| United Nations Development Programme

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.

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.

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.

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

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.

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.

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.

1	Step Sign Contribution Agreements	Responsible Party Head of Office	Template/Guideline	Explanatory Notes
2	Step Entry into UNITY/ UNALL within 1 week of signature	Responsible Party UNDP office staff assigned by the head of office/unit	Template/Guideline	Explanatory Notes
3	Step Entry into the Contract Management Module and activate contract. Contract Information to be entered	Responsible Party Revenue Specialist (GSSC Finance Function)	Template/Guideline	Explanatory Notes
3.1	Step Overview – Includes all the general information relating to the agreement	Responsible Party Revenue Specialist (GSSC Finance Function)	Template/Guideline	Explanatory Notes
3.2	Step Accounting Distribution - This is the full chart of account information relating to the revenue and accounts receivable provided by the UNDP Office to GSSC	Responsible Party Revenue Specialist (GSSC Finance Function)	Template/Guideline	Explanatory Notes
3.3	Step Agreement date - This is the date that the agreement came into effect and is the key trigger that is set-up in the Contract Management Module for revenue recognition. These are dependent on type of agreements and interpretation of relevant IPSAS policy.	Responsible Party Revenue Specialist (GSSC Finance Function)	Template/Guideline	Explanatory Notes
3.4	Step Invoice event - The invoice event includes the event type that needs to be achieved to create the billing and generate Accounts Receivable entries in the General Ledger	Responsible Party Revenue Specialist (GSSC Finance Function)	Template/Guideline	Explanatory Notes
3.5	Step Revenue Event - The revenue event will be created upon signing the relevant contribution agreement as revenue entries are generated upon signature of the contribution agreement.	Responsible Party Revenue Specialist (GSSC Finance Function)	Template/Guideline	Explanatory Notes
3.6	Step Amendments - Amendments can be made to original contracts that have already been entered in the Contract Management Module using the amend function	Responsible Party	Template/Guideline	Explanatory Notes
4	Step Review contract in Contract Management Module	Responsible Party GSSC Manager (GSSC Approving Manager)	Template/Guideline	Explanatory Notes
5	Step Record the receipt of contributions against the accounts receivable item, provided that the following documents are available: - Notification of receipt into UNDP bank account from the bank; or - Receipt of a cheque.	Responsible Party GSSC Treasury & GSSC Deposits (GSSC Finance Function)	Template/Guideline	Explanatory Notes
6	Step Application of funds	Responsible Party	Template/Guideline	Explanatory Notes
7	Step Approval of invoice adjustment (Note: In Quantum, approval of application of fund is not required)	Responsible Party GSSC Manager (GSSC Approving Manager)	Template/Guideline	Explanatory Notes
8	Step Monitor Unapplied receipts	Responsible Party	Template/Guideline	Explanatory Notes
9	Step Review and follow-up of accounts receivable	Responsible Party First authority (Project Manager)	Template/Guideline	Explanatory Notes
10	Step Sign off as evidence of review of accounts receivable	Responsible Party Approving Manager or Program Manager	Template/Guideline	Explanatory Notes
11	Step Recommend write-off or doubtful debts provision with the appropriate justification	Responsible Party Head of Office	Template/Guideline	Explanatory Notes
12	Step Approve provision for write-off (This role is not included in the ICF but included in this table as it is considered a necessary step.)	Responsible Party Chief of FPMR/OFRM	Template/Guideline	Explanatory Notes
13	Step Approve write-off	Responsible Party	Template/Guideline	Explanatory Notes

