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Electronic Signatures Solution (Internal)

1
Step

Create a user map of all internal users who will interact with electronic signatures

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The CO’s need for electronic signatures depends upon the current status of all internal users. Internal users will change, as will their technical solutions. 

 

2
Step

Understand where the current electronic signatures solutions are compatible with and acceptable to internal partners.

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

Review of the current e-signatures solutions and their use will provide an update on status and gaps when compared to the users of electronic signatures. 

 

3
Step

Compare new or current solutions with the authenticity and integrity requirements of the electronic signatures policy (Corporate and Regional LTAs), and with the list of existing and emerging corporate systems and solutions for electronic approvals.

 
Responsible Party

Operations Manager/IT Manager,

Procurement

Template/Guideline

Electronic Signatures Policy

List of UNDP Systems and Tools for Electronic Records and Approvals

Explanatory Notes

It’s important to ensure that the solutions are compatible with the policy and that the list of existing and emerging corporate systems, and solutions for electronic approvals has been considered.

 

4
Step

Compare new or current solutions with the other policies mentioned in the electronic signatures policy

 
Responsible Party

Operations Manager

Template/Guideline

Information Security Policy

Internal Control Framework

Electronic Signatures Policy

UNDP Standards for IT Infrastructure and Services

Explanatory Notes

It’s important to ensure that the solutions are compatible with IAW POPP Policies, existing UNDP infrastructure and recommended solutions


 

5
Step

Based on the results of the review, technological solutions can either be used or replaced with more appropriate solutions

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

Ensure that technical solutions are kept current. 

 

6
Step

Complete a brief report on the review and repeat this procedure at least annually

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The report should be filed for auditing purposes. 

 

7
Step

Communicate new procedure and technological use

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The system will only work if users know how to use it. It’s important to spend time training staff and communicating the electronic signature solution. 


 

Electronic Signatures Solution (External)

1
Step

Create a user map of all external partners who will require, or potentially require, electronic signatures

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The CO may need to interface with an external partner in using e-signatures on electronic documents. 

 

2
Step

Determine whether current UNDP electronic signatures solutions are compatible with and acceptable to external partners.

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

Review of the current e-signatures solutions and their use will provide an update on status and gaps when compared to the users of electronic signatures. 

 

3
Step

Compare new or current solutions with the authenticity and integrity of the electronic signatures policy (Corporate and Regional LTAs for e-signatures) and with the list of existing and emerging corporate systems and solutions for electronic approvals.

 
Responsible Party

Operations Manager/IT Manager,

Procurement

Template/Guideline

Electronic Signatures Policy

List of UNDP Systems and Tools for Electronic Records and Approvals

Explanatory Notes

It’s important to ensure that the solutions suit and comply with the policy, and that the list of existing and emerging corporate systems, and solutions for electronic approvals has been considered.

 

4
Step

Compare new or current solutions with the other policies mentioned in the Electronic Signatures Policy

 
Responsible Party

Operations Manager

Template/Guideline

Information Security Policy

Electronic Signatures Policy

Minimum Standards for ICT Infrastructure and Technology

Explanatory Notes

It’s important to ensure that the solutions suit and comply with existing POPP Policies.

 

5
Step

Based on the results of the review, technological solutions can either be used or replaced with more appropriate solutions

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

Ensure that technical solutions are kept current and meet the technical requirements for electronic signatures. 

 

6
Step

Complete a brief report on the review and repeat this procedure annually

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The report should be filed for auditing purposes. 

 

7
Step

Communicate new procedure and technological use

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The system will only work if users know how to use it. It’s important to spend time training staff and communicating the method for employing electronic signatures. 

 

Selection Procedures for Candidate Pool Positions

1
Step

Establishment of an Annual Rotation Catalogue of vacancies
Responsible Party

OHR/BMS

Template/Guideline

Mobility Policy

Explanatory Notes
  • Based on the established tour of duty for rotational positions (as guided by the ICSC hardship classification of duty station and relevant UNDP policies), OHR/BMS in consultation with the Regional Bureaux, will establish an Annual Rotation Catalogue of positions.
  • OHR/BMS facilitates update of post profiles of confirmed vacancies by the respective Regional Bureaux.
  • Director OHR/BMS informs staff members who are due to rotate during the year and whose positions will thus be advertised as part of the Annual Rotation Exercise.
  • Bureau Director request OHR/BMS to review position classifications if needed.

