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Formalizing private sector partnerships through MOU

1
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.
 

2
Step

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

,
Template/Guideline
Explanatory Notes

Bureau of Management Services, Legal Office

3
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.

4
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.

 

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. 

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. 

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

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

Management of UN Clinic

1
Step
Authorize clinic services and supplies as a distinct activity in the Common Services project in the same manner as other common/shared services. 
Responsible Party
Template/Guideline
Explanatory Notes
Total running costs, itemized by expenditure purpose as listed in paragraph 17, as well as the average yearly percentage of total costs charged to each agency, should be recorded.

Hardship Allowance

1
Step

Staff member is assigned to a duty station with a hardship classification B to E.
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

Hardship Allowance is paid automatically through payroll based on the hardship classification of the duty station. The hardship classifications are published by ICSC and the classification is maintained in Quantum by GSSC.

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.

 

Non-Family Service Allowance

1
Step

Staff member is assigned to a non-family duty station.
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

Non-Family Service Allowance is paid automatically   through payroll based on the classification of the duty station. Non-Family Duty Station status’ are published by the Interagency Field Group based on UNDSS recommendation and the status is maintained in Quantum by GSSC.

Direct Billing

1
Step

Establish direct billing arrangement
Responsible Party

Resident Representative,

Human Resources Management,

UN Insurance Unit,

MIP Administrator,

UN Medical Services ( DHMOSH)

Template/Guideline
Explanatory Notes

Responsible parties are:  RR and third party MIP administrator in consultation with OHR, UNMSD and UN Insurance Unit

2
Step

Pre-certification for medical treatment at UN Clinic
Responsible Party
Template/Guideline
Explanatory Notes

3
Step

Charge insurance for medical services received at UN Clinics
Responsible Party

MIP Administrator

Template/Guideline

Medical Insurance: Medical Insurance Plan (MIP)

Explanatory Notes

The service providers administering the various UN insurance plans will treat the charges associated with the provision of clinic services in the same manner as other medical services. When determining billable services associated with a UN Clinic, reference should be made to the benefits and limitations under the respective UN insurance plans.

The reasonable and customary charges will be determined on the basis of nationally established pricing tariffs or, where no national tariffs exist, market rates and/or a database of pricing determined by the insurance scheme.

The rules and procedures by which the insurance will reimburse for such services must be adhered to.

Responsible party is the Third party MIP administrator.

 

4
Step

Pay co-payment or out of pocket portion for medical services received at UN Clinic
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

5
Step

Certification of co-payment bills
Responsible Party
Template/Guideline
Explanatory Notes

The bills must include the official stamp and signature of the attending physician (i.e., not of the nurse).

Responsible party is the Attending UN Clinic Physician.
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