Step

Manage user roles in Quantum/UNall

Responsible Party

Business Unit/ITM

Template/Guideline

Explanatory Notes

Step

Quantum/UNall User Guide

Responsible Party

Business Unit

Template/Guideline

Quantum UNall Step by Step User Guide

Explanatory Notes

1.0	Step Designate a UNDP staff member to manage the development services (account manager).	Responsible Party	Template/Guideline Selecting the delivery instrument	Explanatory Notes Selecting the best delivery instrument for the initiative.
2.0	Step Prepare a development services agreement, including two annexes (multi-year work plan, schedule of payments) and assess risks.	Responsible Party Development services account manager	Template/Guideline Development Services Agreement Operational Handbook for OCHA CBPFs	Explanatory Notes Assessing risks includes the SESP, where applicable. See policy on Social and Environmental Standards.
3.0	Step Approve the agreement.	Responsible Party	Template/Guideline	Explanatory Notes
4.0	Step Establish a project ID in Quantum, and select development services as the project type.	Responsible Party Development services account manager	Template/Guideline Quantum Project Creation Process Overview	Explanatory Notes Note: Resources mobilized from partners should be credited using the Fund Code 32050. These are cash-controlled and cannot be transferred for other purposes.
5.0	Step Report results achieved in the Results-Oriented Analysis Report and in annual reviews of the country programme.	Responsible Party	Template/Guideline RBM guidance on Reporting	Explanatory Notes Consider using the RBM Guidance to assist with report design, writing and template.
6	Step Once development services have been delivered, prepare the final report and set status to closed in Quantum.	Responsible Party Development services account manager	Template/Guideline	Explanatory Notes

Step

Process for implementing the policy on electronic signatures

Responsible Party

Template/Guideline

Electronic Signatures Process Review Flowchart

Explanatory Notes

1	Step Guarantee Origination: CO identifies opportunity to use guarantee, conducts initial diagnostic, drafts concept note and initiates country risk assessment, consulting with the GPN and Guarantees Project Team as required, and submits proposal for review.	Responsible Party CO in consultation with GPN & Guarantees Project Team	Template/Guideline	Explanatory Notes Guarantees Project Team is a dedicated project team established to support the initial phases of roll out of the guarantees policy.
2	Step Review guarantee proposal, including the diagnostic, evidence of positive impact and country risk assessment. Approve or request CO to revise and resubmit.	Responsible Party Finance Sector Hub &GPN	Template/Guideline	Explanatory Notes
3	Step Conducts financial and programmatic structuring of the guarantee, including appropriate exit strategy, pricing based on credit risk assessment of the lending portfolio and cost recovery, consulting with the Guarantees Project Team and GPN as required. Guarantees Project Team reviews the guarantee structure, including proposed pricing and cost recovery, and requests CO to modify if necessary	Responsible Party	Template/Guideline	Explanatory Notes
4	Step Initiate identification, screening (including initial due diligence and credit risk assessment), selection and engaging of lender(s) and guarantee issuer in consultation with Guarantees Project Team and BMS/OFM Treasury.	Responsible Party CO in consultation with Guarantees Project Team & BMS/OFRM Treasury	Template/Guideline	Explanatory Notes
5	Step Conduct solicitation process for guarantee issuer. Provide advice, review and clearance for lender(s) selection. Provide advice on due diligence and credit risk assessments, as required. Initiate formal agreement process with guarantee issuer.	Responsible Party BMS/OFRM Treasury	Template/Guideline	Explanatory Notes
6	Step Conduct initial due diligence and credit risk assessment of lender(s) and guarantee issuer, consulting with Treasury as required. Assess if OK to proceed with guarantee. If not OK, reject guarantee proposal and notify CO.	Responsible Party Guarantees Project Team	Template/Guideline	Explanatory Notes Due diligence on borrowers is conducted by lender(s).
7	Step Modify financial and programmatic structuring, if necessary, in consultation with Guarantees Project Team and GPN, and submit guarantee documentation (agreements) for review.	Responsible Party	Template/Guideline	Explanatory Notes
8	Step Review guarantee arrangement, advise on legal and other issues/risks of the guarantee, and approve or reject the guarantee arrangement. For exceptional cases, Treasury escalates the guarantee to the Credit Risk Committee and CFO for review.	Responsible Party	Template/Guideline	Explanatory Notes Refer to paragraph 49 for examples of cases that must be escalated to the Credit Risk Committee for review and approval.
9	Step Credit Risk Committee and CFO review exceptional cases and approve/reject or escalate to Enterprise Risk Management (ERM) committee for final decision.	Responsible Party Credit Risk Committee & CFO, followed by ERM Committee	Template/Guideline	Explanatory Notes Credit Risk Committee will be advised and supported by the Guarantees Project Team
10	Step If guarantee agreement is cleared, record the guarantee and assign guarantee funds to the escrow account	Responsible Party Treasury, BMS/GSSU and BMS/OFRM Treasury	Template/Guideline	Explanatory Notes
11	Step Conduct ongoing programmatic and financial monitoring, reporting and oversight of guarantees.	Responsible Party CO, GPN, Finance Sector Hub, Guarantees Project Team, BMS/OFRM Treasury, Credit Risk Committee, ERM Committee	Template/Guideline	Explanatory Notes Includes providing donor reporting and refunds where required by financing agreements.

