| United Nations Development Programme

Step

Submission of signed Relocation Grant Attestation to HR focal point with BES or JPOSC

Responsible Party

Staff

Template/Guideline

Relocation Grant: Staff Member Attestation

Explanatory Notes

With the Lump Sum arrangement, the staff member is not required to submit documentary evidence as proof of having made a shipment or shipments.
The Lump Sum is not adjusted due to changes in family status
One is not entitled to the lump sum option for appointment/reassignment within the country of the duty station
Duplication of entitlements are avoided. e.g. if a relocation shipment lump sum is paid by another organization upon separation and the staff member has received an offer from UNDP at the time then UNDP will not issue a relocation shipment lump sum.

Step

For staff going to or leaving a country office:
Issue authorization for payment of Relocation Shipment Lump Sum or Shipping arrangements if exceptional organization assisted shipment

Responsible Party

Template/Guideline

Explanatory Notes

The payment or authorization is issued upon medical clearance and prior to travel.

Step

Issue and approve voucher payment of relocation shipment lump sum

Responsible Party

Finance focal point in country office/budget owner

Template/Guideline

Explanatory Notes

The voucher is raised upon receipt of the authorization from the HR focal point in BES/JPOSC as well as vendor information from Staff Member.

Step

For staff leaving HQ and other agencies:
Issue voucher and approval of voucher in Atlas

Responsible Party

Template/Guideline

Explanatory Notes

Step

Shipment Organized by UNDP:
TS is authorized to organized the shipment from locations where there are no UNDP office, from USA and when split shipment.

Responsible Party

Template/Guideline

PT. 78 Form (Itemized Valued Inventory of Personal Effects/Insurance Claims Procedure)

Explanatory Notes

Please use PT 78 form.

Step

Consider whether intended content is appropriate for prescriptive content (policy), or other forms of content (technical guidance, position papers, etc.)

Responsible Party

Content Owner

Template/Guideline

Managing prescriptive content: UNDP working definitions

Explanatory Notes

See the definitions of different kinds of content

Step

Check whether there is similar content, and consider whether this is revision of an existing policy (policies) or a completely new policy.

Responsible Party

Content Owner

Template/Guideline

Explanatory Notes

For the amendment of existing policies, please see procedure on “Amendment of Existing Policies” below.

Step

Consult with other offices and BMS/Directorate to ensure consistency in formulating a policy and identify paragraphs in relevant policies that should be refined, and policies to be retired.

Responsible Party

Content Owner

Template/Guideline

Explanatory Notes

Step

Draft a policy and corresponding procedures (content).

Responsible Party

Content Owner

Template/Guideline

Explanatory Notes

Step

Solicit comments through internal professional networks and groups as appropriate.

Responsible Party

Content Owner

Template/Guideline

Explanatory Notes

Step

Submit the new content to the Organizational Performance Group (OPG) for review and approval.

Responsible Party

Content Owning Bureau

Template/Guideline

Explanatory Notes

Ensure the content is principle-based and as brief as possible.
Any details and technical guidance should be captured in the procedures table.

Step

(Once approved) Arrange translation into Spanish and French

Responsible Party

Content Owner

Template/Guideline

Explanatory Notes

Subject to resource availability. Legal templates or documents, which require to be signed by third parties will be prioritized.

Step

Determine whether the content has to be password protected only when required from security perspective.

Responsible Party

Director, Bureau for Management Services

Template/Guideline

Explanatory Notes

In principle, all POPP content should be public, except for security reasons such as ICT security and physical security.

Step

Submit the content for publication.

Responsible Party

Content Owning Bureau

Template/Guideline

Explanatory Notes

Provide a summary of the update for the “Latest updates” section of the policy page and for the “What’s new” page. For guidance, please contact BMS/Directorate.

Step

Publish the content.

Responsible Party

BMS/Directorate POPP Focal Point for Content Owning Bureau

Template/Guideline

Explanatory Notes

Step

Regularly communicate the new content to country offices.

Responsible Party

Content Owning Bureau

Template/Guideline

Explanatory Notes

BERA to support as required.