2
Step
Vacancy Announcement and Application Process 
Responsible Party

OHR/BMS Staff

Template/Guideline

Mobility Policy

Explanatory Notes
  • Vacancies in the Catalogue will be advertised for 3 weeks among the members of the Candidate Pools.
  • Interested and eligible candidates will be invited to express their interest in up to 25% of vacancies in the Catalogue (maximum 6 positions).
  • To be eligible to apply, candidates should be members of the relevant Candidate Pools (members of the RR pool can apply to DRR positions)
In considering their applications, candidates must take into account the following:
  • In line with the objective of building a strong senior management cadre of staff able to effectively serve in various UNDP offices, countries and development/humanitarian environments, candidates, over the course of their career, will be encouraged to apply for and serve in positions in:
    • countries of different types (e.g. middle-income countries, countries in special development situation, etc.);
    • duty stations with different hardship levels (A, B, C, D, E);
    • countries in different regions.
  • In their applications, candidates will be required to indicate the order of preference of the positions they are applying for. They will also have the option to indicate their willingness to be assigned to any available positions in the Catalogue.
  • Staff members who are currently serving in the positions included in the Catalogue may apply for other rotational positions, or any other positions available in the Organization that they are suitable for. The selection processes for the latter will be undertaken outside of the ARE.  

3
Step
Review of Applications and development of shortlists
Responsible Party

OHR/BMS Bureau management

Template/Guideline

Mobility Policy

Explanatory Notes
The shortlisting of the applicants and establishment of a list of shortlisted candidates for each position will be carved out by corporate shortlisting panels to be established for this purpose by OHR/BMS. Shortlisting will be conducted based on the criteria established for the selection exercise.
  • To ensure corporate approach, corporate shortlisting panels will include a designated representative of the 'hiring Bureau', 1-2 designated representatives of other Bureaux and 1 representative from OHR/BMS. All Bureau representatives should be at D1 level and above for RR positions, and P5 level and above for DRR and other positions. OHR/BMS representative should be at the P5 level and above.
  • Upon the closure of the application period, OHR/BMS will compile the lists of applicants for all positions and provide relevant documentation and information to the panel members.

4
Step
Presentation of the shortlists  
Responsible Party

OHR/BMS

Template/Guideline

Mobility Policy

Explanatory Notes
  • Based on the results of the corporate shortlisting panels, OHR/BMS will prepare the Annual Rotation Exercise (ARE) documentation packages and submit them to the respective Corporate Selection Committees.
  • The documentation package will include, among others:
  • ranked shortlists with the comments of the shortlisting panels;
  • lists of all candidates who applied for each of the positions;
  • summary profiles of the candidates.
    		•

    5
    Step
    Selection recommendations 
    Responsible Party

    Corporate Selection Committees

    Template/Guideline

    Mobility Policy

    Explanatory Notes
    The Corporate Selection Committees will review the shortlists and recommend selections to be submitted to the Administrator (for the RR positions) and to the Associate Administrator (for the DRR positions) for approval.

    6
    Step
    Selection decision 
    Responsible Party

    The Administrator,
    Template/Guideline

    Mobility Policy

    Explanatory Notes
    The Administrator and Associate Administrator will review and decide on the recommendations. Some recommendations may require re-consideration, in which case the respective Corporate Selection Committee will be convened again.

    7
    Step
    Implementation of the reassignments
    Responsible Party

    OHR/BMS

    Template/Guideline

    Mobility Policy

    Explanatory Notes
    Once the final decisions are taken by the Administrator or Associate Administrator, OHR/BMS will communicate with the selected candidates and inform them of the decisions.

    Government Contributions from Net Contributing Countries (NCCs) and High Middle-Income Countries (High-MICs)

    1.a.
    Step

    Estimate annual minimum contributions from host government

     
    Responsible Party

    CO Regional Bureaux

    Template/Guideline
    Explanatory Notes

    Refer to an illustrative computation template in paragraph 11 of the policy

     

    Support will be provided by OFM and Regional Bureau.

     

    1.b.
    Step

    Perform biennial updates in income status for the programme countries

     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    Biennial updates in income status for the programme countries can be found here.
     

    2.
    Step

    Inform and negotiate annual contributions with host government 

     
    Responsible Party

    CO Regional Bureaux

    Template/Guideline
    Explanatory Notes

    A letter from UNDP Resident Representative to the host government.

