| United Nations Development Programme

Step

Payment in currencies other than United States dollars.

Responsible Party

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

Template/Guideline

Explanatory Notes

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

Step

Adjust or discontinue payment of allowance.

Responsible Party

BES/JPOSC HR Focal point

Template/Guideline

Explanatory Notes

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

Step

Develop Procurement Risk Assessment (PRA), based on project concept note

Keep as a risk log to be regularly monitored and updated

Responsible Party

Head of Programme and Operations Manager

Template/Guideline

Explanatory Notes

Ensure both Programme and Operations are aware of procurement challenges
The form of the PRA should be appropriate to the scale and nature of the project.
Assessment questions include, among others:

Do we know how to procure what the project needs for its successful delivery?
Is there a clear understanding of the procurement process and the particular need of this project?
Do we have the capacity (resources and ability) to procure what the project needs for its successful delivery?
What key risks can we identify from our answers to the previous questions?
What steps must we take to minimize the likelihood of the identified risks occurring and/or to minimize the damage caused should the identified risks occur?

Step

Approve a procurement plan

Responsible Party

Template/Guideline

Quantum

Explanatory Notes

Procurement plans are required for “standard or complex business needs”, a Head of BU has to approve all procurement plans by monitoring requisite report in QUANTUM. All procurement plans (Project and Operations) are established at the activity level in projects in Quantum. Consolidated plans can be viewed and analyzed in Quantum by running the applicable reports.

Step

Categorize the project as having “Complex Business Needs”

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Projects with "Complex Business Needs" are defined as being those that meet one or more of the following conditions:

Total project budget is above US$1 million (or their equivalent in the local currency of the programme country);
Procurement accounts for more than 60% of the total project budget;
The Business Unit's senior management considers the project to be of primary significance to its overall performance, in the current and/or subsequent years; and/or
The nature of the project requires procurement activities that the BU does not have prior experience in, and requires significant quantities of any of the following “high risk” categories:

i. Drugs & Pharmaceuticals

ii. Security Services

iii. Laboratory Equipment & Medical Supplies

iv. Medical kits (when specialized)

v. Contraceptives

vi. Elections Equipment

vii. Consultancy Firm Services

viii. Permanent Structures

ix. Construction Services

x. Technical Studies (when they are highly specialized and could impact downstream work).

Step

Inform PSU of project details

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Projects categorized as having Complex Business Needs require more rigorous procurement planning. In some instances it may be advisable for the Business Unit to contact the Office of Pocurement (OP) to obtain necessary assistance.

Step

Provide guidance to BU

Responsible Party

Office of Procurement/Bureau for Management Services

Template/Guideline

Explanatory Notes

Step

Develop a detailed risk mitigation plan for all individual projects in this category using the Risk Assessment Matrix.

Responsible Party

Programme Manager,

Operations Manager

Template/Guideline

The risk assessment matrix is a tool, developed alongside the policies and the procedures that will allow the risks of a specific project to be identified. The template will be linked to the POPP screen for the initial rollout.

Risk Assessment Matrix

Explanatory Notes

In particular the matrix has been designed to highlight:
- The specific risk that has been identified;
- The consequences of that risk occurring;
- The impact that the risk would have on the performance of the BU;
- The likelihood of the risk occurring;
- The sensitivity of the project to the risk; and
- Proposed solutions for mitigating the likelihood of the risk occurring, and/or the impact the risk would have should it occur.

Step

Ensure the implementation of mitigation plans.

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Step

Prepare a Procurement Plan using corporate web-based planning tool.

Responsible Party

Programme/DRR/Operations Manager/ Head of Procurement

Template/Guideline

Quantum

Explanatory Notes

In particular, Programmes should define key procurement requirements, while Operations should determine appropriate procurement methods.

Use the web-based planning tool for this step.

Step

Review Procurement Risk Matrix and Procurement Plan

Responsible Party

Business Unit Head

Template/Guideline

Explanatory Notes

Step

Based on CO needs, provide guidance to the CO

Responsible Party

Office of Procurement/Bureau for Management Services

Template/Guideline

Explanatory Notes

Step

Approve project for submission to Commitment Control (if necessary steps have been taken to comply with policy and procurement needs have been satisfactorily addressed).

