| United Nations Development Programme

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.

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

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

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

Payment Calculation

The SDB comprises one week’s net salary payable at the level and step of each eligible Driver according to the criteria outlined in paragraphs 2 through 5 above. Payment is calculated at the end of each calendar year on 31 December, for approval by the Resident Representative (RR).

Responsible Party

CO,

Template/Guideline

Explanatory Notes

If the applicable salary scale is subsequently revised affecting the December salary calculation, payment of the bonus is adjusted accordingly.

Step

Payment Withheld

Payment of SDB is withheld in respect of any driver who is involved in an accident requiring review by the UNDP Property Survey Board, pending receipt of the Board’s decision. In cases where a SDB is withheld, a Personnel Action form is prepared for record purposes.

Responsible Party

CO,

Template/Guideline

Explanatory Notes

1	Step Clean-up of Purchase Orders (POs) and Clean-up of Accounts Payable	Responsible Party	Template/Guideline	Explanatory Notes A few notes on clean-up of Purchase Orders: The Clean-Up process must include PO and invoices that you have prepared on behalf of other agencies. Recurring PO invoice contracts are fully processed as soon as they are approved (i.e. dispatch is not required) and are not recorded in Projects. After the Clean-Up deadline has passed, any pending purchase orders that have a budget date on or before the month end may be cancelled. If the purchase order is still required, then you will need to create a new purchase order. For any purchase orders remaining after the deadline that do not have a validated status, OFM will attempt to reserve funds in the purchase order. If validated, no further action will be taken. If it fails the validation, OFM will close the purchase order. If the purchase order is still required, then you will need to create a new purchase order.
2	Step Review of Unpaid AP Invoices Use the infolet or payable dashboard to review the invoices that require attention (either “pending approval”, “rejected”, “invoices on hold” or “instalment on hold”)	Responsible Party	Template/Guideline	Explanatory Notes If the list of unpaid invoices includes invoices that were paid using manual checks, then immediately record the payment. Where the manual check cleared the bank in year X, if year X is closed you will need to record the payment with a year X+1 accounting date. Use the actual payment date to the supplier (the date on which the check was issued or payment cleared the bank) as the payment date for the manual payment. For duplicate or old invoices (that will never be paid), cancel the invoice. Go to Payables, search invoice, invoice action, and "Cancel Invoices". Take note that only the approver has the access to cancel invoices. This process is applicable to PO invoices, non-PO invoices and prepayments.
3	Step Maintenance of Asset Records and Physical Count While the physical inventory of assets in the office must be undertaken twice a year, i.e. mid-year in June and at the end of the year in December, UNDP Offices should maintain accurate asset records throughout the year. This means properly and promptly recording all assets purchased, transferred or disposed. Buyers are responsible for recording assets (goods valued at $5000 and above) when creating purchase orders.	Responsible Party	Template/Guideline	Explanatory Notes The asset focal point at the office is responsible for ensuring that serial numbers are recorded in Quantum as soon as the goods are received and for ensuring that if more than one item is purchased against a Purchase Order, the assets are unitized and each asset’s detail serial number is entered in the Fixed Asset Module. The Resident Representative is responsible for approval of the disposal of UNDP assets. The Operations Manager or DRR/O is responsible for promptly recording disposals after CAP review and recommendation.
4	Step Review of Fee Rows Fee rows are a significant source of extra-budgetary (XB) income for many offices. Your office receives the income when the Information and Technology Management (ITM) runs the process to post the Fee Rows to the GL. As such, it is critical that the Fee Rows be calculated and posted properly before close.	Responsible Party	Template/Guideline	Explanatory Notes Fees generated can be reviewed in the Agency Portal before posting to the GL.
5	Step Accounts Receivable (AR) Cleanup There are two types of receipts in AR – Standard Receipts and Miscellaneous Receipts. User can search all the unapplied receipts from the AR module by selecting ‘unapplied’ under the State field in the manage receipts, the list of the receipts will populate and users can export to excel.	Responsible Party	Template/Guideline	Explanatory Notes
