| United Nations Development Programme

Explanatory Notes

Identify major risks (both threats & opportunities) at corporate level affecting UNDP, twice a year at a minimum.

Review and analyze the overall UNDP risk profile and present to Risk Committee.

Evaluate each risk in the Corporate Risk Register to define the risks that require priority treatment based on UNDP’s risk acceptance in order to meet its objectives in the SP and avoid harm.

Step

Risk Treatment

Responsible Party

Risk Committee

Template/Guideline

Explanatory Notes

Escalate the risks from HQ units & all Bureaux for Risk Committee consideration to make decisions on escalated corporate risks (prioritize them and specific actions to be taken).

Step

Risk Monitoring & Review

Responsible Party

Risk Owner

Template/Guideline

Explanatory Notes

Document the decisions taken by Risk Committee in the Corporate Risk Log, and monitor and update it regularly.

Step

Risk Recording and Reporting

Responsible Party

Risk Committee

Template/Guideline

Project Document Template

Explanatory Notes

Records Risks in the ERM risk Register and Report the overall risk profile of UNDP; Prepare a bi-annual report to the EG, based on a strategic analysis of UNDP's overall risk landscape.

Step

Communications & Consultation

Responsible Party

Risk Owner

Template/Guideline

Explanatory Notes

Include key stakeholders in risk identification and risk analysis process. Communicate & consult with relevant parties of the Bureau and the Office at all stages of RM processes and update them at regular/planned intervals.

Step

Scope, context and criteria

Responsible Party

Bureau Director

Template/Guideline

Portfolio Document Template

Explanatory Notes

Integrated in Regional Programme Document; Global Programme Document; Bureau IWP; Office IWP.

Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk

Responsible Party

Bureau Director

Template/Guideline

Explanatory Notes

In consultation with relevant stakeholders, identify major risks for the overall objectives across COs in the region, Central Bureaux or the Office level, and track in respective IWPs (Risk Register), during programme 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/Unit Risk Register specific to Regional/Central Bureaus to define which risks require priority treatment based on the Bureau & Office’s risk acceptance in order to meet the Programme objectives and avoid harm.

Step

Risk Treatment

Responsible Party

Bureau Director/ Designate

Template/Guideline

Explanatory Notes

Respond to the COs & Units' escalated risks; Escalate the risks that cannot be adequately addressed by Central/Regional Bureaux, and the Offices to the Risk Committee.

Step

Risk Monitoring & Review

Responsible Party

Risk Owner

Template/Guideline

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. For RBx, ensure risk management being conducted in COs across the region.

Step

Risk Recording and Reporting

Responsible Party

Bureau Director/ Designate

Template/Guideline

Explanatory Notes

Records Risks in the ERM risk register and Report the Bureau and the Offices' major risks bi-annually in IWP and annually in ROAR.

Step

The Contract Management Module is designed to automate contract management and enable colleagues working in programme and operations to better track and manage contracts.

Responsible Party

Template/Guideline

Quantum

Explanatory Notes

Step

Initiate formal resolution by reporting incident(s) to OAI.

Responsible Party

Template/Guideline

Explanatory Notes

Send email to: reportmisconduct@undp.org

Anyone with information regarding allegations of misconduct can report it using one of the following means:

By email to OAI at reportmisconduct@undp.org or directly to the Director, Office of Audit and Investigations, or Deputy Director, Head of Investigations, Office of Audit and Investigations.
Through an online form accessible through the "Report fraud, abuse and misconduct" link at www.undp.org
Through UNDP's telephone answering system (toll-free):
- Worldwide: +1-770-776-5678 (with interpreters available 24 hours/day)
- In the United States: 1-877-557-8685
By fax: +1-770-409-5008 (worldwide)
By mail addresssed to: Director, Office of Audit and Investigations, or Deputy Director, Head of Investigations, Office of Audit and Investigations, One United Nations Plaza, DC1, 4th Floor, New York, NY 10017, USA
Use of external sexual harassment helpline for reporting sexual harassment.

Step

Initial screening.

Responsible Party

OAI

Template/Guideline

Explanatory Notes

During initial screening, OAI will look at, inter alia, whether the complaint falls within OAI's investigative authority. If it does not, OAI may refer the case to the appropriate entity.

People reporting misconduct have the option to leave relevant contact information or to remain anonymous. An anonymous complaint should contain enough detailed information to allow OAI to obtain independent corroboration of the facts. If there is no way to independently corroborate the information provided by the anonymous source, OAI will not be able to investigate the complaint and may be required to close the case.

Individuals are encouraged to be as specific as possible, including the basic details of who, what, where, when and how the incident(s) occurred. Specific information will allow OAI to properly investigate the alleged misconduct.

OAI will acknowledge receipt of a complaint as soon as possible, usually within 48 hours after its receipt.

There are no time limitations for reporting cases involving allegations of sexual harassment.

Other complaints of workplace harassment, abuse of authority or discrimination must be submitted to OAI by no later than one year after the last incident. OAI's Director has the discretion to accept a complaint after the time limit has passed in extraordinary circumstances.

To ensure process efficiency, OAI will further assess if a written statement in a standardized format is required.

Step

Conduct Assessment.

Responsible Party

OAI

Template/Guideline

Explanatory Notes

During the assessment, OAI will look at, inter alia, whether there is sufficient information to warrant a formal investigation and whether an investigation by OAI is the most appropriate action

To ensure process efficiency, OAI will further assess if a written statement in a standardized format is required

Decisions as to whether investigations should be pursued are made in accordance with the rules, policies and procedures of the Organization.

OAI has the exclusive authority for determining whether to close a case or proceed with an investigation on the basis of OAI's assessment.

Step

Assessment decision

Responsible Party

OAI

Template/Guideline

Explanatory Notes

If OAI’s assessment indicates that the complaint falls within OAI’s investigative authority, that there is sufficient information to warrant a formal investigation, and that an investigation by OAI is the most appropriate action, an investigation will be initiated in accordance with the OAI Investigation Guidelines and the UNDP Legal Framework for Addressing Non-Compliance with UN Standards of Conduct.

OAI will prioritise cases of sexual harassment. It will conduct the investigation expeditiously within the constraints of available resources.

OAI will close the case when, for instance, there is insufficient evidence to warrant an investigation, the allegations do not fall within OAI’s mandate, or when an investigation by OAI is not the most appropriate action.

OAI will notify the complainant of the closure.

Step

Conduct investigation.

Responsible Party

OAI

Template/Guideline

Explanatory Notes

OAI will conduct its investigation in accordance with OAI’s Investigation Guidelines.

Step

Investigation reporting.

Responsible Party

OAI

Template/Guideline

Explanatory Notes

When the investigation is completed and it reveals enough evidence to reasonably conclude that misconduct has occurred, the investigator will prepare an investigation report in accordance with OAI’s Investigation Guidelines. The complainant is not entitled to receive a copy of the investigation report concerning allegations of misconduct against the investigation subject.

Step

Notify complainant and subject of outcome.

Responsible Party

OAI

Template/Guideline

Explanatory Notes

OAI and/or the relevant authority will notify the complainant and the subject of the outcome of the investigation.

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.

1.0

Step

Establish grant selection committee (if different from project board and/or portfolio board).

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Explanatory Notes

Low Value Grants Operational Guidance.

2.0

Step

Define grant selection criteria.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

Explanatory Notes

Note that grant selection criteria are often determined or influenced by the funding source.

2.1 OPT

Step

Conduct specific implementing partner capacity assessment for on-granting in line with the selection criteria.

Responsible Party

Project Developer and/or Portfolio Developer

Template/Guideline

The PCAT tool is a macro excel file which contains macros. To complete the download of the PCAT, please follow the quick guide under the explanatory notes.

Partner Capacity Assessment tool

Explanatory Notes

The partner capacity assessment tool has a worksheet for on-granting, which is enabled only when on-granting is used. (Quick Guide to Downloading the PCAT).

3.0

Step

Solicit grant proposals in line with the project document and/or portfolio document.

Responsible Party

Project Manager

Template/Guideline

Self Certification (Programming Entities)

Explanatory Notes

Both the overall project and/or portfolio purpose and the grant selection criteria should be referenced.

Low Value Grant agreement

Grant proposals to include the signed Self Certification (Programming Entities)

4.0

Step

Selection of grantees and award of grants.

Responsible Party

Grant selection committee or project board and/or portfolio board

Template/Guideline

Partner Capacity Assessment Tool

Explanatory Notes

The process of selection is described in the terms of reference of the grant selection committee.