Step

Enrollment:

Enrollment in the plan for eligible staff members who apply more than 60 days after signing the qualifying letter of appointment is conditional on the provision by the staff member at the time of application, on a special form for the purpose, of evidence of insurability satisfactory to the insurance company.

Responsible Party

Staff member

Template/Guideline

Life Insurance Application Form

Beneficiary certification form_1: (This form is to be completed by United Nations Group Life Insurance beneficiaries who do not have a United States Social Security Number and do not reside in the United States of America)

Beneficiary certification form 2. (This form is to be completed by United Nations Group Life Insurance beneficiaries with a United States Social Security Number or beneficiaries who reside in the United States of America)

Life Insurance Termination Waiver Form

Explanatory Notes

The group life insurance plan is offered as a part of the scheme of social security for the staff that the Secretary-General is required to establish under staff regulation 6.2. The underwriter of the plan is the Hartford and the policy holder is the United Nations.

The plan is financed solely from the contributions of participating staff members. No subsidy is paid by the Organization.

Participation in the plan is voluntary for all eligible staff. A staff member may withdraw from the plan at any time. The plan provides term insurance coverage only and has no cash value at the time of withdrawal.

Enrolment in the plan is automatic for eligible staff members who apply for life insurance coverage under the plan, on the appropriate form, within 60 days of signing the qualifying letter of appointment. They will be covered from the effective date of the letter of appointment.

A revised administrative instruction (ST/AI/2002/6) has been issued. In addition, the same information and any updated administrative instructions may be accessed via the Internet at the following URL: http://www.un.org/insurance.

If an office administers personnel on behalf of another agency, the same rules and procedures for UNDP staff must be followed.

Step

Enrollment:

Data on enrollment form is verified and validated and any change in coverage is processed in the system promptly

Responsible Party

OHR

Template/Guideline

Explanatory Notes

It is the responsibility of the staff member to ensure the correct mailing address is submitted. Incomplete or incorrect mailing addresses in

Quantum will result in misdirected mail or failure to receive important documents.

Step

Enrollment:

Staff member records in the system are validated, contributions are computed and coverage is activated

Responsible Party

UN Health and Life Insurance Unit

Template/Guideline

Explanatory Notes

The UN Health and Insurance Unit administers the workflow of enrollment and reporting directly with the Insurance Company on behalf of UNDP

Step

Premiums:

The premiums for the plan must be paid in full by the staff member participating in the plan.
The premiums shall be paid by monthly payroll deduction.

Responsible Party

Staff member

Template/Guideline

Access to the Group Life Insurance Rate Stimulator

UN HLIS - Life insurance

Explanatory Notes

The premiums and benefits are receivable and payable by the insurance company in United States dollars

The premium rate is determined by the insurance company, in consultation with the Organization, and will be announced periodically in an information circular

Step

Claims:

All life insurance claims must be processed through the Health and Life Insurance Section at Headquarters. Claims or notification of claims should not be transmitted to the Hartford Life Insurance Company directly.

Responsible Party

UN Health and Life Insurance Unit

Template/Guideline

Life insurance Death Claim Checklist

Explanatory Notes

Health and Life Insurance Section is informed about the death of a participant in the group life insurance programme or when all applicable claim documents are received along with notification of death. In the former case, in order to permit the insurer, The Hartford, to pay the requisite benefits, the UN Health and Life Insurance Section will provide the beneficiaries with clear instructions regarding the documents that must be completed and submitted. In the latter case, the Section will forward the properly furnished set of claim documents to The Hartford for processing.

