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Facts Anterior

1
Step

Submission of the request for termination of appointment. 
Responsible Party

Bureau or Country Office

Template/Guideline
Explanatory Notes

2
Step

Review of the request. 
 

 

 
Responsible Party

OHR Business Partner and Legal Office

Template/Guideline
Explanatory Notes

Review by Legal Office required in all cases. 
 

 

3
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment. 
 

 

4
Step

Implementation of the decision. 


 
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify staff member and prepare Request for Personnel Action.

Receive notification.

Calculation of indemnities.

Implement termination decision.
 

 

 

Disciplinary Reasons

1
Step

Submission and decision. 


Responsible Party
Template/Guideline
Explanatory Notes

Please refer to the UNDP Legal Framework for addressing non-compliance with the UN standards of conduct

2
Step
Implementation of the decision.
Responsible Party

OHR Business Partner

Template/Guideline
Explanatory Notes

Implements termination decision under LO guidance.

Incapacity for further service for health reasons

1
Step

Submission of the request for termination of appointment.
Responsible Party

OHR Business Partner

Template/Guideline
Explanatory Notes

Once staff member has exhausted sick leave and annual leave. 

Request UN Medical Director to establish medical condition of staff member. 
 

 

2
Step

Review of the request.
 

 


 
Responsible Party

UN Medical Director, Staff Member

Template/Guideline
Explanatory Notes

Reviews submission/determines impairment exists. 
 

If staff member disagrees with the recommendation, OHR BP will submit for further review to be done by UN Medical Director.

If staff member agrees with the recommendation, the recommendation of termination will be provided by UN Staff Pension Committee. 
 

3
Step

Endorsment of the request. 



 
Responsible Party

UN Staff Pension Committee

Template/Guideline
Explanatory Notes

Recommendation of termination provided. 
 

4
Step

Approval of the request in section 1.0.




 
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment. 


 

5
Step

Implementation of the decision. 
 
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify staff member and prepare Request for Personnel Action. 

Receive notification. 

Calculation of indemnities. 

Implement seperation decision. 


 

Unsatisfactory service

1
Step

Submission of the request for termination of appointment.
Responsible Party
Template/Guideline
Explanatory Notes

Discuss expectation and feedback with staff member.

Seek guidance on managing underperformance with Local HR Advisor.

Inform staff of the possible conseuquence of underperformance.

Submit the termination of appointment request to Local HR Advisor.

 
 

 

 

2
Step

Review of the request.
Responsible Party

Local HR Advisor, OHR Business Partner

Template/Guideline
Explanatory Notes

Review the request and documentation.

Inform staff member of performance review process.

Engage TMRG.

Inform Supervisor of HR position & consideration.

Provide recommendation on separation types to Supervisor.

 

3
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve termination of appointment.  

 

 

4
Step

Implementation of the decision.
Responsible Party

OHR Business Partner, Staff Member, PFU

Template/Guideline
Explanatory Notes

Notify staff member.

Staff member receives notification.

 

 

Termination of appointment for abolishment of post or reduction of staff

1
Step

Submission of the request for termination of appointment.
Responsible Party

Bureau or Country Office

Template/Guideline
Explanatory Notes

Submit the request to Local HR Advisor of OHR Business partner.

2
Step

Review of the request in section 1.0.
Responsible Party

OHR Business Partner and Legal Office

Template/Guideline
Explanatory Notes

Review by Legal Office if necessary.

3
Step

Request separation prior to the end of the notice period.
Responsible Party

Staff member

Template/Guideline
Explanatory Notes

If a staff member wishes to separate prior to the end of his or her notice period and that such notice be paid instead of served.

4
Step

Approval of request in Section 3.0.
Responsible Party

HQ: Director, OHR. Outside HQ: Head of Office

Template/Guideline
Explanatory Notes

5
Step

Approval of the request in section 1.0.
Responsible Party

Assistant Administrator and Director, BMS

Template/Guideline
Explanatory Notes

Approve the request for termination.  

6
Step

Implementation of the decision in section 1.0.
Responsible Party

OHR Business Partner,

Staff member

Template/Guideline
Explanatory Notes

Notify Staff Member and prepare Request for Personal Action (RPA).

Receive Notification.

Calculation of indemnities.

Implement separation decision.   