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

Use Finance Module of Quantum.
Regular updates of procurement plans may be necessary when:
1. New funds for the same project are received and programmed;
2. Budget revisions have to be made; or
3. Change or re-alignment of project activities are needed.

Step

Ensure that the BU’s “Consolidated Procurement Plan” shall be updated whenever new projects are approved, and/or when the procurement plans for already approved projects are modified.

Responsible Party

DRR/OM/Head of Procurement

Template/Guideline

Quantum

Explanatory Notes

The online tool provides real time access and updates.

Step

Hold programme / operations joint meetings on a regular basis as appropriate to monitor risks by going through questions of the Procurement Risk Assessment

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

For high-risk procurement

Step

Contact the Office of Procurement for advice and guidance

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

BUs are encouraged to inform the Office of Procurement when projects are categorized as “Complex Business Needs.”

Step

Provide tailored support

Responsible Party

PSU/BMS

Template/Guideline

Explanatory Notes

Step

Review of Procurement Forecasting and Delivery for all projects categorized as “Complex Business Needs”.

Responsible Party

Head of Programme and Operations Manager

Template/Guideline

Explanatory Notes

Office of Procurement /Bureau for Management Services codify case studies to enhance knowledge management on righ-risk and/or high volume procurement.

1.0

Step

Review multi-year workplan for annual planning.

Responsible Party

Project Manager

Template/Guideline

Multi-Year Work Plan

RBM guidance on Annual Planning

Explanatory Notes

Consider using the RBM Guidance to assist with steps in developing the workplan.

2.0

Step

Prepare procurement and HR plans

Responsible Party

Project Manager

Template/Guideline

Quantum

Explanatory Notes

Procurement plans are required for “standard or complex business needs”, the Head of BU has to approve all procurement plans by monitoring requisite report in Quantum. All procurement plans (Project and Operations) are established at the activity level in projects in Quantum. Consolidated plans can be viewed and analyzed in Quantum by running the applicable reports.

Step

The Contract Management Module is designed to automate contract management and enable colleagues working in programme and operations to better track and manage contracts.

