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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.

Modalities of payment and adjustment to all Allowances

1
Step

Payment in currencies other than United States dollars.
Responsible Party

BES/JPOSC HR Focal point, in consultation with the OHR Policy and Compensation Unit

Template/Guideline
Explanatory Notes

The allowances are established in, and are normally paid in, United States dollars. Should the staff member request payment of salary and allowances in another currency, in accordance with prevailing rules on currency and modalities of payment of salaries and allowances, payment shall be made at the United Nations operational rate of exchange prevailing on the date the payment is made. No adjustments shall be made to account for changes in exchange rates once the payment has been made.

2
Step

Adjust or discontinue payment of allowance.
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

Adjustments or discontinuation of payments shall be made when applicable as a result of change of duty station, change of dependency status, change of designation or classification of duty station, promotion, completion of five (or, exceptionally six) continuous years’ at the duty station, as applicable, period on special leave or separation. An adjustment shall also be made if a staff member receives a special post allowance to a higher level which would bring the staff member’s entitlement into another range (this normally would apply for special post allowances at the P-4, D-1 or FS-7 level), thus giving rise to a higher amount of the allowances in accordance with the amounts specified in the tables in the annex.

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.

Pre-Award Negotiations

1
Step

Submit the request for approval. 

 
Responsible Party

CO Procurement

Template/Guideline

Pre-Award Negotiations Strategy

Explanatory Notes

Negotiations on procurement actions below the CAP threshold shall be initiated after authorization by the Head of Business Unit or personnel delegated with Procurement Authority.

Negotiations on procurement actions above the CAP threshold shall be initiated after authorization by the Procurement Authority (Head of BU or RCPO or CPO), based on the recommendation of the appropriate Procurement Review Committee (CAP, RACP or ACP).

2
Step

Manage negotiations (see Managing Negotiations Guidance Notes) 
 
Responsible Party
Template/Guideline

Guidance Notes on Managing Negotiations

Explanatory Notes

Mobility Incentive

1
Step

Monitoring of 5 years of uninterrupted service with UNDP
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes
  • 5 years of uninterrupted service is counted as of the last entry on duty (EOD) with UNDP (hire/rehire) unless staff member has joined UNDP on transfer, secondment or loan from another agency.

2
Step

Activate Mobility Incentive in  Quantum for the assignment
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

3
Step

Payment
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes
  • Payment is automated and paid monthly through payroll.
  • The mobility incentive assignment count and start date is included on the Personnel Action form.Entitlement to the incentive ends upon 5 years in a duty station regardless of when the entitlement started to be accrued. 
  • The mobility incentive is activated per assignment in Quantum.

4
Step

Monitor and end entitlement to Mobility Incentive on the date of 5 years in duty station.
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes
  • Entitlement to the incentive ends upon 5 years in a duty station regardless of when the entitlement started to be accrued. 

5
Step

Reinstate mobility upon reassignment to a new duty station
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

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.
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