| United Nations Development Programme

Step

Assess and budget annually support services required from UNDP HQ and country offices in each development project.

Responsible Party

Country Office Project Manager

Template/Guideline

Explanatory Notes

Step

Conduct the workload studies for the office

Responsible Party

Template/Guideline

Guidelines on UNDP Country Office Workload Survey

Guidelines on UNDP Country Office Workload Survey - French

Guidelines on UNDP Country Office Workload Survey - Spanish

Explanatory Notes

WLS template

Step

Include the direct project costs in programme project budgets

Responsible Party

Country Office Project Manager

Template/Guideline

Explanatory Notes

Project document. WLS results.

Step

Update the chartfield distribution of positions in Quantum HCM and position type in Quantum

Responsible Party

Country Office/Position Administrator

Template/Guideline

A guidance note for Atlas position type

Explanatory Notes

Based on WLS results

Guidance for Quantum will be available soon

Step

Create speed charts for staff entitlement expenses that are paid directly through Quantum Payables module (not paid through payroll HCM)

Responsible Party

Country Office Finance unit

Template/Guideline

Explanatory Notes

Based on WLS results

Step

Create speed charts for GOE (post-incumbency expenses such as rent, utilities, communications, supplies) in Quantum Payables module

Responsible Party

Country Office Finance unit

Template/Guideline

Explanatory Notes

Based on WLS results

Step

Revise position chartfield distribution if significant changes occur in service delivery

Revise development project budget to reflect the estimated position costs

Responsible Party

Template/Guideline

DPC implementation report

Explanatory Notes

Total number of positions that are co-funded from management and development funds are reported in DPC implementation report with respective proforma.

Step

Submission of the request for termination of appointment.

Responsible Party

Bureau or Country Office

Template/Guideline

Explanatory Notes

Step

Review of the request.

Responsible Party

OHR Business Partner and Legal Office

Template/Guideline

Explanatory Notes

Review by Legal Office required in all cases.

Step

Approval of the request in section 1.0.

Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline

Explanatory Notes

Approve termination of appointment.

Step

Implementation of the decision.

Responsible Party

OHR Business Partner,

Staff member

Template/Guideline

Explanatory Notes

Notify staff member and prepare Request for Personnel Action.

Receive notification.

Calculation of indemnities.

Implement termination decision.

Step

Submission of application.

Responsible Party

Staff Member, Country Office Management or OHR Business Partner

Template/Guideline

The application for the agreed termination

Country Office Submission

New Calculation

Due Process Tracking

Memo

Explanatory Notes

If eligibility criteria are met, the staff member should submit application through Head of Office/Unit to which he/she is assigned.

Step

Review of application.

Responsible Party

OHR Business Partner

Template/Guideline

Explanatory Notes

Consider the interests of UNDP and takes into account whether criteria are fullfilled:

Review summary prepared by OHR on staff members applying for agreed termination;
Determine in the case of recommendations for approval, the applicable terms and conditions as outlined in policy;
Ensure process followed took place in full and fair consideration of the staff member's applications;
Ensures staff members being selected meet the criteria of the current agreed termination agreements;
Seek any additional information from relevant Bureau/Units or Offices
Seek Bureau Endorsement
Make recommendation to the Assistant Administrator and Director of BMS.

Step

Authorize payment of additional termination indemnities.

Responsible Party

Director, OHR

Template/Guideline

Explanatory Notes

Authorizes payment of additional termination indemnities, in accordance with, and limited to the amounts included in the schedule provided in Annex I.

Step

Decision to terminate the appointment.

Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline

Explanatory Notes

Approves termination of appointment.

Step

Sign Certificate of No Contest (CNC)

Responsible Party

OHR Business Partner, Staff Member

Template/Guideline

Explanatory Notes

Prepare CNC.

Required to sign the Certificate of No Contest (CNC) within two weeks of receipt of notification of approval.

If staff member does not respond within one month of the date of notification of approval or agreed termination, the proposed agreed termination will lapse, and UNDP will initiate termination of appointment as per the UN Staff Rules and Staff Regulations, Annex III for all approvals.

Step

Implementation of approved cases.

Responsible Party

OHR Business Partner,

Staff member

Template/Guideline

Explanatory Notes

For locally recruited staff, prepare Request for Personnel Action to Global Payroll Services.

For International Professional & General Service staff based at Headquarters, prepare RPA to BES/GSSC

Step

Prepare/Review/Update Office/Unit/HQ NY Risk assessment

Responsible Party

BCP focal point

Template/Guideline

Risk Assessment Template

Explanatory Notes

- This includes Country Security Risk Assessment (SRM) prepared and approved by UN Security Management System in country.
- Risk Assessment should be annexed to the BCP.