Responsible Party

Template/Guideline

Quantum

Explanatory Notes

1	Step Flowchart - Medical Insurance: UN NY Aetna Medical Insurance	Responsible Party	Template/Guideline Flowchart - Medical Insurance: UN NY Aetna Medical Insurance HR_Insurance Plans_Aetna NY Medical Insurance Flowchart	Explanatory Notes
2	Step Enrollment of staff: Application/Request for Change Form completed and submitted together with supporting documents in respect of staff member’s participation, including his/her eligible family members, where relevant	Responsible Party Staff member	Template/Guideline	Explanatory Notes Staff members who have no insurance coverage under a United Nations plan or through a family member must be strongly urged to obtain medical insurance coverage for themselves and their eligible family members, as the cost of medical care can result in financial hardship for individuals who fall ill and/or injured and have no coverage If staff member or eligible family members are not enrolled within 31 days after an event that gives rise to an entitlement for coverage, an application for coverage may be submitted during the annual enrollment campaign. See UN ST/IC/2014/15 In the case of a staff member married to another staff member, the insurance coverage, whether at the two-person or family level, must be carried by the higher salaried staff member Education of staff about the provisions under the insurance plan and distribution of materials by the person most familiar with the scheme is absolutely necessary If an office administers personnel on behalf of another agency, the same rules procedures for UNDP staff must be followed
3	Step Enrollment of staff: The completed application for enrolment form is certified and submitted to Insurance and Disbursement Services within 31 days of eligibility for the entitlement	Responsible Party BES/GSSC	Template/Guideline	Explanatory Notes The administration of this category of employees is centralized in the Benefits & Entitlements Services Unit in GSSC/BES The UN Health and Insurance Unit administers the workflow of enrollment and reporting directly with the insurance carrier on behalf of UNDP
4	Step Enrollment of staff: Staff member records in Quantum are validated, contributions are computed, and coverage is activated	Responsible Party UN Insurance Unit	Template/Guideline	Explanatory Notes
5	Step Managing eligibility data in Quantum: Data on enrollment form is verified and validated and any change in coverage is processed into Quantum promptly	Responsible Party , UN Insurance Unit	Template/Guideline	Explanatory Notes
6	Step Issue ID card: Identity cards are issued to the staff member and eligible dependent(s)	Responsible Party	Template/Guideline	Explanatory Notes It is the responsibility of the staff member to ensure that the correct mailing address is submitted. Incomplete or incorrect mailing addresses in Quantum will result in misdirected mail or failure to receive important information
7	Step Claims: Insurance Claims are submitted on a claim form directly to the insurance carrier in a sealed envelope together with supporting documents, following the instructions on the claim form	Responsible Party Staff member	Template/Guideline	Explanatory Notes Subscribers should note that claims for reimbursement must be submitted to the insurance carrier no later than two years from the date on which the medical expense was incurred. Claims received later than two years after the date on which the expense was incurred will not be eligible for reimbursement. The administration and management of the health insurance plans for internationally recruited staff governed by the UN Staff Regulations and Staff Rules are administered by the UN Health and Life Insurance Unit. Any questions/queries on the provisions under the plan or any disputes regarding claims must be submitted directly to this unit, located at 304 East 45th Street, 3rd floor.
8	Step Verification and reimbursement of claims: Insurance carrier reimburses staff member directly	Responsible Party	Template/Guideline P-2 Form Designation of Beneficiaries HR_Insurance Plans_Designation, Change or Revocation of Beneficiary Form P-2	Explanatory Notes Payment is made to the insured person, but, if the subscriber is no longer alive, payment will be made to his/her beneficiary as per P-2 Form Designation of Beneficiaries
9	Step Request a review if a claim is denied: A claim denied in whole or in part must be submitted to the insurance carrier. The insurance carrier will provide the subscriber with a written notice explaining the reason for the denial and the appeal procedure	Responsible Party Staff member,	Template/Guideline	Explanatory Notes The request for review must be submitted in writing within 60 days of receipt of the notice. The subscriber should include the reasons for requesting the review and submit the request to the insurance carrier. The insurance carrier will review the claim and ordinarily notify the subscriber of its final decision within 60 days of receipt of the request. If special circumstances require an extension of time, notification will be given to that effect.

1.0

Step

Prepare the annual report of the Administrator on the Strategic Plan.

Responsible Party

Template/Guideline

RBM guidance on ROAR

Explanatory Notes

Consider using the RBM Guidance to improve the ROAR Responses.

2.0

Step

Contribute to the One UN country results report.

Responsible Party

Template/Guideline

Explanatory Notes

3.0

Step

Ensure complete, accurate, timely and quality Results-Oriented Analysis Report and Ensure Integrated Results and Resources Framework progress data.

Responsible Party

Template/Guideline

Evaluation Inception Report

UNDP Evaluation Report

Audit Trail Form

Management Response Template

Explanatory Notes

Results-Oriented Analysis Report and IRRF reporting should be drawn from UNDP’s contribution to the One UN country results report, to the extent possible.

UNDP Evaluation Guidelines:

Evaluation Inception Report (page 22-23)
UNDP Evaluation Report (page 49-53)
Audit Trail Form (page 25)
Management Response Template (page 54)

1.0

Step

Make funds available to the project/portfolio.

Responsible Party

UNDP Programme Officer

Template/Guideline

Quantum Financials Module

RBM guidance on Deliver Results

Explanatory Notes

Refer to Financial Management and Implementation Modalities on the provision of financial resources. Progress/financial reports will form the basis for continued funds availability.

Consider using the RBM Guidance to assist with the delivering results.

2.0

Step

Mobilize inputs to initiate activities and deliver outputs.

Responsible Party

Project Manager,

Portfolio Manager

Template/Guideline

When UNDP carries out procurement, the online Quantum system should be used.

See Use of Online Quantum System policy and procedures in the POPP

Online Quantum System

Explanatory Notes

See the Financial Management and Implementation Modalities. For detailed procedures related to input mobilization for a directly implemented project, see Procurement and Human Resources Management in the Programme and Operations Policies and Procedures.

3.0

Step

Perform oversight functions through periodic on-site spot checks, and scheduled audits included in the assurance activity plan.