1	Step Raise PO to acquire the goods, services and works.	Responsible Party	Template/Guideline	Explanatory Notes For non-PO invoice, offices are not required to enter a receipt date in Quantum, however, the offices are required to make sure the payment are processed in the correct accounting period.
2	Step Deliver goods, render services and perform the works.	Responsible Party Supplier	Template/Guideline	Explanatory Notes Shipment of the goods according to the contract and INCOTERMS 2020. Render the services and perform the works according to the contract. Ensure all the relevant supporting documents are provided to the buyer. Liaise with the Buyer on contract management issues (if delivery is not according to the procurement contract).
3	Step Delivery of goods.	Responsible Party Shipment Carrier (If applicable)	Template/Guideline	Explanatory Notes Physical delivery of the goods to the specified location.
4	Step Certify the receipt of the shipment and inspect goods.	Responsible Party Shipment Carrier (If applicable)	Template/Guideline	Explanatory Notes Certify the receipt of the shipment. Proceed with the delivery to UNDP and forward the supporting documentation such as delivery note, bill of landing, shipping bills, insurance papers to UNDP.
5	Step Physically receive the goods, services and works.	Responsible Party	Template/Guideline	Explanatory Notes Buyers exercise their procurement role on behalf of Project Managers and other clients. To achieve segregation of duties, the Buyer must not perform the receipts of goods, services or works in the Quantum.
6	Step Review supporting documentation.	Responsible Party	Template/Guideline	Explanatory Notes Review supporting documentation such as GRN, shipping documents, custom clearance, insurance etc. Follow up with both the Supplier and Shipment Carrier if necessary.
7	Step Notify requester, project manager and finance.	Responsible Party	Template/Guideline	Explanatory Notes Notify the requester/project manager about the shipment, so that the requester knows when to expect the physical receipt of the goods. Forward the invoice and payment information to finance unit for payment to the Supplier.
8	Step Enter a receipt in Quantum to record event when goods and services are received by UNDP in accordance with the terms and condition set out in the contract or PO.	Responsible Party Project Manager	Template/Guideline	Explanatory Notes Managers may delegate this function to other project staff. Where the volumes are significant, this delegation should be in writing and should be copied to the Operations Manager, so that the Finance unit is aware of the delegation. The office has two options for receipting in Quantum: The Project Managers (or his/her designate) documents receipt on the Goods Received Note (GRN), and forwards the GRN to the Finance unit to record, in Quantum, receipt of goods, services or works. Project Manager (or designate) directly record receipt of goods, services and works in Quantum after verifying. It is important that the receipts be entered promptly in Quantum when the goods and services are actually received. It is mandatory to enter receipts in Quantum within 48 hours of actual receipt of goods and services, so that the expense and asset recognition is done correctly in accordance with UNDP accounting policy. When UNDP procures "services", receipts must be entered in Quantum on the date when services are a properly rendered according to the contract and accepted. For services such as individual contracts (IC), it is important to enter receipts when actual deliverables are achieved against milestones, if any, defined in the contract, e.g. submission of reports, assessments, certain number of hours etc. If the contract runs for a longer period of time, but several deliverables or payments are agreed upon, then receipts occur at each deliverable. For instance, for a six-month IC with monthly payments for which a PO has been raised, a portion equivalent to the monthly payment needs to be received each month before the payment of the IC. Prompt receipt of goods in Quantum also determines when to capitalize an item (for capital assets) and also facilitates evaluation of supplier performances. Careful attention to Incoterms under which goods are being procured is required, as this will also dictate the date when the receipts are to be entered in Quantum. For example, if the goods are being procured under FOB-shipping point basis, then the risk of losses during the shipping is transferred to UNDP as soon as the supplier hands over the goods to the shipper. Thus, the "receipt date" on which the goods are deemed to be received by UNDP will be the date when goods were handed over to the shipper. A receipt must be entered in Quantum immediately even though the actual goods have not arrived at the destination. However, a physical verification of such goods on actual arrival must be carried out, recorded and supporting documents uploaded to the Quantum procurement receipt application. Construction works (collectively, "Works") need to be received/recorded at the stage when milestones, according to the contract, are completed and accepted by the UNDP as part of the regular project monitoring activities. Refer to the policy in regard to the receipt date for different Incoterm. INCOTERMS 2020 International Commercial Terms
9	Step Create partial receipts in Quantum.	Responsible Party Project Manager	Template/Guideline	Explanatory Notes Partial receipts can be created in Quantum when the goods and services are being delivered progressively rather than all at once.
10	Step Forward the receipt and shipping information to the Buyer for reference if everything is in order.	Responsible Party	Template/Guideline	Explanatory Notes If the inspection shows any reason for complaint, the contract management sub-process is activated (liaison with Buyer, Supplier, shipment carrier and insurance company, as required).

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.

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.

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.

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.

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.

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.

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.

1.0

Step

Formulate annual business plan.

Responsible Party

Executive Office

Template/Guideline

RBM guidance on Annual Planning

Explanatory Notes

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

2.0

Step

Formulate unit workplan.

Responsible Party

Head of BU

Template/Guideline

Explanatory Notes

Integrated Workplan Guidance provided annually.

Subscribe to

Policy Areas

Electronic Signatures Solution (Internal)

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Responsible Party

Template/Guideline

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Revenue Process Procedures

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