1	Step Review the scope and content of amendment.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes Straightforward changes involve: Incorporation of new/updated UN regulations, rules and decisions. Alignment with existing UNDP policies, processes, tools and practices to ensure coherence. Editorial changes involve: Refinement of language for ‘clarification’ purposes. Update of outdated links and reference sources. Substantive changes involve: Changes with significant financial and/or strategic implications to UNDP which introduce new concepts, roles or processes. For substantive changes to existing policies, please follow the procedure on preparation of new policies.
2	Step Consult with other offices and BMS/Directorate to ensure consistency in formulating a policy and identify paragraphs in relevant policies that should be refined, and policies to be retired.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes
3	Step Ensure that any changes are also reflected in other languages translated.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes
4	Step The policy focal point for each content owning bureau keeps track of what policies have been amended and updated.	Responsible Party Content Owner	Template/Guideline	Explanatory Notes
5	Step Ensure standardization of format.	Responsible Party BMS/Directorate	Template/Guideline	Explanatory Notes
6	Step Submit a clean version of the amended policy approved for publication.	Responsible Party Content Owning Bureau	Template/Guideline	Explanatory Notes Provide a summary of the amendment for the “Latest updates” section in the policy page and in the “What’s new” page. For guidance, please contact BMS/Directorate.
7	Step Publish the approved content and update the “What’s new” page in the POPP.	Responsible Party BMS/Directorate POPP Focal Point for Content Owning Bureau	Template/Guideline	Explanatory Notes
8	Step Regularly communicate the updated content to country offices.	Responsible Party Content Owning Bureau	Template/Guideline	Explanatory Notes

Step

Communications & Consultation

Responsible Party

Risk Owner

Template/Guideline

Explanatory Notes

Engage key stakeholders in risk identification and risk analysis process. Keep the Portfolio and/or Project Board and other stakeholders/partners informed on RM processes at the portfolio and/or project level.

Step

Scope, Context and Criteria

Responsible Party

Portfolio Developer, Project Developer, Portfolio Manager or Project Manager

Template/Guideline

Project Document Template

Portfolio Document Template

Portfolio and/or Project Risk Register

Explanatory Notes

Integrated in Programme and/or Portfolio Document, Project Document, Multi-Year Work Plan.

Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk

Responsible Party

Portfolio Developer, Project Developer, Portfolio Manager or Project Manager,

Portfolio Manager and/or Project Manager

Template/Guideline

Portfolio/Project Risk Register

Explanatory Notes

Assess risks during Portfolio/Project Design and as often as needed during implementation, once a year at a minimum. Track in Risk Register.

In consultation with relevant stakeholders, identify major risks for the portfolio/project objectives.

Analyze likelihood and impact of the portfolio/project risks by applying the ERM Criteria Model and record in Risk Register.

Evaluate each portfolio/project risk to determine which risks can be accepted and which risks require a priority treatment in order to meet portfolio/project objectives and avoid harm.

Step

Risk Treatment

Responsible Party

Portfolio/Project Developer or Portfolio/Project Manager

Template/Guideline

Portfolio/Project Risk Register

Explanatory Notes

Identify risk treatment measures in Risk Register during portfolio/project design, prior to portfolio/project approval.

During implementation, update/confirm risk treatment measures to address changes in context, new information and new risks, as necessary and based on Step 4. Implement identified risk treatment measures. Escalate/transfer the risks that meet any of the escalation conditions to the applicable line management.

Step

Risk Monitoring & Review

Responsible Party

Risk Owner

Template/Guideline

Portfolio/Project Risk Register Template

Explanatory Notes

Monitor and review risks at the frequency that is best fit for the risk and complexity of the portfolio/project. Update Risk Register once a year at a minimum.

Step

Risk Recording and Reporting

Responsible Party

Portfolio/Project Manager

Template/Guideline

Portfolio and Project Risk Register

Explanatory Notes

Risks are to be recorded in ERM Risk Register and risk reporting is integrated in agreed portfolio/project reporting cycle, once a year at a minimum. Portfolio/Project risks presented to the Portfolio/Project Board.

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.

