| United Nations Development Programme

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

Country Programme Document 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.

1.0	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 with the BPPS/Quality and Impact Hub, 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 BPPS/Quality and Impact Hub.	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

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.

1.0

Step

Assessment of performance during probation

Within three weeks after entry on duty: Discuss job description and confirm duties

Responsible Party

Staff member

Template/Guideline

Probationary Performance Appraisal Report

Explanatory Notes

The first level supervisor discusses the job description with the staff member and provides them with a plan of work embracing the duties to be performed or objectives and tasks to be completed within six months after entry on duty;

Staff and supervisors will have to use the Word version of the Probationary Performance Appraisal Report while the PMD site is being updated.

1.1

Step

No later than six months after entry on duty: Complete staff member's Probationary Performance Appraisal Report

Responsible Party

Staff member

Template/Guideline

Probationary Performance Appraisal Report

Explanatory Notes

The first level supervisor completes a Probationary Performance Appraisal Report, and discusses it with the staff member.

1.2

Step

No later than ten months after entry on duty: Second review for staff member's Probationary Performance Appraisal Report

Responsible Party

second level supervisor,

Staff member

Template/Guideline

Probationary Performance Appraisal Report

Explanatory Notes

The first level supervisor completes the Probationary Performance Appraisal Report for the second review period and includes the second level supervisor’s decision to:

a) confirm the appointment;

b) extend the probationary period; or

c) not confirm the appointment.

2.0

Step

Confirmation of appointment

Responsible Party

second level supervisor,

Staff member

Template/Guideline

Explanatory Notes

If the second level supervisor recommends confirmation of appointment, the report, including any attachments, is included in the staff member's personnel file. A copy is sent to the staff member.

3.0

Step

Extension of Probationary Period

Responsible Party

second level supervisor,

OHR

Template/Guideline

Probationary Performance Appraisal Report

Explanatory Notes

If the second level supervisor decides that the extension of the probationary period is warranted, the Office of Human Resources is informed of the reasons for the extension. and is provided with a copy of the Probationary Performance Appraisal Report, together with any observations of the staff member. If the probationary period is extended:

a) The first within-grade salary increment is suspended for the staff member concerned and is granted retroactively to the staff member if the appointment is subsequently confirmed.

b) A further plan of work is established by the first level supervisor covering the period of extension. At the end of the extension, the Second level supervisor’s decides to: i) confirm the appointment; or

c) not confirm the appointment. c)Copies of the report, notice of extension, work plan and other relevant documents are included in the staff member's personnel file.

4.0

Step

Termination of appointment

Responsible Party

second level supervisor,

BMS Director

Template/Guideline

Probationary Performance Appraisal Report

Explanatory Notes

If the second level supervisor considers that separation is in UNDP’s interest because the probationary period was not satisfactorily completed, the staff member must be notified in writing.

The staff member has five working days following receipt of the written notice in which to comment. A copy of the staff member's comments is sent to the Office of Human Resources, along with any supporting documentation.

After consideration of the staff member's reply or, failing such reply, at the close of the five-day period, the second level supervisor submits a recommendation to the Director, Human Resources, who forwards it to the Assistant Administrator and Director Bureau for Management Services (BMS) (for decision, with further comments as necessary.

The Director, Human Resources advises the second level supervisor concerned and the staff member of the decision taken. Copies of the report, the notification and other relevant documents are included in the staff member's personnel file.

1	Step Submit the request through the Operations service icon in UNall. Upload completed forms and other documentation to the UNall case, have forms certified by General Operations/BMS then submit to the UN Visa Committee.	Responsible Party Staff member	Template/Guideline	Explanatory Notes Form TTS.1 should be certified by General Operations/BMS.
2	Step Forward approved application to UNTTS.	Responsible Party	Template/Guideline	Explanatory Notes UN Visa Committee will advise the staff member on the status of the application and of any required additional information. All follow-ups should be made directly with the UN Visa Committee or the UNTTS.
3	Step Send a cable requesting issuance of the visa, to the US consulate in the city where the G-5 visa will be picked up.	Responsible Party	Template/Guideline	Explanatory Notes The staff member may request a copy of the cable for the household employee to present to the US consulate.
4	Step Provide all required documentation to the household employee.	Responsible Party Staff member	Template/Guideline	Explanatory Notes
5	Step Apply for the G-5 visa in person at the US consulate where the visa is to be picked up and where the UNTTS has sent the cable.	Responsible Party	Template/Guideline	Explanatory Notes The household employee should carry all required documents, including a copy of the UNTTS cable to facilitate the visa application processing.

Step

Process for implementing the policy on electronic signatures

Responsible Party

Template/Guideline

Electronic Signatures Process Review Flowchart

Explanatory Notes

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.

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.

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.

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.

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.

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.

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).

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.

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

Step

Supplemental Recruitment Guidance for UNDP Finance Functions.

Responsible Party

Template/Guideline

Supplemental Recruitment Guidance for UNDP Finance Functions

Explanatory Notes

Step

Provide guidance to UNDP managers and personnel on key UNSMS/UNDP security responsibilities

Responsible Party

Resident Representative,

UNDP, UNV and UNCDF personnel

Template/Guideline

Framework of Accountability for Security

Explanatory Notes

All to familiarize themselves aware of security policy and the security responsibilities inherent in their roles.

Step

Provide guidance on the applicability of individuals employed/hosted by UNDP

Responsible Party

Resident Representative

Template/Guideline

UNDP Security Applicability Guideline

Explanatory Notes

Due to the broad nature of the UNSMS applicability policy, the UNDP Security Applicability Guideline is developed and expands on the applicability of certain individuals within UNDP’s context including clarity on if the same individuals fall under UNDP’s security accountability and responsibility.