Step

Prepare/Review/Update Office/Unit/HQ NY Business Impact Analysis (BIA)

Responsible Party

BCP focal point

Template/Guideline

Business Impact Analysis Template

Explanatory Notes

- Identify critical business functions and assess the impact from identified risks along with Recovery Time Objectives (RTO) of critical functions along with necessary ICT tools/equipment to continue these functions;
- Identify essential office/unit/bureau documents; keep hard and soft copies in off-site location/OneDrive;
- This is a collective exercise that is done in consultation with senior management;
- Assessment should be annexed to BCP.

Step

Prepare/review/update Office/Unit/Bureau BCP document

Responsible Party

BCP focal point

Template/Guideline

Business Continuity Planning (BCP) - All Templates

Disaster Recovery Plan Template

Explanatory Notes

- Based on the Risk Assessment and BIA, review/update existing BCP to ensure inclusion of most recent critical function and critical staffing list with alternates and their contact details;
- Pre-identify off-site location to ensure that in the event of an emergency, Office/Unit/Bureau can operate from the alternative site. Necessary power and ICT connectivity is essential including when/if working from home or from another agency office;
- ICT Disaster Recovery Plan is to be prepared.

Step

Share draft BCP with all supporting documents with BMS Directorate

Responsible Party

BCP focal point

Template/Guideline

Explanatory Notes

Via email

Step

BMS Directorate review and provide Office/Unit/Bureau any comments

Responsible Party

Template/Guideline

Explanatory Notes

Via email

Step

Approve/sign off BCP documents

Responsible Party

Head of Office/Unit/Bureau

Template/Guideline

Explanatory Notes

- All supporting documents are to be annexed to the BCP.

Step

Arrange for BCP Test

Responsible Party

Head of Office/Unit/Bureau

Template/Guideline

Business Continuity Management User Guide

Explanatory Notes

- BCP simulation exercise should test the viability of the identified critical functions and procedures in the way that they would be performed in a real crisis/critical incident;
- The test can be conducted to include Office/Unit/Bureau Crisis Management Plan, Business Continuity Plan, and/or ICT Disaster Recovery Plans (i.e. one or several components of the plan);
- Lessons learnt should be drawn from the exercise and the BCP should be modified as necessary.

Step

Upload signed BCP and BCP test report

Responsible Party

BCP focal point

Template/Guideline

BCM platform for internal use only

Explanatory Notes

Step

Submission of the request for termination of appointment.

Responsible Party

Bureau or Country Office

Template/Guideline

Explanatory Notes

Step

Review of the request in section 1.0.

Responsible Party

OHR Business Partner and Legal Office

Template/Guideline

Explanatory Notes

Review by Legal Office necessary in all cases

Step

Approval of the request in section 1.0.

Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline

Explanatory Notes

Approve termination of appointment.

Step

Implementation of the decision.

Responsible Party

OHR Business Partner,

Staff member

Template/Guideline

Explanatory Notes

Notify Staff Member and prepare Request for Personnel Action.

Receive notification.

Calculation of indemnities.

Implement termination decision.

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

Submission and decision.

Responsible Party

Template/Guideline

Explanatory Notes

Please refer to the UNDP Legal Framework for addressing non-compliance with the UN standards of conduct

Step

Implementation of the decision.

Responsible Party

OHR Business Partner

Template/Guideline

Explanatory Notes

Implements termination decision under LO guidance.

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.

Step

Discuss the annual performance and learning and development goals

Responsible Party

Supervisor (initiative) Supervisee (participate, request)

Template/Guideline

See Quantum PMD Module

Explanatory Notes

See guidance on how to prepare for an annual performance planning discussion. In case of matrix reporting, both direct and matrix supervisors should be part of the discussion on annual goals.

In discussing learning and development goals, it is important to have a discussion with the supervisee about their career aspirations so that goals could relate to both current and potential future jobs.

Step

Draft annual performance and learning and development goals based on the discussion; record them in the on-line PMD tool

Responsible Party

Supervisee

Template/Guideline

See Quantum PMD Module

Explanatory Notes

See guidance on setting goals.

Performance goals should include goal statements and more detailed descriptions to clarify expectations and success criteria. Goals should be prioritized to acknowledge that they can be different in terms of importance/criticality and time and effort required.

Performance goals should include a mandatory goal on effective people management for all staff with supervisory responsibilities. This goal is assigned automatically, through a centrally managed process.