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: Responses to a set of questions regarding the supervisee’s performance and competency proficiency, and narrative comments 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

1	Step Projection of Cost Recovery Incomes and spending from GMS, Agency Services and other revenues (AA fees and other miscellaneous income) are included in IWP and reviewed at Cost center level.	Responsible Party	Template/Guideline Corporate Planning System	Explanatory Notes
2	Step Institutional budget resources from cost recover income and spending plans are reviewed and approved.	Responsible Party Executive Group	Template/Guideline	Explanatory Notes
3	Step ASLs issued to cost centers and units.	Responsible Party	Template/Guideline	Explanatory Notes Use Quantum queries - to be developed (Previous Atlas query : UN_KK_BudJOURNAL_SUMMARY) Refer to annual Internal Resource Allocation guidelines to Cost Centers
4	Step Funds are expended with the issued ASL in accordance with the annual guidelines on Institutional Budget.	Responsible Party	Template/Guideline	Explanatory Notes Quantum query yet to be developed (Previous ATLAS query - UN_Resource_overview_acct_lv)

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

Step

Submitting a letter of inquiry

Responsible Party

Template/Guideline

Explanatory Notes

This is the most common method preferred by foundations and can sometimes be accompanied by a project submission.

Many foundations accept letters of inquiry on an ongoing basis while others set specific submission deadlines.

Step

Submitting project proposal - foundations often invite organizations to submit proposals following a successful review of a letter of inquiry

Responsible Party

Template/Guideline

Explanatory Notes

A direct request for proposal may also occur in instances where a foundation is initially approached informally and, upon expressing interest regarding a proposed project idea.

Step

Informal approaches – in cases where there is significant partnership potential and foundations only support pre-selected organizations

Responsible Party

RR focal points, and Directors of initiating business unit

Template/Guideline

Explanatory Notes

Informal approaches and efforts to establish and maintain good rapport, can often open doors to the possibility for future collaborations with a foundation.

1	Step Flowchart - MIP process	Responsible Party	Template/Guideline Flowchart - MIP process	Explanatory Notes
2	Step Enrollment of staff: MIP 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 MIP Application/ Request for Change Form	Explanatory Notes Education of staff about MIP 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 for MIP purposes, the same rules procedures for UNDP staff must be followed
3	Step Enrollment of staff: Staff member and eligible dependents (where relevant) are enrolled in MIP in Quantum.	Responsible Party	Template/Guideline	Explanatory Notes In addition to ensuring the correct payroll calculation of these elements, the data entry process is also critical for reporting purposes and for the timely and accurate payments of MIP reimbursement claims
4	Step Managing eligibility data in Global Payroll: Data on enrollment form is verified and validated and any change in coverage is processed into Quantum promptly	Responsible Party	Template/Guideline	Explanatory Notes
5	Step Eligibility Data: Reviews and validates eligibility data in the system and transmits file to claims administrative company	Responsible Party MIP HR Technical Support	Template/Guideline	Explanatory Notes A technical interface uploads enrollment and eligibility data from Quantum and the claims administration company (TPA)
6	Step ID Cards: Uploads eligibility data; issues ID cards; and communicates exceptions, if any, to HR Technical support	Responsible Party	Template/Guideline	Explanatory Notes
7	Step Claims: MIP claims are submitted through the online Claiming tool in a sealed envelope containing the MIP Refund Claim form and supporting documents directly to the company that administers MIP, following the instructions on the claim form	Responsible Party Staff member	Template/Guideline MIP Refund Claim form	Explanatory Notes Effective January 2004, UNDP outsourced the administration of MIP claims to an independent administration brokerage company. The TPA company is responsible for administering MIP claims and for ensuring compliance by subscribers with the MIP rules and avoiding unreasonable or abusive use of the plan.
8	Step Reimbursement of claims: Claims are verified and processed as follows: - If the claim fully meets requirements, a payment instruction is processed through interface between the TPA and UNDP and a Statement of Benefits is sent to the staff member - If the claim does not meet requirements, a notification and/or request for further information/documentation is sent to the staff member	Responsible Party Claims Administration Company	Template/Guideline P-2 Form Designation of Beneficiaries	Explanatory Notes Payment of claims is made through an interface between the claims administration company and Quantum. Payment that goes through this interface will not indicate the nature of the medical services provided. 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. Patient confidentiality will be protected as any MIP.
9	Step Payments: The payment instruction file received from the MIP Administration Company (TPA) is uploaded into system and an instruction is sent to UNDP to effect payment	Responsible Party MIP HR Technical Support	Template/Guideline	Explanatory Notes
10	Step Payments: Vouchers are uploaded, payments are processed and staff member is notified	Responsible Party	Template/Guideline	Explanatory Notes In order to effect prompt and timely payment, staff member must be properly set up as a vendor in Quantum

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Policy Areas

Relocation Shipment

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

Preparation of new policies (including identification of retiring policies and translation)

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Amendment of existing policies

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes