English
Locations
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1 |
StepRaise PO to acquire the goods, services and works. |
Responsible Party |
Template/Guideline |
Explanatory NotesFor 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. |
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2 |
StepDeliver goods, render services and perform the works. |
Responsible PartySupplier |
Template/Guideline |
Explanatory NotesShipment 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). |
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3 |
StepDelivery of goods. |
Responsible PartyShipment Carrier (If applicable) |
Template/Guideline |
Explanatory NotesPhysical delivery of the goods to the specified location. |
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4 |
StepCertify the receipt of the shipment and inspect goods. |
Responsible PartyShipment Carrier (If applicable) |
Template/Guideline |
Explanatory NotesCertify 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. |
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5 |
StepPhysically receive the goods, services and works. |
Responsible Party |
Template/Guideline |
Explanatory NotesBuyers 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. |
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6 |
StepReview supporting documentation. |
Responsible Party |
Template/Guideline |
Explanatory NotesReview supporting documentation such as GRN, shipping documents, custom clearance, insurance etc. Follow up with both the Supplier and Shipment Carrier if necessary. |
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7 |
StepNotify requester, project manager and finance. |
Responsible Party |
Template/Guideline |
Explanatory NotesNotify the requester/project manager about the shipment, so that the requester knows when to expect the physical receipt of the goods. |
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8 |
StepEnter 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 PartyProject Manager |
Template/Guideline |
Explanatory NotesManagers 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:
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. International Commercial Terms |
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9 |
StepCreate partial receipts in Quantum. |
Responsible PartyProject Manager |
Template/Guideline |
Explanatory NotesPartial receipts can be created in Quantum when the goods and services are being delivered progressively rather than all at once. |
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10 |
StepForward the receipt and shipping information to the Buyer for reference if everything is in order. |
Responsible Party |
Template/Guideline |
Explanatory NotesIf 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). |
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1 |
StepGuarantee 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 PartyCO in consultation with GPN & Guarantees Project Team |
Template/Guideline |
Explanatory NotesGuarantees Project Team is a dedicated project team established to support the initial phases of roll out of the guarantees policy. |
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2 |
StepReview guarantee proposal, including the diagnostic, evidence of positive impact and country risk assessment. Approve or request CO to revise and resubmit. |
Responsible PartyFinance Sector Hub &GPN |
Template/Guideline |
Explanatory Notes |
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3 |
StepConducts 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
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Template/Guideline |
Explanatory Notes |
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4 |
StepInitiate 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 PartyCO in consultation with Guarantees Project Team & BMS/OFM Treasury |
Template/Guideline |
Explanatory Notes |
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5 |
StepConduct 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 PartyBMS/OFM Treasury |
Template/Guideline |
Explanatory Notes |
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6 |
StepConduct 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 PartyGuarantees Project Team |
Template/Guideline |
Explanatory NotesDue diligence on borrowers is conducted by lender(s). |
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7 |
StepModify financial and programmatic structuring, if necessary, in consultation with Guarantees Project Team and GPN, and submit guarantee documentation (agreements) for review. |
Responsible Party
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Template/Guideline |
Explanatory Notes |
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8 |
StepReview 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
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Template/Guideline |
Explanatory NotesRefer to paragraph 49 for examples of cases that must be escalated to the Credit Risk Committee for review and approval. |
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9 |
StepCredit Risk Committee and CFO review exceptional cases and approve/reject or escalate to Enterprise Risk Management (ERM) committee for final decision. |
Responsible PartyCredit Risk Committee & CFO, followed by ERM Committee |
Template/Guideline |
Explanatory NotesCredit Risk Committee will be advised and supported by the Guarantees Project Team |
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10 |
StepIf guarantee agreement is cleared, record the guarantee and assign guarantee funds to the escrow account |
Responsible PartyTreasury, BMS/GSSU and BMS/OFM Treasury |
Template/Guideline |
Explanatory Notes |
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11 |
StepConduct ongoing programmatic and financial monitoring, reporting and oversight of guarantees. |
Responsible PartyCO, GPN, Finance Sector Hub, Guarantees Project Team, BMS/OFM Treasury, Credit Risk Committee, ERM Committee |
Template/Guideline |