 

UN Agency Services Procedure

1
Step

Service Level Agreement signed between UNDP and the Agency.
Responsible Party
Template/Guideline

UNDP Service Level Agreement (SLA) template

Explanatory Notes

Repository of Agency Agreements​​   

2
Step

Submit written and authorized service request.
Responsible Party

UN Agency

Template/Guideline

Authorized Agency Signatories List

Explanatory Notes

Refer to last page of Annex II for the payment request form template.

3
Step

a) Provision of standard Services to Agencies as per UPL such as processing payments, conducting procurement process.

b) Provision of ad hoc Services to agencies as per SLA signed or LPL. 
 
Responsible Party

COs and HQ units

Template/Guideline
Explanatory Notes

Refer to the relevant POPP policies on Procurement, Expense management and Human Resources management.

4
Step

Determine the type of services (standard, ad-hoc, global or common services) and applicable fees based on UPL/LPL.
Responsible Party

COs and HQ units

Template/Guideline

POPP policy and procedure: UN Agency Services

Universal or Local Price List - UPL or LPL

Explanatory Notes

5
Step

Prepare service bills to UN agencies and apply service revenue. 
Responsible Party

COs and HQ units

Template/Guideline

POPP policy and procedure: Service Clearing Account (SCA): Charging, Billing and Fee Collection

Explanatory Notes

Service fees will be generated and accounted for based on UPL and LPL in the UN Agencies Portal from which accounting entries will flow to the GL.  

6
Step

Prepare monthly SCA reports and provide to agencies.
Responsible Party

GSSC SCA Team

Template/Guideline

SCA Monthly Reports

Explanatory Notes

GSSC SCA team uploads monthly SCA reports in the agencies site

7
Step

Completion of Semi-annual 12a reconciliation.
Responsible Party

UN Agency

Template/Guideline

12a Reconciliation Reports

Explanatory Notes

GSSC SCA team uploads 12a reports in the agencies site.

8
Step

Monitor application of service revenue by COs.
Responsible Party
Template/Guideline
Explanatory Notes

9
Step

Monitor and resolve the SCA rejections.
Responsible Party

COs and HQ units

Template/Guideline

SCA Dashboard

Explanatory Notes

UNDP COs/HQ units liaise directly with the UN agency for resolution.

Dependency Status and Allowances Procedures

1
Step

The Dependency Questionnaire Form (P.84) which is available at OHR’s intranet site in paper form or at link for online form, must be completed in the following cases: 


a) Upon entry on duty, to establish a dependency entitlement; or 
 
b) At any time when a change in dependency status occurs, i.e.: 
 
i) Marriage
ii) Divorce
iii) Legal separation;
iv) Birth
v) Death
vi) Children between the ages of 18 and 21 years ceasing full-time school attendance
vii) Children of any age that have a permanent or long-term disability that prevents substantial gainful employment
viii) Any changes in government child grants 
ix) Any changes in dependent spouse earnings;
The spouse’s annual gross earnings, if any, shall not exceed the amounts determined under ST/AI/2016/8 sections 2.1 (a) or 2.1 (b), as applicable.
x) Any changes in meeting the eligibility criteria of a single parent
 
c) At the time of the annual exercise where all staff members are required to report any changes to their dependency status or confirm that there are no changes to the current status
 
Responsible Party

Staff member

Template/Guideline

Allowances and Benefits​ Dependency Status Questionnaire P.84

Explanatory Notes

Timely submission of information regarding changes in dependency status will ensure correct and timely payment of allowances. Failure to report on a timely basis, may lead to large recoveries as overpayments are recovered in full.
 
A staff member who at any time during the five-year period following payment of the dependency benefit is requested and is unable to prove eligibility, may be subject to recoveries and to disciplinary sanctions. 
 
An annual message will be sent out to international and local staff in UNDP and to the staff that UNDP administer on behalf of other agencies, asking staff members to report any changes or to confirm no changes.

2
Step

The Dependency Questionnaire Form, together with the necessary supporting documentation, should be submitted for review and issuance of the corresponding personnel action reflecting either the staff member’s entitlement to or discontinuance of the allowance.
Responsible Party

JPOSC HR,

Operations Manager

Template/Guideline

For internationally recruited staff members and for locally recruited staff members stationed in NY, to the GSSC HR focal point or JPOSC HR Focal point For locally recruited staff members stationed outside NY, to the local HR/Operations Manager