Project Managers, Heads of Offices, senior managers in Country Offices, Regional Hubs and HQs and other staff with delegated authority and accountability for budget and financial management should also have a goal on financial management. This goal is assigned automatically, through a centrally managed process, to all RRs and Heads of Offices.

In line with the commitments of the UNDP Gender Equality Strategy and Gender Parity Strategy, managers and staff should include into their performance goals results related to gender equality and gender parity. These individual results should be aligned with and contribute to the specific results/targets that the Bureau/office/unit plans to achieve both in terms of UNDP policy/programmatic response to gender equality and empowerment of women, as well as gender inclusion in the workplace. This goal is assigned automatically, through a centrally managed process, to all Heads of Offices.

All RRs will have a mandatory goal related to their contribution to the UNCT results. It will be assigned to them through a centrally managed process. Additional indicators of success should be discussed with the UN RC, as needed. Other staff should also include such goals as relevant.

Learning and development goals should include goal statements and more detailed descriptions of activities to advance staff development, including increase their proficiency in the UNDP core and technical competency areas.

Learning and development goals may respond to immediate needs for a staff member to be/remain successful in the current job, as well as those that relate to their longer-term career aspirations and plans.

Since goals should be aligned with one's functions, it is important to ensure that Job Descriptions are kept up to date and are reflective of the functions that a staff member is expected to perform.

Step

Approve the annual performance and learning and development goals

Responsible Party

Template/Guideline

See Quantum PMD Module

Explanatory Notes

Approval should be recorded in the on-line PMD tool.

Supervisor can assign additional goals to the supervisee in the PMD tool, as needed, following the discussion.

Step

Ensure that all supervisors in their team approve the annual goals of their supervisees. Find an appropriate solution in case goal plans are not completed for some supervisees

Responsible Party

Supervisor of the supervisor,

Head of Office

Template/Guideline

Explanatory Notes

1	Step Conclude MoU with each UN Agency regulating the overall framework of the relationship.	Responsible Party	Template/Guideline	Explanatory Notes MOUs - UN Partners
2	Step UPL/LPL guidance issued.	Responsible Party BMS/OFRM	Template/Guideline	Explanatory Notes Office of Financial Resources Management - UPL
3	Step Update UPL and LPL tool annually.	Responsible Party BMS/OFRM	Template/Guideline	Explanatory Notes Office of Financial Resources Management - UPL
4	Step Annually update list of Special Development Situation Counties	Responsible Party BMS/OFRM in consultation with Regional Bureaus	Template/Guideline	Explanatory Notes
5	Step Ensure sufficient capacities and resources (staff and office infrastructure) exist to provide timely and quality services.	Responsible Party	Template/Guideline	Explanatory Notes
6	Step Submit the authorized service request through UN Agency Portal	Responsible Party UN Agency	Template/Guideline	Explanatory Notes
7	Step Service pricing mechanism established: UPL and LPL Update LPLs annually using the annual LPL tools from OFM	Responsible Party	Template/Guideline Annual LPL Tool	Explanatory Notes Office of Financial Resources Management - UPL
8	Step Monitor application of UPL rates by COs	Responsible Party Regional Bureaus	Template/Guideline	Explanatory Notes
9	Step Approve deviation from published UPL rates for standard UPL services	Responsible Party OFRM based on RBx clearance	Template/Guideline	Explanatory Notes
10	Step Service is carried out, initial service request in Agency portal is updated to Complete	Responsible Party	Template/Guideline	Explanatory Notes POPP Cost Recovery from Agency at the Country Office Level for detailed procedures
11	Step Revenue lines generated and posted back to Quantum	Responsible Party	Template/Guideline	Explanatory Notes Agency service income is recorded to fund 11302 account 54015 from 2017 onwards. Offices can monitor their actual revenues earned from provisions of SLA/MOU or UPL/LPL services through the Corporate Agency Services Revenue Report
12	Step A local service level agreement (SLA) may be useful in clarifying service provision levels and expectations.	Responsible Party	Template/Guideline	Explanatory Notes
13	Step The service provider and recipient review items in question and promptly resolve any disputes. Unresolved service issues should be referred to BMS/OFM only after several (i.e. at least three) documented attempts to solve them have been undertaken at the office level.	Responsible Party	Template/Guideline	Explanatory Notes

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Policy Areas

Multiple Funding Lines for Positions

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

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Explanatory Notes

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Responsible Party

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Explanatory Notes

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Responsible Party

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Responsible Party

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Explanatory Notes

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Responsible Party

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Explanatory Notes

Facts Anterior

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Responsible Party

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Explanatory Notes

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Responsible Party

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Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Agreed Separation

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

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Responsible Party

Template/Guideline

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Responsible Party

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Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Business Continuity Planning

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline