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Electronic Signatures Solution (External)

1
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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

 

2
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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

 

3
Step

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

 
Responsible Party

Operations Manager/IT Manager,

Procurement

Template/Guideline

Electronic Signatures Policy

List of UNDP Systems and Tools for Electronic Records and Approvals

Explanatory Notes

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

 

4
Step

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

 
Responsible Party

Operations Manager

Template/Guideline

Information Security Policy

Electronic Signatures Policy

Minimum Standards for ICT Infrastructure and Technology

Explanatory Notes

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

 

5
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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

 

6
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The report should be filed for auditing purposes. 

 

7
Step

Communicate new procedure and technological use

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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

 

Electronic Signatures Solution (Internal)

1
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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

 

2
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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

 

3
Step

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

 
Responsible Party

Operations Manager/IT Manager,

Procurement

Template/Guideline

Electronic Signatures Policy

List of UNDP Systems and Tools for Electronic Records and Approvals

Explanatory Notes

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

 

4
Step

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

 
Responsible Party

Operations Manager

Template/Guideline

Information Security Policy

Internal Control Framework

Electronic Signatures Policy

UNDP Standards for IT Infrastructure and Services

Explanatory Notes

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


 

5
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

Ensure that technical solutions are kept current. 

 

6
Step

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

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

The report should be filed for auditing purposes. 

 

7
Step

Communicate new procedure and technological use

 
Responsible Party

Operations Manager

Template/Guideline
Explanatory Notes

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


 

Reporting, retaining, and disposing received gifts, honours, decorations, favours, hospitality, or remuneration received from governmental or non-governmental sources without prior UNDP approval

1
Step
Within seven calendar days of receiving, without prior UNDP approval, a gift or other item from a governmental or non-governmental source for any of the reasons stated under paragraphs 15 – 25 of the Gifts Policy, the recipient must notify their Head-of-Office or Resident Representative, complete the UNDP Gift Declaration and Registration Form, and submit the form to the Gifts Administrator (gifts.administrator@undp.org).
Responsible Party

Head-of-Office or Resident Representative,

Gifts Administrator

Template/Guideline

Gift Declaration and Registration Form

Explanatory Notes

2
Step
Upon receipt of a completed UNDP Gift Declaration and Registration Form, the Gifts Administrator shall record the declared item in the Registry and, in addition to the options listed under paragraph 30 of the Gifts Policy, may instruct the staff that the item be declined and returned to the source.
Responsible Party

Gifts Administrator

Template/Guideline
Explanatory Notes

3
Step
Regarding items that may be held by UNDP, pending being returned to the recipient upon their separation from UNDP, the Office of General Operations is limited to storing personalized medals, small plaques, and other similar items. The Office of General Operations will be responsible for determining how such an item will be stored.
Responsible Party

Office of General Operations

Template/Guideline
Explanatory Notes

Obtaining prior approval to receive a gift, honour, decoration, favour, or hospitality from a non-governmental source

1
Step
The Gifts Administrator will establish and maintain a Registry for all gifts, honours, decorations, favours and hospitality, received by UNDP personnel as of the date this policy takes effect.

The Registry will include the following information:
  • The name and functional title of the recipient;
  • The name of the governmental or non-governmental source;
  • A description of the item and the circumstances that led to it being presented;
  • The date of receipt; and
  • The action taken for the item's disposition, including if the item is transmitted to the Gifts Administrator.
Responsible Party

Gifts Administrator

Template/Guideline
Explanatory Notes

2
Step
If an individual becomes aware that they are to be offered a gift or item, other than remuneration from a non-government source that is not an individual or entity doing or seeking to do business with the UN/UNDP, and wishes to accept the item on an exceptional basis, they must first obtain their Head-of-Office or Resident Representative’s agreement and then complete and submit to the Gifts Administrator the UNDP Gift Declaration and Registration Form. 

The individual shall not accept the offered item unless formal approval is granted by the Gifts Administrator. Where required, the Gifts Administrator may consult with the Ethics Office, the Legal Office and other offices in UNDP prior to communicating a decision to the individual.
Responsible Party

Head-of-Office or Resident Representative,

Gifts Administrator

Template/Guideline

Gift Declaration and Registration Form

Explanatory Notes

3
Step
If the Gifts Administrator approves the request, they shall inform the individual in writing and record the item in the Registry. In cases of approval, the Gifts Administrator will determine the final disposition of the item, including:  
  • Authorizing that the item be retained by the recipient;
  • Authorizing that the item be retained by UNDP and displayed in the respective UNDP office;
  • Instruction for the item to be sent to the Gifts Administrator for retention by UNDP and returned to the UNDP personnel further to their separation from service;
  • Instruction for the item to be sent to the Gifts Administrator for disposition by UNDP, including monetization for the benefit of UNDP or other group as determined by UNDP; or
  • Any other means of disposition determined by the Gifts Administrator to be in the best interests of UNDP.
Responsible Party

Gifts Administrator

Template/Guideline
Explanatory Notes

4
Step
Should the Gifts Administrator not approve the request, the individual shall be instructed in writing by the Gifts Administrator to decline the offered gift or other item. 
Responsible Party

Gifts Administrator

Template/Guideline
Explanatory Notes

Permanent Residency (Where a staff member holds permanent residency at the time of appointment or acquires permanent residency in the United States or elsewhere during active service)

1
Step

Prior to taking steps to obtain permanent residency (or similar status) in another country than that of their officially recognized nationality the staff member must inform OHR or GSSC
Once the staff member has obtained permanent residency, the staff member immediately sends a copy of the permanent residency documents to BES-GSSC/JPOSC for recording and review of its effect on benefits and entitlements.
 