(a) Alternate Work Modalities; and (b) Personnel and family restrictions (relocation and evacuation) are covered by the United Nations Security Management System (UNSMS) Security Policy Manual – Chapter IV Section D – Revised Policy on Risk Avoidance.

Step

Assignment of an Agency Country Security Focal Point (ACSFP)

Responsible Party

Resident Representative

Template/Guideline

ACSFP Terms of Reference

Letter of Assignment template

Explanatory Notes

In the absence of a dedicated UNDP security professional, the senior most UNDP representative at the country level, in consultation with the UNDP Security Office, will assign an ACSFP to assist the RR in managing the day to day security related matters of UNDP.

Step

Provide guidance on security mainstreaming

Responsible Party

Resident Representative

Template/Guideline

Guidelines for the mainstreaming of security into programme and project management

Explanatory Notes

Ensures security considerations form an integral dimension of the design, implementation, monitoring and evaluation of all projects and programmes. It necessitates early consultations with the UNDP Security Office to ensure security inputs are prioritized at the inception stage, that costs for security are included in appropriate budget lines in proposals and operating budgets.

Step

Request for Security Support Mission

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Missions are conducted by UNDP security personnel to assist Offices in the implementation of Security Risk Management measures, to monitor and report on security compliance and provide technical security advice to enable and ensure the mainstreaming of security in all programmes and activities.

Step

Request for Surge Support

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

While the Security Office remains UNDP’s first line of security surge support and backstopping, capacity to respond over the medium term can be stretched. The Security Office maintains or has access to a structured roster as follows: Internal UNDP Security Advisory Resources, External Security Advisory Resources within the UN and a roster of Pre-Identified Security Advisory Resources including the ExpRes Consultancy Roster.

Step

Provide support to UNDP Country Offices for Surge response

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

UNDP Security Office may provide temporary central funding for a maximum period of 3 months in principle to address security surge requirements. Beyond 3 months, COs will need to commit to mainstreaming the cost of the security advisory/support requirements.

Step

Provide database on all approved Residential Security Measures in duty stations

Responsible Party

Template/Guideline

RSM Database

Explanatory Notes

RSMs are intended to protect personnel from physical harm or injury at their residence as a result of increased criminal activity and are only applicable to all internationally recruited, or internationally deployed, personnel covered under the UNSMS including eligible family members residing at the duty station of internationally recruited personnel serving elsewhere. Regarding cost-based elements, Offices will notify personnel of the financial and implementation modalities under which such RSM elements may be obtained and will hold personnel accountable for any default, fraud, and deceit with regards to the RSMs.

Step

Request psychosocial support

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Personnel requiring support during assignments should directly contact UNDP counsellors via oshw.focalpoint@undp.org or the local CISMS UNDSS Counsellor.

Step

Request security clearance for movement or travel in complex high-threat environments

Responsible Party

Resident Representative

Template/Guideline

Acceptable risk oversight and approval mechanism (AROAM)

Explanatory Notes

In line with the SRM’s Acceptable Risk Model and the Guidelines on Acceptable Risk Oversight and Approval Mechanism (AROAM), a separate procedure is required to clear movement and travel in Very High Risk contexts for personnel delivering PC1 activities.

Approval by the UNDP Administrator will be required to confirm that personnel operating in an area with very high security risk are engaged in PC1 activities.

Step

Reporting Security Incidents

Responsible Party

Template/Guideline

Explanatory Notes

UNDP personnel are required to report security related information and/or security incidents to UNDSS and through the UNDP Security Office¹ to the corresponding UNDP manager.

[1] In the absence of a UNDP Security Office personnel, reports should be made to the Agency Country Security Focal Point.

Step

Request for Support in recruiting CO security personnel

Responsible Party

Resident Representative

Template/Guideline

Guideline for the Recruitment of UNDP Security Personnel

Explanatory Notes

Offices should follow procedures stipulated, to ensure due diligence in the selection process. Hiring managers should consult with the UNDP Security Director to ensure inputs of the Security Office are incorporated at each stage of the planning and selection process.

Step

Achieve full security compliance to Security Risk Management requirements

Responsible Party

Resident Representative

Template/Guideline

SCS tool

Explanatory Notes

The exercise is annual, mandatory and applies to the main offices, sub-offices, Regional Service Centres, HQ locations/Coordination Offices and GSSU. It is also highly recommended for project offices and includes offices of UNV and UNCDF. The self-assessment process will be completed in the last quarter of the year being assessed.

Step

Applying for UNMSM resources

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Guidelines outline budgetary, financial, and procurement procedures for the resources available centrally within UNDP to cover UN Mandated Security Measures (UNMSM). These requirements are undertaken in response to United Nations Security Management System (UNSMS) policy directives and recommendations made within the Security Risk management (SRM) process to ensure security compliance in duty stations.

Step

Support in the use of Commercial Air Travel

Responsible Party

Resident Representative

Template/Guideline

Commercial Air Travel Safety Guidelines

Explanatory Notes

All UNDP Personnel are expected to comply with the safety requirements and briefings provided by crew members with regard to safety while on board an aircraft. UNDP personnel will share concerns or observations regarding the safety of a commercial air carrier to local UNDSS advisor and the UNDP Air Travel Focal points reachable at security@undp.org.

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Policy Areas

Managing Unit/Programme-Level Risk (Country Office)

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

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Responsible Party

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Responsible Party

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Responsible Party

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Programme Revision

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Responsible Party

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Responsible Party

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Responsible Party

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Responsible Party

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Responsible Party

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Knowledge Product Production and Quality Assurance

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Responsible Party

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Responsible Party

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