked Programme Cost Sharing (Fund 30083)

1
Step

Record interest earned on unspent cost sharing resource balances to fund 11888 through the annual interest allocation process.
Responsible Party

Corporate Finance Reporting and Agency Service

Template/Guideline
Explanatory Notes

Refer to year-end closing instructions.

2
Step

Transfer unspent resource balances to fund 11888 upon closure of development projects based on provision in contribution agreements or consent from donors.
Responsible Party
Template/Guideline
Explanatory Notes

Refunds to donors POPP guidance.

3
Step

Record non-earmarked contributions from programme governments to fund 30083.
Responsible Party

,
Template/Guideline

Standard Programme Country Government Cost-Sharing Agreement template

Explanatory Notes

4
Step

Budget and programme fund 11888 resources based on the bureaus assessment of the CO’s programming needs. Programming of resources should be done in fund code 30084.
Responsible Party

,

Regional Bureaus

Template/Guideline
Explanatory Notes

Paras. 15-21

UNDP's normal programme and financial policies and procedures apply.

5
Step

Budget and programme fund 30083 resources based upon approval from the programme government donor.  Programming of resources should be done in the respective cost sharing fund code.
Responsible Party

,

Regional Bureaus

Template/Guideline
Explanatory Notes

Paras 22-25

UNDP's normal programme and financial policies and procedures apply.

6
Step

Approval of the planning and programming of 11888 and 38003 funds by the COs, in their annual work plan.  Oversight on and management of the revenue accruals into the funds in accordance with the policy guidance and FRRs, monitoring of the unprogrammed resources of un-earmarked resources in fund 38003.
Responsible Party

Regional Bureau HQ (Cost Centre)

Template/Guideline
Explanatory Notes

Paras. 4, 8, 15, 16, 18, 22, 23, 24

Following procedures should be followed when submitting job classification requests to OHR

1
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.​

2
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).​

3
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​

4
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.​

Record Retention, Data Security and Contingency

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

Medical insurance: UN NY Empire Blue Cross PPO Medical Insurance

1
Step

Flowchart - Medical insurance: UN NY Empire Blue Cross PPO Medical Insurance
Responsible Party
Template/Guideline

Flowchart - Medical insurance: UN NY Empire Blue Cross PPO Medical Insurance

HR_Insurance Plans_Empire Blue Cross PPO Flowchart

Explanatory Notes

2
Step

Enrollment of staff: 

Application/ Request for Change Form completed and submitted together with supporting documents in respect of staff member’s participation, including his/her eligible family members, where relevant
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

Staff members who have no insurance coverage under a United Nations plan or through a family member must be strongly urged to obtain medical insurance coverage for themselves and their eligible family members, as the cost of medical care can result in financial hardship for individuals who fall ill and/or injured and have no coverage 

If staff member or eligible family members are not enrolled within 31 days after an event that gives rise to an entitlement for coverage, an application for coverage may be submitted during the annual enrollment campaign. See UN ST/IC/2014/15 

In the case of a staff member married to another staff member, the insurance coverage, whether at the two-person or family level, must be carried by the higher salaried staff member 

Education of staff about the provisions under the insurance plan and distribution of materials by the person most familiar with the scheme is absolutely necessary 

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

3
Step

Enrollment of staff: 

The completed application for enrollment form is certified and submitted to the Insurance and Disbursement Services within 31 days of eligibility for the entitlement
Responsible Party

BES/GSSC

Template/Guideline
Explanatory Notes

The administration of this category of employees is centralized in the Benefits & Entitlements Services Unit in GSSC BES in Copenhagen

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

4
Step

Enrollment of staff: 

Staff member records in Quantum are validated, contributions are computed, and coverage is activated
Responsible Party

UN Insurance Unit

Template/Guideline
Explanatory Notes

5
Step

Managing eligibility data in Quantum

Data on enrollment form is verified and validated and any change in coverage is processed into Quantum promptly
Responsible Party

UN Insurance Unit

Template/Guideline
Explanatory Notes

6
Step

Issue ID card: 

Identity cards are issued to the staff member and eligible dependent(s)
Responsible Party
Template/Guideline
Explanatory Notes

It is the responsibility of the staff member to ensure that the correct mailing address is submitted. Incomplete or incorrect mailing addresses in Quantum will result in misdirected mail or failure to receive important information.

7
Step

Claims:

Insurance claims are submitted, in a sealed envelope together with supporting documents, on a claim form directly to the insurance carrier, following the instructions on the claim form.
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

Subscribers should note that claims for reimbursement must be submitted to the insurance carrier no later than two years from the date on which the medical expense was incurred. Claims received later than two years after the date on which the expense was incurred will not be eligible for reimbursement. 

The administration and management of the health insurance plans for internationally recruited staff governed by the UN Staff Regulations and Staff Rules are administered by the UN Health and Life Insurance Unit. Any questions/queries on the provisions under the plan or any disputes regarding claims must be submitted directly to this unit, located at 304 East 45th Street, 3rd Floor.

8
Step

Verification and reimbursement of claims: 

Insurance carrier reimburses staff member directly
Responsible Party
Template/Guideline

P-2 Form Designation of Beneficiaries

HR_Insurance Plans_Designation, Change or Revocation of Beneficiary Form P-2

Explanatory Notes

Payment is made to the insured person, but, if the subscriber is no longer alive, payment will be made to his/her beneficiary as per P-2 Form Designation of Beneficiaries

9
Step

Request a review if a claim is denied: 

A claim denied in whole or in part must be submitted to the insurance carrier. The insurance carrier will provide the subscriber with a written notice explaining the reason for the denial and the appeal procedure
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

The request for review must be submitted in writing within 60 days of receipt of the notice. The subscriber should include the reasons for requesting the review and submit the request to the insurance carrier. The insurance carrier will review the claim and ordinarily notify the subscriber of its final decision within 60 days of receipt of the request. If special circumstances require an extension of time, notification will be given to that effect.
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