Responsible Party

UNDP Programme Officer,

Third-party service provider

Template/Guideline

TORs for periodic spot-checks: see Appendix IX and X, UNSDG HACT Framework

Specimen Terms of Reference for NGO/NIM/HACT Financial Audits

OAI Portal: NGO/NIM/HACT Financial Audits

Evaluation Managers Roles and Responsibilities

Monitoring and evaluation focal points roles and responsibilities

Charter of the Office of Audit and Investigations

RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight

Explanatory Notes

Harmonized Approach to Cash Transfers (HACT)

The Office of Audit and Investigations conducts audits in alignment with the International Standards for the Professional Practice of Internal Auditing, as issued by the Institute of Internal Auditors.

The HACT, NIM and NGO audit terms of reference require auditors to follow either ISA or INTOSAI auditing standards.

The RACI (Responsible, Accountable, Consulted and Informed) Matrix for GEF Projects Oversight details the oversight roles and accountability for GEF-funded projects.

*See HACT policy for clearance by Bureaus for staff to carry out spot checks.

4.0

Step

Update the multi-year workplan.

Responsible Party

Project Manager,

Portfolio Manager

Template/Guideline

Multi-Year Workplan

Portfolio Multi-Year Workplan

Explanatory Notes

Online Quantum system

1.0

Step

Complete Independent Country Programme Evaluation (ICPE).

Responsible Party

Independent Evaluation Office Director

Template/Guideline

RBM guidance on transitioning programmes

Explanatory Notes

The ICPE must be considered in the development of the new programme and submitted to the Executive Board along with the new CPD for approval.

Consider using the RBM Guidance to improve the transition of country programmes.

ALT

Step

If no independent country programme evaluation is completed, prepare a Country Programme Performance Summary.

Responsible Party

Template/Guideline

Country programme performance summary

Explanatory Notes

The country programme performance summary is submitted to the Executive Board in lieu of an independent country programme evaluation.

ALT

Step

For regional programmes, complete an independent evaluation.

Responsible Party

Independent Evaluation Office Director

Template/Guideline

Explanatory Notes

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

Inform supervisor and leave monitor as soon as possible of absence due to illness/family emergency.

Responsible Party

Staff member

Template/Guideline

Explanatory Notes

Staff member must inform the office immediately that he/she will be absent from the office due to illness/family emergency.

All staff members are expected to familiarize themselves with the sick leave policy and other relevant leave entitlements, and are responsible for providing copies of the required specific documents for attendance recording purposes.

Step

Submit request for uncertified sick leave (USL) in Quantum self-service (absence module).

Responsible Party

Staff member

Template/Guideline

Explanatory Notes

Verify uncertified sick leave balance prior to submitting request.

Initiate a leave request in Quantum self-service.

Select “Uncertified Sick Leave” and, depending on the reason, select

(1) ”Uncertified Sick Leave” OR

(2) “Uncertified sick leave/Family Emergency”

Staff members can use a maximum of seven consecutive or cumulative working days for illness (without medical certificate) or family emergencies during the annual leave cycle, i.e., 1 April one year to 31 March the following year.

Record USL in Quantum self-service no later than on the 1st day upon return in the office.

Step

Ensure leave is appropriately recorded in Quantum self-service.

Responsible Party

Template/Guideline

Explanatory Notes

The request for uncertified sick leave due to illness is automatically approved in Quantum. Supervisor and leave monitor will be notified of approval. However, if the leave type selected is family emergency, supervisor’s approval is required.

If leave is not recorded in Quantum, supervisor/leave monitor requests the staff member to submit uncertified sick leave in Quantum on the 1st day upon return from leave.

Number of days of uncertified sick leave (illness/family emergency) taken is automatically monitored in Quantum. Staff member will not be allowed to request uncertified sick leave in excess of seven days.

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Policy Areas

Modalities of payment and adjustment to all Allowances

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Procurement Forecasting and Delivery Procedures

Step

Responsible Party

Template/Guideline

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Responsible Party

Template/Guideline

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Explanatory Notes

Annual Planning (Projects)

Step

Responsible Party

Template/Guideline

Explanatory Notes