| United Nations Development Programme

Step

Inform BES/JPOSC HR focal point as soon as possible that the staff member has arrived in the duty station and taken up duty.
(where applicable, confirm arrival of eligible family members.)

Responsible Party

Local HRA / SM’s supervisor / other Agency

Template/Guideline

Explanatory Notes

Local HR Focal point/Supervisor/Other agency must inform the BES/JPOSC HR Focal point that the staff member and eligible family members have arrived at the duty station together with the entry on duty date and the travel dates.

Step

Authorize payment of assignment grant through memo or voucher.

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

UNDP staff assigned to a CO duty station:

BES sends a payment authorization to UNDP Country Office. UNDP Country office processes and releases payment. The authorization specifies the amount of the assignment grant lump sum whereas the amount of the DSA entitlement is determined by the UNDP CO.

UNDP staff assigned to a HQ duty station:

BES/JPOSC raises a voucher and sends it for approval to the budget owner.

For staff members who are reassigned to a new duty station, BES/JPOSC may authorize the lump sum of the assignment grant up to three months in advance at the request of the staff member. The payment will be based on the exchange rate and post adjustment rate applicable on the date of payment. The payment will not be adjusted if there are any fluctuations in exchange rate/post adjustment following payment.

Step

Process payment authorization/Approve voucher.

Responsible Party

Template/Guideline

Explanatory Notes

UNDP country office processes and releases payments through AP voucher. Calculates DSA entitlement using the DSA rate applicable on the day of arrival of the staff member and/or eligible family members. Budget owner approves voucher .

Step

Exception to waive the recovery of settling in grant lump sum, when the period of service at the duty station is reduced to less than one year.

Responsible Party

Template/Guideline

Explanatory Notes

The BES HR Specialist servicing the region has the authority to grant an exception to waive the proration of the lump sum assignment grant if there are compelling and/or compassionate reasons.

Step

Inform BES/JPOSC HR focal point as soon as possible that the staff member has arrived in the duty station and taken up duty. (where applicable, confirm arrival of eligible family members.)

Responsible Party

Local HRA / SM’s supervisor / other Agency

Template/Guideline

Explanatory Notes

Step

Authorize payment of assignment grant through memo or voucher.

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

UNDP staff assigned to a CO duty station:

UNDP staff assigned to a HQ duty station:

BES/JPOSC raises a voucher and sends it for approval to the budget owner.

For staff members who are reassigned to a new duty station, BES/JPOSC may authorize the lump sum of the settling-in Grant up to three months in advance at the request of the staff member. The payment will be based on the exchange rate and post adjustment rate applicable on the date of payment. The payment will not be adjusted if there are any fluctuations in exchange rate/post adjustment following payment.

For staff arriving in New York the DSA portion of the settling-in Grant is paid upon submission of the following copies:

1. Entry visa arrival stamp

2. G-4 visa from passport Completed P.1 form

3. Completed P.1 form

Step

Process payment authorization/Approve voucher.

Responsible Party

Template/Guideline

Explanatory Notes

Budget owner approves voucher for JPOSC staff population (JPOs/SARCs/Swedish Government Secondments.) JPOSC is the budget owner of donor funds. Payments/vouchers approval requests should be sent to JPOSC.Payments@undp.org for verification and approval by JPOSC Finance. For JPOs/SARCs on co-funded arrangement, approval of payment shouldered by the hiring unit, should be solicited from the respective hiring unit.

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

Communications & Consultation

Responsible Party

Risk Owner

Template/Guideline

Explanatory Notes

Engage key stakeholders in risk identification and risk analysis process. Keep the Programme Board, other stakeholders/partners of the CO and the HQ Unit informed on RM processes.

Step

Scope, context and criteria

Responsible Party

Programme Manager/ Resident Representative

Template/Guideline

UNSDCF Guidance

CPD Template

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Integrated in the UN Sustainable Development Cooperation Framework (UNSDCF); Country Programme Document (CPD); IWP of the CO and the HQ Unit

Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk

Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

In consultation with relevant stakeholders, identify major risks for the overall programme objectives and the respective IWP of the CO and the Unit and track in programme/unit Risk Register, during portfolio/project design and twice a year at a minimum during implementation.

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

Evaluate each risk in the Programme Risk Register specific to Country Offices to determine which risks need treatment and must be prioritized, in order to meet the objectives of the respective IWP.

Step

Risk Treatment

Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Implement treatment options. Respond to the escalated risks. Escalate the risks that can't be adequately addressed at the CO and HQ Units to Programme level.

Step

Risk Monitoring & Review

Responsible Party

Risk Owner

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Monitor risks at the frequency that is best fit for the risk and complexity of the Programme/Unit. Update Risk Register on bi-annual basis at a minimum.

Step

Risk Recording and Reporting

Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Record risks in ERM risk Register and Report the CO and HQ Units major risks in their IWP bi-annually and annually in ROAR.

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

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 Issue the first notification to the supervisee of performance shortcomings and initiate the development of PIP. Record the notification in the on-line PMD tool and upload the PIP	Responsible Party	Template/Guideline See template for the Improvement Performance Plan (PIP)	Explanatory Notes The PIP should generally be of at least 3 months, provided sufficient time is available within the supervisee’s contract with UNDP. It should be finalized within 10 working days from the time of the notification.
2	Step Implement improvement measures	Responsible Party Supervisee	Template/Guideline	Explanatory Notes Supervisee is responsible for participating in relevant discussions and implementing required improvements.
3	Step Periodically monitor implementation of agreed activities	Responsible Party	Template/Guideline	Explanatory Notes Supervisor is responsible for providing agreed support, having regular performance discussions with the supervisee, and providing guidance.
4	Step Assess the need for the second PIP	Responsible Party	Template/Guideline	Explanatory Notes
5	Step Issue the second the notification to superviseeof performance shortcomings and initiative the revision/extension of PIP	Responsible Party	Template/Guideline	Explanatory Notes
6	Step If improvement in performance is not achieved in line with the established expectations and within the established timeline, make a recommendation to the Head of the Office re: next steps	Responsible Party	Template/Guideline	Explanatory Notes
7	Step Initiate action in accordance with policy on Separation from Service/Termination of Appointment, in case the recommendation is to separate the staff member from service	Responsible Party Head of Office	Template/Guideline	Explanatory Notes

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.

1	Step Chartfields Create chartfield in Quantum General Ledger.	Responsible Party OFRM/BMS/CFRA	Template/Guideline	Explanatory Notes The only exception is the Project chartfield, which is created in the QuantumProjects and Portfolio Management (PPM).
2	Step Request a new chartfield or make changes to existing chartfields (if necessary). Complete and forward the appropriate QuantumChart of Accounts Maintenance forms with appropriate supporting documentation as indicated on the forms	Responsible Party OFRM/BMS/FBA	Template/Guideline	Explanatory Notes Send the form to cfra.mdm@undp.org Quantum Account code creation forms
3	Step Funds Reviewed any change to the Fund.	Responsible Party OFRM/BMS/FBA	Template/Guideline	Explanatory Notes Quantum fund code creation/modify form
4	Step Ensure that any chartfield trees affected by the change are updated immediately as soon as a change occurs in the Fund chartfield table	Responsible Party	Template/Guideline	Explanatory Notes
5	Step Assign at least one individual responsible for reviewing requests for chartfield changes	Responsible Party Business owner	Template/Guideline	Explanatory Notes The assigned individuals should also be responsible for maintaining and updating related chartfield trees.
8	Step Donor Code Create a Donor Code by setting up a new customer identification code in Quantum Accounts Receivable	Responsible Party	Template/Guideline	Explanatory Notes Send the form to BMS OFM PDI bms.ofm.pdi@undp.org Quantum customer form
9	Step Record contributions from donors using account 51005 and enter the relevant operating unit , cost entre, fund ID and the donor code	Responsible Party	Template/Guideline	Explanatory Notes If the fund code is cost-sharing or project level co-financing, the project ID, project business unit and a default activity should also be entered
10	Step Record expenses using the appropriate expenditure account in the 6xxxx or 7xxxx series.	Responsible Party	Template/Guideline	Explanatory Notes The cost centre ID entered for expenses should be the detailed cost centre ID (not the budgetary cost centre).
11	Step Include chartfields in all expenses without any exception	Responsible Party	Template/Guideline	Explanatory Notes
12	Step Other asset or liability accounts in the 1xxxxx or 2xxxx series should include, as a minimum, the following chartfield values: account, operating unit, fund and cost centre	Responsible Party	Template/Guideline	Explanatory Notes
13	Step Forward the request form to Accounts Division and update the donor tree as soon as a new donor code is created	Responsible Party	Template/Guideline	Explanatory Notes
14	Step Ensure that no duplicate values exist	Responsible Party	Template/Guideline	Explanatory Notes A review of the donor chartfield values should be regularly undertaken to “inactivate” the duplicated values.

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Policy Areas

Repatriation Grant Request

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

Settling-In Grant

Step

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

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

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Managing Portfolio and/or Project-Level Risk (Country, Regional or Global Portfolios and/or Projects)

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