6	Step Review of NEX Advances Advances are equivalent to prepayments in Quantum, you have 3 reports from the General Ledger which the Country Office can establish the balances. NEX Aging Report UN Account Analysis Report under General Accounting tab Inquiry and Reporting under General Accounting tab > General Accounting Dashboard > click on Tasks icon at the right hand side > Select Inquire and Analyze Balance or Inquire on Detail Balances.	Responsible Party	Template/Guideline	Explanatory Notes This will provide the balances for each respective office for all project balances. For each project balance, ensure that: It agrees to the last government Financial Report (FR) balance; It agrees to the bank statement for that project provided by the government or to the Financial Report vs. Bank Reconciliation balances; Any adjustments are charged or credited to expenditure in the current year. Edit the invoices under Payables module.
7	Step Updating Labour Schedule for payroll postings Country offices and HQ units are responsible for updating the labour schedule which is a pre-requisite for posting payroll transactions to Project Portfolio Management (PPM) and the General Ledger	Responsible Party	Template/Guideline	Explanatory Notes Every month, run Labour schedule Exception reports to ensure the project attributes are valid and there are no mismatches between position and labour distribution. See the Quantum screenshot below for the navigation
8	Step Clean-Up of Pending General Ledger Journal Entries As mentioned above, pending General Ledger Journal Entries (GLJEs) are GLJEs that have been created but have not yet been posted to the GL. Pending GLJEs contribute to inconsistencies between KK and GL reports. Pending GLJEs that passed the budget check are included in KK but not in the GL. As such, it is important that pending GLJEs be posted or deleted if they are not needed. Deleted GLJE's no longer appear in Commitment Control.	Responsible Party	Template/Guideline	Explanatory Notes Review all the unposted journals listed in the requiring attention, incomplete and import errors.
9	Step Protocol for Using Fund and Donor Codes To establish consistency across regions for the recording in Quantum of funds provided by Development Banks to UNDP either directly or through programme country governments. The following protocol has been developed to promote consistent use of fund and donor codes, particularly where funds are received from Development Banks.	Responsible Party	Template/Guideline	Explanatory Notes Donor Codes For Governments, donor codes must contain either the name of the country, e.g., Government of Colombia or the three letter ISO country code followed by the description of the ministry or principality {e.g. COL - Alcaldía de Barranquilla}. Donor codes that did not include the ISO code cannot continue to be used unless OFA edits the existing code to include the ISO code. Existing donor codes in Spanish may continue to be used provided the ISO code exists. New donor codes should be in English. The following are donor codes for the main development banks. a. World Bank {IBRD} = 000015 b. Inter-American Development Bank = 000016 c. African Development Bank = 000017 d. Asian Development Bank = 000018 e. Central American Bank for Economic Integration [CABEI] = 000275 Note: If a project has more than one government ministry as a donor, e.g., the ministry of health and ministry of finance, each donor should have its own code. Fund Codes: a. World Bank = 30011 b. Inter-American Development Bank (IDB) = 30021 c. African Development Bank = 30031 d. Asian Development Bank = 30041 e. Central American Bank for Economic Integration {CABEI} = 30061. Note: If a project has more than one loan from the same donor, use the next sequential fund number, e.g., 30021 = IDB loan #1 and 30022 = IDB loan #2. Funds 30071, 30072, 30073, etc. would no longer be used to record Development Bank funds. These fund codes would only be used for government funds that do not originate from Development Banks. However, it is acceptable to use these codes to record Government funds provided in support of Development Bank loans [e.g., payment of General Management Services - GMS - by Government].

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.

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.

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

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.

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.

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

1	Step Plan for continuation of medical care	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes Responsible party is the RR on behalf of UNCT
2	Step Request closure of UN Clinic	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes Responsible party is the RR on behalf of UNCT
3	Step Approve closure of UN Clinic	Responsible Party UN Medical Director	Template/Guideline	Explanatory Notes The UN Medical Director can also initiate this process in consultation with the Resident Representatitve.
4	Step Inform government and UN Medical Directors Group of decision to close a UN Clinic	Responsible Party UN Medical Director	Template/Guideline	Explanatory Notes

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

Step

Pre-certification for medical treatment at UN Clinic

Responsible Party

Template/Guideline

Explanatory Notes

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.

Step

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

Responsible Party

Staff member

Template/Guideline

Explanatory Notes

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.

1	Step Manage inventory of consumables and equipment.	Responsible Party	Template/Guideline	Explanatory Notes Stock should be used on the basis of a first-in/first-out policy. All information relating to the physical inventory of non-expendable equipment covered by the UN Clinic should be reported in Atlas under a separate heading called ‘Medical Equipment'.
2	Step Donate consumable stock if applicable.	Responsible Party	Template/Guideline	Explanatory Notes Medications within the last month before expiry may be donated, after approval of the UN Medical Director, to local health facilities for immediate use. This donation is subject to UNDP rules and procedures and a record kept for audit purposes.
3	Step Prepare inventory report for UNCT on a quarterly basis	Responsible Party	Template/Guideline	Explanatory Notes A detailed inventory of all consumables and non-consumables must be prepared before placing the yearly order.
4	Step Prepare procurement orders promptly when stock is being reviewed or as needed.	Responsible Party , UN Medical Services ( DHMOSH)	Template/Guideline	Explanatory Notes Procurement of medical goods and supplies should be based on the United Nations Clinic Catalogue of Fleischhacker accessible through UNMSD. Purchasing should be standardized as far as possible and done through bulk orders. Genuinely unforeseen requirements, including supplies for new UN Clinics and items that cannot be stocked for long periods, can be requested from the vendor with the approval of the UN Medical Director on an ad hoc basis or can be procured locally, subject to UNDP rules and procedures.
5	Step Clear procurement list.	Responsible Party	Template/Guideline	Explanatory Notes Clearance must be based on the full epidemiological profile of the duty station. Responsible Party: WHO Representative as Chair of the LIACMC
6	Step Obtain agreement of UNCT on recommended procurement list.	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes
7	Step Approve procurement list.	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes
8	Step Procure medical goods and supplies for UN Clinics against the Common Services project.	Responsible Party CO	Template/Guideline	Explanatory Notes Medical goods and supplies should be procured from one or a combination of the following sources: 1. Reputable and approved local, regional, or international vendors, using use the existing LTA with UNDP; 2. UNICEF where a local office exists in the same location; 3. World Health Organization (WHO).
9	Step Ensure funding is available for procurement, operation and subsequent maintenance of non-medical equipment.	Responsible Party CO	Template/Guideline	Explanatory Notes
10	Step Procure non-medical equipment as needed.	Responsible Party CO	Template/Guideline	Explanatory Notes The UNDP Country Office directly procures non-medical equipment e.g. furniture, refrigerators, fans and any other non-medical items) subject to audit and accountability, rules, and procedures.
11	Step Make payment for goods and services according to terms and conditions of procurement.	Responsible Party CO	Template/Guideline	Explanatory Notes Payments must be made with one of the following options: 1. Bank transfers (most preferred option); 2. Checks (least desirable option); or 3. Agency Service Clearing Account via GLJE. In either case, the following must be carefully observed: 1. Bank Transfer: The UNDP Country Office must include all the banking details as provided on the invoice. 2. Agency Service Clearing Account: The description field of the GLJE must refer to the invoice number indicated on the invoice and/or any other reference number. 3. The GLJE must use the following chart fields: GL Account – 54015; Fund – 12000; and Donor – 00006.
12	Step Prepare inventory control report(s).	Responsible Party , CO	Template/Guideline Inventory Management	Explanatory Notes

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Policy Areas

Formalizing private sector partnerships through Pro Bono Agreement

Step

Responsible Party

Template/Guideline

Explanatory Notes

Formalizing private sector partnerships through a Financing Agreement

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Formalizing private sector partnerships through MOU

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

Conducting due diligence for private sector entities

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

Step

Responsible Party

Template/Guideline

Explanatory Notes

Safe Driving Bonus (SDB)

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Quantum Financial Closure Instructions

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step