     

    Annual contributions from host governments are normally made through exchange of letters based on SBAA.


    But some countries have signed agreements for their annual contribution to local offices. These agreements are available from UNDP HQ: RBx, LSO and OFM.
     

    3.
    Step

    Submit a request via UNALL to create a master contract  for expected contribution
     
    Create annual contract for host government contribution
     
    Responsible Party

    CO,
    Template/Guideline
    Explanatory Notes

    Cash payments from host governments are applied to the respective year’s master contract.

     

    4.
    Step

    Receive contributions and submit a request through UNALL.
     
    Send “Thank you” letters to host governments.

     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    COA
    High-MIC and NCC fund – 11303
    Account  51016 – current year and arrears
     
    Prepaid for multi-year
    Fund 11303
    Account 51017
     

    (to be reversed in the subsequent years to 51016 by GSSU upon CO request)
     

    5.
    Step

    Apply cash payments  to a revenue event
     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    6.
    Step

    Report annually to UNDP stakeholders and UNDP Executive Board
     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    UNDP financial statements, The United Nations Board of  Auditors


    The Documents for The Executive Board sessions, Annual review of Financial Situation, table 4

     

    7.
    Step

    Report to UNDP Executive Board through Integrated Budget
     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    Integrated budget documents

     

    Programme Revision

    1.0
    Step

    The proposed changes are tracked in the programme documentation in consultation with the programme board and appraised with key stakeholders.
    Responsible Party
    Template/Guideline

    RBM guidance on Manage Change in Programmes

    Explanatory Notes

    Required supporting documentation:

    • Copy of minutes of programme board, agreeing to the changes.
    • Revised programme documentation, with changes tracked.

    Consider using the RBM Guidance to improve the way that programmes manage change. 

    2.0
    Step

    Details of the programme amendments are submitted to the Bureau Director.
    Responsible Party
    Template/Guideline
    Explanatory Notes

    3.0
    Step

    The Bureau Director, in consultation with the Executive Board Secretariat and the BPPS Effectiveness, reviews the quality of proposed changes and advises on suitable action.
    Responsible Party

    Bureau Director, Headquarters programme appraisal committee secretariat

    Template/Guideline
    Explanatory Notes

    4.0
    Step

    Programme revisions that do not require Executive Board approval are approved following incorporation of feedback and endorsement by the programme board.
    Responsible Party
    Template/Guideline
    Explanatory Notes

    4.0 ALT
    Step

    Programme revisions requiring Executive Board approval are submitted to the Executive Board Secretariat by the relevant bureau through the Effectiveness Group in BPPS.
    Responsible Party

    Bureau Director,

    BPPS/Quality Programming Team

    Template/Guideline

    New Country Programme Clearance Form

    Explanatory Notes

    Required supporting documentation:

    • Signed clearance form with reason for revision
    • Copy of minutes of programme board, agreeing to the changes
    • Revised programme documentation, with changes tracked

    Knowledge Product Production and Quality Assurance

    1
    Step

    Product Design
     
    Responsible Party

    Issuing Office

    Template/Guideline

    Knowledge Product Production Guidelines

    Explanatory Notes

    The issuing office identifies the need and elaborates the necessary details (intended impact, target audience, budget, roll out plans, etc.) to guarantee that the knowledge product is clearly justified, targeted and impactful.


    These details will be submitted in Form 1 of the online assessment as per step 1.1 of these procedures.

     

    For further information on  knowledge product types, life cycle steps, production processes, and quality assurance standards, please see the Knowledge Product Production Guidelines.

    1.1
    Step

    Submit Product Details (Online)

     
    Responsible Party
    Template/Guideline

    Step 1 of the online assessment

    Explanatory Notes

    The focal point submits the new publication for approval. The focal point inputs in the online quality assurance form the justification for the product, the audience, the budget and other product details. See form sample.

    1.2
    Step

    Approve product design

     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    After the submission of Step 1 by the Focal Point, an email soliciting the approval of the new knowledge product is sent to the Approver. The Approver follows the link on the email to the online form and approve the knowledge product details or rejects it.


    If it is approved, the knowledge product can then be completed by the Issuing Office. 

     

    If the form is rejected, the workflow resumes from step 1.1., where the Knowledge Product Focal Point will review and address the Approver’s comments.