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

If the staff member’s duty station is in the country of permanent residency, the staff member will normally no longer be eligible for international benefits. The staff member’s place of home leave will be amended to reflect the country of permanent residency.

 

1.2
Step

For US Permanent Residency:  Upon notification from staff member that US Permanent residency has been obtained, BES-GSSC/JPOSC authorizes staff member to sign the "Waiver of Privileges Exemptions and Immunities” (I-508). 

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

Link to form
 

1.3
Step

Staff member signs I-508 and sends a copy to BES-GSSC/JPOSC together with his/her social security number.

 
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

2.0
Step

BES-GSSc/JPOSC records the staff member as US tax payer in Atlas. The staff member will be entitled to tax reimbursements as of the date of the signature of the waiver.

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

Determination of Nationality (Where a staff member has more than one nationality at the time of appointment or the staff member acquires a new nationality during service)

1
Step

UNDP decides to review or staff member informs GSSC/JPOSC about nationalities at the time of appointment (P-11) or at the time of acquisition of a new nationality during service, including while on SLWOP.
 
Responsible Party

GSSC-Copenhagen/JPOSC,

Staff member

Template/Guideline
Explanatory Notes

Staff member is obligated to inform UNDP in advance of any additional nationality being acquired. New review of closest affiliation is required as per step 1.2.
 

1.2
Step

GSSC / JPOSC conducts a review of the closest affiliation of the staff member with the different nationalities to determine the official UN nationality which may include assessment of the following criteria:


-        The most recently acquired nationality;


-        Circumstances of acquisition of nationality


-        Cumulative years of residence in each country of nationality;


-        Years of education and professional experience in each country of nationality
-        Location of family members;


-        Recruitment into the UN Common system through a National Competitive Examination;


-        Other relevant factors such as ownership of property, voting rights, payment of taxes etc.
 
 
 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline

HR_Recruitment and Selection_Matrix for Determination of Nationality

Explanatory Notes


 

​

1.3
Step

GSSC/JPOSC informs the staff member of the determination of the official UN nationality and impact on Benefits and Entitlements, including the determination of the new official place of Home Leave.

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

The effective date of any change in determination will be the date that the new nationality was acquired. 

 

2.0
Step

If the staff member is assigned to the country of UN recognized nationality or official place of Home Leave the staff member will not be eligible for international benefits.

 
Responsible Party
Template/Guideline
Explanatory Notes

3.0
Step

If the recognized nationality of the staff member is the United States, BES-GSSC/JPOSC authorizes staff member to sign the “ Waiver of Privileges Exemptions and Immunities ” (I-508). 

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

Link to form.
 

3.1
Step

Staff member signs I-508 and sends a copy to BES-GSSC/JPOSC together with his/her social security number.

 
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

3.2
Step

BES-GSSC/JPOSC records the staff member as US tax payer in Quantum. The staff member will be entitled to tax reimbursements as of the date of the signature of the waiver. 

 
Responsible Party

GSSC-Copenhagen /JPOSC

Template/Guideline
Explanatory Notes

Closing a Bank Account in a Regular Operating Environment

1
Step
Request to close the bank account.

Account with no activity for 6 months needs to be reviewed for closure or provide the explanation to Treasury to keep the account open.  
Responsible Party

RR/Business Unit Head

Template/Guideline
Explanatory Notes

2
Step
Provide current B2B, and last 3-month bank statements, clear all outstanding B2B issues, move the fund out of bank account and make available balance zero.
Responsible Party

RR/Business Unit Head

Template/Guideline
Explanatory Notes

3
Step
Review bank account closing request.
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

4
Step
Review B2B report, provide clearance to close the account.
Responsible Party

Chief, CFRA

Template/Guideline
Explanatory Notes

5
Step
Approve bank account closing request.
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

6
Step
Arrange for preparation of the official letter to close the bank account if the request is approved.
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

7
Step
Send Official Letter to close bank account to bank. 
Responsible Party
Template/Guideline
Explanatory Notes

8
Step
Obtain and provide in bank’s letterhead the confirmation that the account has been closed at bank.
Responsible Party

Bank,
Template/Guideline
Explanatory Notes

9
Step
Close the bank account in Quantum.  
Responsible Party

Treasurer

Template/Guideline
Explanatory Notes

Quality Assurance for Health Products Procedures

1
Step

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

CO Director and Programme Manager,

RBx,

GPSD-Health

Template/Guideline
Explanatory Notes

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

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

2
Step

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

CO or RBx Procurement team,

GPSD-Health

Template/Guideline
Explanatory Notes

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

3
Step

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

CO,

RBx,

UNDP QA Team

Template/Guideline
Explanatory Notes

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

4
Step

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

UNDP QA Team

Template/Guideline
Explanatory Notes

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

5
Step

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

CO/RBx Procurement teams GPSD-Health team,

GPSD-Health team

Template/Guideline
Explanatory Notes

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

6
Step

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

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

CO/RBx Procurement teams,

UNDP QA Team,

GFPHST PSM Country focal points

Template/Guideline
Explanatory Notes

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

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

7
Step

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

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

Suppliers UNDP QA Team

Template/Guideline
Explanatory Notes

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

8
Step

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

UNDP QA Team

Template/Guideline
Explanatory Notes

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