Link to my HR focal point
Explanatory Notes

Supporting Documentation 
 
Marital status
 
Upon entry on duty or change of marital status, a staff member is required to submit supporting documents if: 
 
a) Married, a marriage certificate
 
b) Married under Common Law: 
 
i) Documentary proof of validity of common law marriage where contracted
 
ii) Letter from a senior or judicial officer from staff member's home country confirming that common law marriage does not violate that country's public policy
 
iii) Proof of capacity to marry, i.e., parties must be single (or divorced if previously married)
 
iv) Evidence of mutual agreement to fulfil legal obligations of marriage
 
c) Legally separated, legal separation papers
 
d) Divorced, divorce certificate; or 
 
e) Widowed, death certificate
 
Spouse
 
Upon entry on duty or change of marital status, a birth certificate, national identity card, or national passport of spouse giving full name, date of birth, and nationality. 
 
If the staff member is claiming dependency allowance, he/she should have the necessary documentation (e.g., W-2 form, income tax return form, or certificate of spouse’s gross annual earnings from employer) ready at any time during the five-year period following payment to clarify or to answer queries arising from a review or audit of the entitlement or related payment. 
 
Gross annual earnings include all earnings, including occupational earnings, earnings resulting from investments, income from pension such as retirement and disability benefits and unemployment benefits.
 
If the staff member is legally separated and claims dependency allowance, proof of continued financial support to spouse may also be required at any time during the five-year period following the payment. 
 
The allowance is based on yearly earnings and is discontinued for the full year if the annual gross earnings exceed the amounts determined under ST/AI/2016/8 sections 2.1 (a) or 2.1 (b), as applicable.
 
Children under 21
 
Upon entry on duty or birth of a child, a birth certificate is required for establishing dependency. Only in the event that a birth certificate does not exist, a national identity card or national passport of child giving full name, date of birth, and nationality may suffice.
 
If the staff member is claiming dependency allowance, he/she should have the necessary documentation ready at any time during the five-year period following payment to clarify or to answer queries arising from a review or audit of the entitlement or related payment, i.e.: 
 
a) If the child is between 18 and 21, proof of full-time school attendance (e.g., academic institution’s certificate of full-time attendance)
The full-time attendance is not considered broken by summer holidays between school years or shorter breaks due to change in schools as long as the child continues to be enrolled in a school with full time attendance.
 
b) If the staff member is divorced or legally separated and his/her child does not reside with the staff member, proof that the staff member has assumed responsibility for the main and continuing support of the child (e.g., bank statements, cancelled cheques, bank drafts, or money orders duly date stamped, showing that payments have been regularly made and, if applicable, continue to be made by the staff member to the dependent) 
 
c) If the child is married, proof (e.g., bank statements, cancelled cheques, bank drafts, or money orders duly date-stamped, showing that payments have been regularly made and, if applicable, continue to be made by the staff member to the dependent) that the staff member has assumed responsibility for the main and continuing support of the child. 
 
A staff member who at any time during the five-year period following payment of the dependency benefit is requested and is unable to prove eligibility, may be subject to recoveries and to disciplinary sanctions. 
 
Disabled children (of any age)
 
Upon entry on duty or birth of a child, a birth certificate is required for establishing dependency. Only in the event that a birth certificate does not exist, a national identity card or national passport of child giving full name, date of birth, and nationality may suffice.
 
If the staff member is claiming special dependency allowance, a request must be forwarded to the UN Medical Director for determination of disability through the HR focal point in GSSC, JPOSC or local HR-Operations Manager 
 
Only upon receipt of the endorsement from UN Medical Director can the HR focal point enter the data in the UNDP ERP system to trigger payment of the allowance in payroll.
 
The request must include a medical report from the child’s attending physician(s) in a sealed envelope marked “confidential” and addressed to the UN Medical Director. If the medical report(s) is/are not received in a sealed envelope, it/they should be immediately sealed. No copies may be made of the medical report(s) for the staff member’s personal file or any other file. 
 
Usually, the UN Medical Services Division requires the staff member to periodically provide updated medical reports.
 
Stepchildren under 21
 
Upon entry on duty or marriage, a birth certificate is required for establishing dependency. Only in the event that a birth certificate does not exist, a national identity card or national passport of child giving full name, date of birth, and nationality may suffice, giving full name, date of birth, and nationality. 
 