     

    2.0
    Step

    Produce the knowledge product

     
    Responsible Party

    Issuing Office

    Template/Guideline
    Explanatory Notes

    Following the approval of the knowledge product and its details, the issuing office can proceed to produce the product.

     

    All products, once finalized in draft, should be subject to critical review. The product’s type determines the nature of the review, the composition of the reviewers and whether an external review is called for.
     

    2.1
    Step

    Assess quality standards (online)
     
    Responsible Party
    Template/Guideline

    Step 2 of the online assessment

    Explanatory Notes

    Clearing a knowledge product for publication is to certify that the product meets the quality standards set at Step 2 of the online quality assurance forms. This step is completed on the Knowledge Products Quality Assessment site. 

     

    2.2
    Step

    Clearance for publication

     
    Responsible Party
    Template/Guideline

    Step 2 of the online assessment

    Explanatory Notes

    Following the inputs submitted by the Focal Point on the online quality assurance forms, the Approver receives an email notification soliciting the clearance of the form.


    The email notification will lead to an online form for final certification that the product meets the quality assurance. The Approver can either “approve” or “reject” the details in the forms.


    If the submission is cleared, it will be uploaded first internally (step 3) and subsequently issued on www.undp.org (and any of the appropriate regional and country sub sites)
     

    If the form is rejected, the workflow resumes at step 2.1 of these procedures. The Knowledge Product Focal Point then reviews the Approver’s comments and corrects the issue.
     

    3.0
    Step

    Upload the knowledge product

     
    Responsible Party
    Template/Guideline

    Step 3 of the online quality assurance

    Explanatory Notes

    Following the Approver's clearance of the knowledge product, the Focal Point will complete “Step 3” of the online quality assurance form. This step is to guarantee that the product details, clearance process, and product itself are documented and uploaded for storage and audit purposes.
     

    3.1
    Step

    Publish the knowledge product

     
    Responsible Party
    Template/Guideline
    Explanatory Notes

    The KM Team (knowledge@undp.org) assists the Issuing Offices and Knowledge Product Focal Points in publishing quality approved knowledge products on UNDP’s public site. 

     

    3.2
    Step

    Roll out the product

     
    Responsible Party

    Issuing Office

    Template/Guideline
    Explanatory Notes

    The issuing office will continue to communicate and roll out plans as indicated in the product’s strategy and details.

     

    4.0
    Step

    Track product’s performance and impact
     
    Responsible Party

    Knowledge Product Focal Point and Issuing Office

    Template/Guideline

    Knowledge Product Report on Power BI

    Explanatory Notes

    Track and Monitor the impact of the knowledge product. Consult the Knowledge Product Report (Power BI) User Guide.
     

    Quality Assurance for Health Products Procedures

    1
    Step

    Before starting health procurement services for a government, Business Units (BU) (e.g. COs, RBx, GPSD-Health) should be aware of the UNDP QA Policy for health products and inform the partners of the need to comply with the Policy. The BU should seek guidance from the QA team to ensure that the health products to be supplied will comply with the requirements of the UNDP QA Policy for health products.
    Responsible Party

    CO Director and Programme Manager,

    RBx,

    GPSD-Health

    Template/Guideline
    Explanatory Notes

    Quality Assurance Policy should be implemented by all business units doing health procurement (e.g., COs, RBxs, GPSD-Health).

    Introductory and regular trainings of UNDP staff involved in health procurement activities in COs, RBx and in Copenhagen will be conducted by UNDP QA team to ensure full understanding and implementation of the Quality Assurance Policy.
     

    2
    Step

    If the procurement strategy defined is to do health procurement using the global procurement architecture, the COs/RBx engages the services of GPSD-Health. In this case, the GPSD-Health must engage the services of the QA Team as outlined in 4 below
    Responsible Party

    CO or RBx Procurement team,

    GPSD-Health

    Template/Guideline
    Explanatory Notes

    GPSD-Health will ensure the SOPs are regularly updated on QA aspects in close collaboration with the UNDP QA Team and shared with CO procurement colleagues and UNDP QA team will guide them to implement the QA aspects.
     
    The UNDP QA team will review and clear all new procurement processes, based on category and related risks involved, in line with the QA policy and will validate new suppliers and conduct assessment of the manufacturing site and the product as required by the QA policy. 

