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Receipt of Goods, Services and Works

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).

UNDP-supported Guarantees Procedures

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.

Harassment Informal Complaint Procedure

1
Step

Initiate informal dispute resolution.
Responsible Party
Template/Guideline
Explanatory Notes


An informal dispute resolution process can provide UNDP Personnel with the opportunity to resolve any complaints or grievances in an open, honest, non-threatening, and non-contentious manner. The informal options available to UNDP Personnel include: 

a) Approaching the alleged offender (self-initiated discussion); 
b) Support by a colleague/manager; or 
c) Consulting the Office of the Ombudsman for professional, impartial and confidential advice as to how to resolve the issue informally, including via mediation

 

1.1
Step

Approach alleged offender (self-initiated discussion).
Responsible Party
Template/Guideline
Explanatory Notes

A member of UNDP Personnel may not understand that he/she is being offensive and, if asked, may stop or alter his/her behaviour. UNDP Personnel who feel that they are being subject to any type of prohibited conduct are encouraged, where necessary, to inform the alleged offender, at the earliest point in time, that his/her conduct is unwelcome and request that such conduct cease.

1.2
Step

Seek support from a colleague/manager.
Responsible Party
Template/Guideline
Explanatory Notes

UNDP personnel, including the affected person may request a colleague/manager to be present at a meeting with the alleged offender to let her/him know that his/her conduct is unwelcome and request that such conduct cease.

1.3
Step

Consult the Office of the Ombudsman.
Responsible Party
Template/Guideline
Explanatory Notes

(i)The Office of the Ombudsman plays an important role when it comes to workplace related problems. UNDP Personnel may consult the Office if they feel harassed, and/or have witnessed an incident of harassment.  The services of the Office include listening and conflict coaching, identification and evaluation of options, facilitation of dialogue and mediation. The Office is a safe, confidential and informal place for the affected to express their concerns, and examine the various options in the dispute resolution process. The Office provides support within the informal process, informs on the procedures foreseen in the formal grievance process and makes appropriate referrals where necessary.

1.4
Step

Seek third-party neutral intervention.
Responsible Party
Template/Guideline
Explanatory Notes

Send an email to: ombudsmediation@fpombudsman.org

Third-party neutral intervention, particularly mediation, is a process whereby a third-party neutral with no stake in the outcome helps the parties whose lives are affected by a problem make decisions themselves that are mutually acceptable and which may resolve the problem. Mediation can also help prevent a recurrence of situations that cause conflict.

 

 

2.0
Step

Review progress with informal process and initiate formal process.
Responsible Party
Template/Guideline
Explanatory Notes

If the affected person is not satisfied with the results of the informal process or if they wish to pursue the formal process immediately, they may submit a formal complaint to OAI at any time.

3.0
Step

Consult the Ethics Office.
Responsible Party
Template/Guideline
Explanatory Notes

Send an email to:ethicsoffice@undp.org

UNDP Personnel may contact the Ethics Office for confidential advice and guidance on their options.

Repatriation Grant Request

1
Step

Inform BES/JPOSC HR focal point as soon as possible that the staff member has arrived in the duty station and taken up duty.
(where applicable, confirm arrival of eligible family members.)
Responsible Party

Local HRA / SM’s supervisor / other Agency

Template/Guideline
Explanatory Notes

Local HR Focal point/Supervisor/Other agency must inform the BES/JPOSC HR Focal point that the staff member and eligible family members have arrived at the duty station together with the entry on duty date and the travel dates.

2
Step

Authorize payment of assignment grant through memo or voucher.
Responsible Party

BES/JPOSC HR Focal point

Template/Guideline
Explanatory Notes

UNDP staff assigned to a CO duty station:

BES sends a payment authorization to UNDP Country Office. UNDP Country office processes and releases payment. The authorization specifies the amount of the assignment grant lump sum whereas the amount of the DSA entitlement is determined by the UNDP CO.

UNDP staff assigned to a HQ duty station:

BES/JPOSC raises a voucher and sends it for approval to the budget owner.

For staff members who are reassigned to a new duty station, BES/JPOSC may authorize the lump sum of the assignment grant up to three months in advance at the request of the staff member. The payment will be based on the exchange rate and post adjustment rate applicable on the date of payment. The payment will not be adjusted if there are any fluctuations in exchange rate/post adjustment following payment.

3
Step

Process payment authorization/Approve voucher.
Responsible Party
Template/Guideline
Explanatory Notes

UNDP country office processes and releases payments through AP voucher. Calculates DSA entitlement using the DSA rate applicable on the day of arrival of the staff member and/or eligible family members. Budget owner approves voucher .

4
Step

Exception to waive the recovery of settling in grant lump sum, when the period of service at the duty station is reduced to less than one year.
Responsible Party
Template/Guideline
Explanatory Notes

The BES HR Specialist servicing the region has the authority to grant an exception to waive the proration of the lump sum assignment grant if there are compelling and/or compassionate reasons.

UN Consultants and Individual Contractors

Special Measures for Protection from Sexual Exploitation (ST/SGB/2003/13 )

Secretary-Secretary-General’s bulletin: Acceptance of pro-bono goods and services (ST/SGB/2006/5)

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