If the staff member is claiming a dependent child allowance, a copy of the divorce judgement granting legal custody of child to staff member’s spouse. No further supporting documentation will be required, but he/she should have the necessary documentation ready at any time during the five-year period following payment to clarify or to answer queries arising from a review or audit of the entitlement or related payment, i.e.: 
 
a) Evidence that the child resides with the staff member. If staff member is serving at a non-family duty station the household of the spouse is considered ‘residing with the staff member’ for the purpose of establishing dependency.
 
b) Evidence that the staff member provides main and continuing support 
 
c) Evidence that the child is not receiving main and continuing support from other parent
 
Adopted children under 21
 
Upon entry on duty or adoption, of a child, a birth certificate is required for establishing dependency. Only in the event that a birth certificate does not exist, a national identity card or national passport of child giving full name, date of birth, and nationality may suffice.
 
 
If the staff member is claiming a dependent child allowance: 
 
a) Where there is statutory provision for adoption or prescribed court procedure for official recognition of customary or de facto adoption: 
 
i) Official documentary evidence of adoption in accordance with relevant statutory provisions, or formal recognition by prescribed court procedure of customary or de facto adoption of child
 
ii) If adoption has not yet taken place, official documentary evidence that adoption procedures have been initiated and that, pending finalization of procedure, child is being entrusted to staff member’s care 
 
iii) If legally adopted child does not reside with the staff member, proof of continuing financial support; or 
 
b) Where there is no statutory provision for adoption or prescribed court procedure for official recognition of customary or de facto adoption: 
 
i) Statement from the appropriate national authorities that adoption is not possible
 
ii) Affidavit that child will be residing with the staff member and that staff member will assume parental duties and obligation vis-à-vis child. Once child arrives in staff member’s home, evidence that child resides with staff member and that parental relationships between natural parents and child have been severed and have been established with adoptive parent 
 
iii) Evidence of main and continuing support
 
Secondary dependent
 
Upon entry on duty or claiming dependency benefit for the first time, a
a) birth certificate, national identity card, or national passport of secondary dependent giving full name, date of birth, and nationality.
b) A notarized statement from the dependent indicating:
i) That monies received from the staff member contribute to at least one half or more of his/her financial support and at least twice the amount of the dependency allowance payable to the staff member in respect of secondary dependent
ii) That the amount is received on a regular basis from the staff member (e.g., monthly or quarterly)
iii) The evidence of dependent's income for previous calendar year (pension statement or income tax return); and 
iv) That the dependent resides with the staff member 
b) If the dependent: 
 
i) Is residing with the staff member, the notarized statements should also confirm that the dependent resides with the staff member 
 
a)    ii) If not residing with the staff member, evidence of support (bank statements, cancelled cheques, bank drafts, or money orders duly date stamped).
 
The staff member should have the necessary documentation ready at any time during the five-year period following payment of the secondary dependency allowance to clarify or to answer queries arising from a review or audit of the entitlement or related payment, i.e.: 
 
a) A notarized statement from the dependent indicating: 
 
i) That monies received from the staff member contribute to at least one half or more of his/her financial support and at least twice the amount of the dependency allowance payable to the staff member in respect of secondary dependent
 
ii) That the amount is received on a regular basis from the staff member (e.g., monthly or quarterly)
 
iii) The evidence of dependent's income for previous calendar year (pension statement or income tax return); and 
 
iv) That the dependent resides with the staff member 
 
b) If the dependent: 
 
i) Is residing with the staff member, the notarized statements should also confirm that the dependent resides with the staff member 
 
ii) If not residing with the staff member, evidence of support (bank statements, cancelled cheques, bank drafts, or money orders duly date stamped).    

3
Step

Deduction of financial support from single parent allowance for international staff.
Responsible Party

JPOSC HR

Template/Guideline
Explanatory Notes

Based on the information in the P.84, financial support is deducted from the single parent allowance up to the amount of the dependency allowance referred to in the Annex to ST/AI/2011/6.  

4
Step

Deduction of government grant from dependency allowances
Responsible Party

JPOSC HR

Template/Guideline
Explanatory Notes

Based on the information in the P.84, the government grant amount received on account of the child will be deducted from the single parent allowance, transitional allowance or dependency allowance paid on account of that child. If financial support is deducted from the single parent allowance, the government grant will be deducted in addition to the financial support and from the entire single parent allowance.

5
Step

Retroactivity of payment.
Responsible Party
Template/Guideline
Explanatory Notes

Claims submitted late are processed in accordance with Staff Rule 3.17 on retroactivity of payment. A payment of claim can be made retroactively up to one year from the date of claim.  For spouse allowance, the eligibility of the spouse dependency status follows the calendar year and the retroactive payment will therefore be effective from 1 January of the previous year.