    3
    Step

    In case local procurement is justified, the BU must engage the services of the QA Team as per step 4. The QA Team should be engaged before the procurement starts to facilitate smooth QA process. 
    Responsible Party

    CO,

    RBx,

    UNDP QA Team

    Template/Guideline
    Explanatory Notes

    The project implementation should be carried out in close collaboration with UNDP QA CO.

    4
    Step

    QA services in a procurement process: The UNDP QA Team must be involved to review the list of products to be supplied, develop technical TORs (including review of technical specifications), in developing the QA criteria used in solicitation documents to select the products and sources, in evaluating technical offers received and to approve the products and sources before contracts are awarded.
    Responsible Party

    UNDP QA Team

    Template/Guideline
    Explanatory Notes

    UNDP QA Team will follow relevant SOPs to ensure the Technical TORs of the solicitation documents include the technical and regulatory requirements and that the products to be procures comply (technical and regulatory) with UNDP QA Policy.

    5
    Step

    All business units should maintain a record of the health’ products supplied to governments/partners (key documents: POs, delivery notes, certificate of analysis, and batch numbers) and details of suppliers to justify the sources selected with National Regulatory Authorities and to facilitate recalls, handling quality alerts or quality complaint.
    Responsible Party

    CO/RBx Procurement teams GPSD-Health team,

    GPSD-Health team

    Template/Guideline
    Explanatory Notes

    All business units doing health procurement should keep files with all documents related to:
    1.    Products supplied (POs, delivery notes, certificate of analysis, and batch numbers). 
    2.    Suppliers – regulatory certificates/approvals, contact details, supplier master file etc.
     

    6
    Step

    Quality Control (QC) activities (testing of samples) are part of the general QA policy.
    All QC activities initiated at CO level must be managed in accordance with the “Guidance for UNDP Country Offices on Health Products Quality Assurance in the Supply Chain”.

    Any non-compliant QC results (Out of Specifications = OOS) should be reviewed under the supervision of the UNDP QA team.
    Responsible Party

    CO/RBx Procurement teams,

    UNDP QA Team,

    GFPHST PSM Country focal points

    Template/Guideline
    Explanatory Notes

    The second template for this step, “SOP on QC testing of health products” is forthcoming.

    COs should share with  UNDP QA team any non-conformed results found through Quality Control testing and follow the instructions on how to interpret these results.

    7
    Step

    Any quality complaints, quality alerts, recalls should be reported to UNDP QA Team. Each case will be reviewed, and relevant instructions and guidance will be provided by UNDP QA Team to BU doing health procurement (e.g. COs, RBx, GPSD-Health).
    Responsible Party

    Procuring entity e,g, GPSD-Health, CO, RBs,

    Suppliers UNDP QA Team

    Template/Guideline
    Explanatory Notes

    All quality-related complaints should be carefully treated since it may lead to a risk of reputational damage. The role of the CO is to collect information and to transfer it immediately to the UNDP QA team and to follow the instructions given by the UNDP QA team to handle the case (communication with national counterparts, with suppliers, with media).

    8
    Step

    Submission of an Annual Quality Assurance Report to the Associate Administrator.
    Responsible Party

    UNDP QA Team

    Template/Guideline
    Explanatory Notes

    In the UNDP QA Policy, it is agreed BPPS/HHG will submit an annual Quality Assurance Report to the Associate Administrator with copy to Regional Bureaux, Bureau of Management Services, and the Office of Audit and Investigations. 

    Programme Suspension

    1.0
    Step
    The Regional Bureau, in collaboration with the country office, prepares a note that the Administrator submits to the Executive Board giving reasons for requesting suspension of the programme, and proposes management arrangements for continued assistance to the country.
    Responsible Party

    Regional Bureau Director

    Template/Guideline
    Explanatory Notes

    The note should also explain the implications for harmonized programme periods, and the related consultations that have taken place within the UN country team (including, for example, a programme criticality assessment). In the note, the Administrator may seek authority from the Executive Board to approve assistance on a project-by-project basis until the situation permits a return to normal operations.

    Programme suspension note forthcoming.

    2.0
    Step
    The Regional Bureau presents the note to the Associate Administrator through the BPPS Effectiveness  Group for review and clearance for submission to the Executive Board for approval.
    Responsible Party

    Regional Bureau Director

    Template/Guideline
    Explanatory Notes
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