Explanatory NotesIncludes providing donor reporting and refunds where required by financing agreements. |
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1 |
StepProvide guidance to UNDP managers and personnel on key UNSMS/UNDP security responsibilities |
Responsible PartyProgramme and Project Managers UNDP, UNV, UNCDF, Security Focal Point, Resident Representative |
Template/Guideline |
Explanatory NotesAll to familiarize themselves with security responsibilities inherent to their respective roles. |
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1.a) |
StepShipping Arrangements: (These do not apply to staff that have opted for the Relocation Grant): a) if shipping from NY or from a place where there is no UNDP office, contact the TSS once the shipment has been authorized, to discuss the forwarding arrangements. |
Responsible PartyStaff Administrative Services (BES/JPOSC) |
Template/Guideline |
Explanatory NotesThe SM must clearly indicate to the estimator and to the packers which items he/she intends to ship and whether the goods will be shipped by air or by surface; |
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1.b) |
StepAn estimate of the goods that the staff member intends to ship must be arranged with the forwarding agent/agents as early as possible and the list of the items included in the estimate must be signed by both the SM or his/her representative, and the forwarding company; |
Responsible PartyStaff member |
Template/Guideline |
Explanatory NotesAn estimate of the goods that the staff member intends to ship must be arranged with the forwarding agent/agents as early as possible and the list of the items included in the estimate must be signed by both the SM or his/her representative, and the forwarding company; |
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1.c) |
StepIf shipping from a place where there is a UNDP office, contact the local HR/Operations Manager, once the shipment has been authorized, to make the shipping arrangements using an authorized forwarding agent. |
Responsible PartyStaff member |
Template/Guideline |
Explanatory NotesThe SM or his/her representative must be present at the time of packing to ensure that the packing list accurately describes the goods and their condition. He/she should sign the packing list, noting any exceptions if necessary, and retain a copy of the list which will be helpful in preparing an insurance request, or filing an insurance claim. |
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1.d) |
StepIf the shipment is estimated to exceed the weight entitlement, the shipping company will advise the SM. If the SM agrees to the charges assessed by the shipping company they will need to arrange proper payment directly with the shipping company. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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2.a) |
StepFor shipments arriving in the NY tri-state area, contact the Traffic Unit, UN Secretariat, Room FF-0285, tel. (212) 963-9389 (212) 963-9389 , email shipments@un.org Immediately upon arrival in NY to provide them with the following documents required for customs clearance: copies of a) G-4 visa; b) I-94; c) passport; d) ocean bill of lading or airway bill; e) shipment arrival notice; and f) approved travel request .
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Responsible PartyStaff member |
Template/Guideline |
Explanatory NotesThe SM (including SMs who have opted for the Relocation Grant) should be at the destination when the shipment arrives to attend to customs clearance requirements and delivery to residence. The SM will be liable for any charges resulting from delays attributed to his/her failure to do so. |
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2.b) |
StepFor shipments arriving in the CO and other BUs outside of HQs, contact the local HR/Operations Manager to complete the customs clearance forms (this also applies to staff who have opted for the Relocation Grant) and to make arrangements for the clearance and delivery of the shipment. |
Responsible PartyStaff member |
Template/Guideline |
Explanatory NotesOn taking delivery of the shipment, the SM (or the person authorized by the SM to receive the shipment) should take note of any external damage to the shipment, or any missing packages or crates. |
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3.a) |
StepContact the SM if contact information has been provided ; arrange for the estimate, packing and pick-up of the shipment in accordance with both the SM’s written instructions and the authorized entitlement (weight, , origin and destination, mode of shipment and the number of shipments. |
Responsible Party |
Template/Guideline |
Explanatory NotesThe CO and other BUs outside of HQs will arrange for at least three forwarding companies to view and estimate the weight of the goods and to provide their quotations; evaluate the quotations on the basis of cost and quality of service and award the job accordingly; endeavor to arrange shipments door-to-door and settle all costs with the forwarding agent; if necessary to arrange a shipment door-to-port, ensure that the destination services will be handled by the CO and other BUs outside of HQs at the destination, or by TSS/GO/BMS if there is no UNDP CO at destination. |
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3.b) |
StepAs soon as the shipment takes place, a) forward original shipping documents to the destination agent or the UNDP office handling the destination services ; b) provide the SM with a copy of all relevant shipping documents ; c) provide the UNDP office, or UNDP GO/TSS if there is no UNDP office at destination, with shipping details (departure/arrival dates, mode of shipment, shipping line,ocean bill of lading or airway bill number, weight of shipment, and number of pieces ; d) if shipment was arranged door-to-port, authorize the UNDP office at destination, or TSS/GO/BMS if there is no UNDP CO at destination, to arrange the destination services (clearance, storage - if authorized, and delivery to residence, providing such office with the relevant debit instructions (approved travel request number, PO number, chart of accounts-COA). |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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4.a) |
StepArrange for customs clearance as soon as possible in order to avoid demurrage charges. |
Responsible Party |
Template/Guideline |
Explanatory NotesIn case of delays, the reason/s for such delays should be documented and the party/ies responsible for such delays identified for the purpose of pinpointing responsibility and accountability. |
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4.b) |
StepIf the shipment was arranged : a) door-to-door, do not make any payment for destination services, unless specifically authorized by the office which arranged the shipment ; b) door-to-port, and the office which arranged the shipment has authorized the CO to arrange for destination services, settle the relevant invoice and charge the costs in accordance with the authorizing CO’s or with TSS/GO instructions, approved travel request, PO number and COA. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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5.a) |
StepRelocation Grant (RLG): Indicate his/her preference in writing to the appropriate Human Resource (HR) Service Center. |
Responsible Party |
Template/Guideline |
Explanatory NotesThe SM will be required to sign an attestation waiving the normal shipping entitlement for shipment and accepting the lump sum payment as complete for all costs related to his/her relocation. |
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5.b) |
StepFor moves administered by COs, pay RLG in the appropriate amounts upon notice from the HR Service Centre |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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5.c) |
StepFor moves administered by COs, pay RLG in the appropriate amounts upon notice from the HR Service Centre. |
Responsible PartyResident Representative |
Template/Guideline |
Explanatory Notes |
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6.a) |
StepInsurance arrangements: Submit a fully completed Itemized Valued Inventory form PT.78 (with a copy of the travel authorization indicating the insurance entitlement) to TSS/GO /BMS if making more than one shipment, an itemized valued inventory for each shipment must be prepared separately. |
Responsible PartyStaff Member (who has not opted for the RLG) |
Template/Guideline |
Explanatory NotesIf the total value of the inventory exceeds the insurance entitlement and the staff member has not indicated his/her agreement to pay for the over-entitlement, coverage will be requested only up to the maximum insurance entitlement. The itemized valued inventory should list all articles in the shipment, including containers such as suitcases, and the replacement value in U.S. dollars of each article in the inventory. All articles of special value, such as antiques, jewelry, furs and coin and stamp collections, should be listed separately. Information on the premium chargeable under the UN insurance policy is available upon request from the office that is responsible for arranging the insurance of the shipment
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6.b) |
StepIf the SM indicated on the PT.78 his/her agreement to pay for excess insurance coverage, inform him/her of the amount to be recovered from salary; if the SM is separating from service, collect the excess premium before submitting the PT.78 to UNTTS. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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6.c) |
StepExtension of insurance to cover personal effects/HHG placed in storage after shipment: Request an extension of coverage (from the arrival at the port to the date the goods are delivered to residence) from the company which insured the shipment so that the goods would be protected in the event of an insurance claim; request extension of insurance from the UNTTS (if insured through the UN) ; otherwise, request directly from the insurance company. |
Responsible PartyStaff member |
Template/Guideline |
Explanatory NotesSM is advised to arrange extension of insurance with the same company that was used for the in-transit insurance to ensure continuity . SM should provide name and location of the commercial warehouse, the date the goods were placed in storage. Storage insurance ceases automatically upon expiration of the period for which the SM has paid the premium for storage insurance.
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7. a) |
StepInsurance Claim (This does not apply to staff who have opted for the Relocation Grant): Write a memorandum or letter addressed to the Chief of Transportation Operations Unit, UNTSS, Room FF-0279 Mr. Guido den Braven, indicating origin/destination, mode, delivery date of shipment and listing the items damaged/missing with dollar amounts of claim. |
Responsible PartyStaff member |
Template/Guideline |
Explanatory NotesA completed PT-78 (Itemized Valued Inventory/Request for Insurance Coverage) should have been submitted to UNTTS prior to on forwarding of shipment. Make arrangements to have the shipment unpacked and examined immediately upon delivery; 212-963-6287); 212-963-6202); 212-963-9389); Keep a copy of all documents forwarded to UNTSS.
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1 |
StepProvision or Impairment of Financial Assets and Accounting for Fraud and Financial Loss |
Responsible Party |
Template/Guideline |
Explanatory NotesThe Standard Operating Procedure document provides the procedures to be applied for the recognition of an allowance for doubtful accounts, as well as the treatment of losses due to fraud and financial loss. The procedure contains two sections:
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