Managing Unit/Programme-Level Risk (Country Office)

1
Step

Communications & Consultation
Responsible Party

Risk Owner

Template/Guideline
Explanatory Notes

Engage key stakeholders in risk identification and risk analysis process. Keep the Programme Board, other stakeholders/partners of the CO and the HQ Unit informed on RM processes.

2
Step

Scope, context and criteria
Responsible Party

Programme Manager/ Resident Representative

Template/Guideline

UNSDCF Guidance

CPD Template

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Integrated in the UN Sustainable Development Cooperation Framework (UNSDCF); Country Programme Document (CPD); IWP of the CO and the HQ Unit
 

3
Step

Risk Assessment:

Identification of Risks

Risk Analysis

Evaluation of Risk
Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

In consultation with relevant stakeholders, identify major risks for the overall programme objectives and the respective IWP of the CO and the Unit and track in programme/unit Risk Register, during portfolio/project 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 Risk Register specific to Country Offices to determine which risks need treatment and must be prioritized, in order to meet the objectives of the respective IWP.

4
Step

Risk Treatment
Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Implement treatment options. Respond to the escalated risks. Escalate the risks that can't be adequately addressed at the CO and HQ Units to Programme level.
 

5
Step

Risk Monitoring & Review
Responsible Party

Risk Owner

Template/Guideline

Programme/Unit Risk Register (Quantum+)

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.
 

6
Step

Risk Recording and Reporting
Responsible Party

Programme Manager in consultation with relevant expertise

Template/Guideline

Programme/Unit Risk Register (Quantum+)

Explanatory Notes

Record risks in ERM risk Register and Report the CO and HQ Units major risks in their IWP bi-annually and annually in ROAR.
 

Managing Portfolio and/or Project-Level Risk (Country, Regional or Global Portfolios and/or Projects)

1
Step

Communications & Consultation

 
Responsible Party

Risk Owner

Template/Guideline
Explanatory Notes

Engage key stakeholders in risk identification and risk analysis process. Keep the Portfolio and/or Project Board and other stakeholders/partners informed on RM processes at the portfolio and/or project level.

2
Step

Scope, Context and Criteria
Responsible Party

Portfolio Developer, Project Developer, Portfolio Manager or Project Manager

Template/Guideline

Project Document Template

Portfolio Document Template

Portfolio and/or Project Risk Register

Explanatory Notes

Integrated in Programme and/or Portfolio Document, Project Document, Multi-Year Work Plan.

3
Step

Risk Assessment:
 
Identification of Risks

Risk Analysis

Evaluation of Risk
Responsible Party

Portfolio Developer, Project Developer, Portfolio Manager or Project Manager,

Portfolio Manager and/or Project Manager

Template/Guideline

Portfolio/Project Risk Register

Explanatory Notes

Assess risks during Portfolio/Project Design and as often as needed during implementation, once a year at a minimum. Track in Risk Register.

In consultation with relevant stakeholders, identify major risks for the portfolio/project objectives.

Analyze likelihood and impact of the portfolio/project risks by applying the ERM Criteria Model and record in Risk Register.

Evaluate each portfolio/project risk to determine which risks can be accepted and which risks require a priority treatment in order to meet portfolio/project objectives and avoid harm.

4
Step

Risk Treatment
Responsible Party

Portfolio/Project Developer or Portfolio/Project Manager

Template/Guideline

Portfolio/Project Risk Register

Explanatory Notes

Identify risk treatment measures in Risk Register during portfolio/project design, prior to portfolio/project approval.

During implementation, update/confirm risk treatment measures to address changes in context, new information and new risks, as necessary and based on Step 4. Implement identified risk treatment measures. Escalate/transfer the risks that meet any of the escalation conditions to the applicable line management.

5
Step

Risk Monitoring & Review
Responsible Party

Risk Owner

Template/Guideline

Portfolio/Project Risk Register Template

Explanatory Notes

Monitor and review risks at the frequency that is best fit for the risk and complexity of the portfolio/project. Update Risk Register once a year at a minimum.

6
Step

Risk Recording and Reporting
Responsible Party

Portfolio/Project Manager

Template/Guideline

Portfolio and Project Risk Register

Explanatory Notes

Risks are to be recorded in ERM Risk Register and risk reporting is integrated in agreed portfolio/project reporting cycle, once a year at a minimum. Portfolio/Project risks presented to the Portfolio/Project Board.
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