| United Nations Development Programme

Step

Preparation of the job description

Responsible Party

Hiring unit

Template/Guideline

Explanatory Notes

The job description is typically prepared by the supervisor, with the assistance of the human resources staff using the standard UNDP job description template.

Step

Classification of the post

Responsible Party

HR staff,

deputy resident representative / deputy country director,

Operations Manager

Template/Guideline

Explanatory Notes

The position is classified by human resources staff and certified by the deputy resident representative/deputy country director or operations manager;
Prior to classification, all positions require a position number and budget to cover the expenses of the position. For core positions, position numbers are allocated by UNDP headquarters; for extra-budgetary positions, position numbers are created by the country office.

Step

Review of the classification package by the Local Corporate Review Panel (CRP)

Responsible Party

CRP

Template/Guideline

Explanatory Notes

Classification documents are submitted to the CRP, which reviews the classification package, examines the completeness of the submission (noting things such as the adequacy of the job description, supporting documentation, respect for due process regarding classification) and makes recommendations to the resident representative

Step

Approval of classifications

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Classification recommendations are approved by the resident representative. The following documents should be submitted to the CRP and resident representative:

Note to the file on classification with the detailed justification for the revision in grading, comparison of previous duties/revised duties (for re-classifications) and detailed explanation of the process and tools/standards used (for all classifications) signed by the human resources staff and deputy resident representative/deputy country director or operations manager;
The classification form/ summary (classification template for general service category) signed by the human resources staff and deputy resident representative/deputy country director or operations manager. Classification summary for professional positions should be printed out from the online job evaluation system. Classification forms are not necessary if the job description coincides with the pre-classified generic job description;
An updated job description;
An up-to-date organizational chart showing the placement of the position in question and other positions affected by the proposed classification. The organizational chart should include job code titles, position numbers, grade levels, source of fund (optional), and type of contract;
Previous organizational chart (if classification is based on reorganization);
Recommendation of the CRP (to be submitted to the resident representative).
Documents pertaining to the classification should be maintained on file, in the HR unit, with each delegated classification decision for monitoring/audit purposes;
The resident representative can delegate classification authority to country director, deputy resident representative or deputy country director. Delegation of authority should be done in writing and kept on file for audit purposes.

NOTE: When a review results in a change of the classified level, the new grade of the position is implemented effective the first day of the month following the classification of the post. The effective date of classification is assigned only if the position number and budget are available

1	Step In the event that the requester is not satisfied with the response from the Legal Office to the request to review, and a request for a document remains denied in whole or in part, the requester may submit an appeal against this response from the Legal Office to the Information Disclosure Oversight Panel, providing reasons for the appeal. Requests for appeals should be directed to: Coordinator of the Information Disclosure Oversight Panel: Effectiveness Group, Bureau for Policy and Programme Support United Nations Development Programme 304 East 45th Street, FF-16th Floor New York, NY 10017 USA Email: IDPOversightPanel@undp.org	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
2	Step Every request for Appeal will be acknowledged. The Panel shall review the denial of requests to disclose a document or portion of a document as described in the appeal to a member of the public. The Panel will have the authority to make the final decision and will make its best efforts to do so within 45 calendar days of receipt of the appeal.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
3	Step The Panel will share its decision with the appellant, the UNDP Administrator and the relevant internal unit or office. If the Panel determines that the requested information will not be disclosed, its reasons will be provided to the appellant.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
4	Step Functions: The Panel’s primary function is to review appeals submitted to it, and to consider whether UNDP’s Information Disclosure Policy has been properly applied. Such consideration shall be guided by the principle of seeking amicable solutions in the context of the request and the parties who may be affected by the release of the information.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
5	Step The Panel may also review the implementation of the Policy, and recommend, as appropriate, more detailed mechanisms and procedures for the review of denied requests in light of operational and other changes within UNDP.	Responsible Party Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes
6	Step Membership. The Panel consists of three members who are independent to UNDP: one from a non-governmental organization; one from a foundation and one from a UN agency other than UNDP. The Chair of the Panel will be selected from amongst, and by, the Panel members.	Responsible Party , Information Disclosure Oversight Panel	Template/Guideline	Explanatory Notes Criteria for selection of Panel members. Members are selected through a competitive selection process on the basis of the following criteria: keen understanding of UNDP policies, structures, programmes and operations at Headquarters and Country Office levels; knowledge of programmes and operations of UNDP’s associated Funds and Programmes; knowledge of, and familiarity with, information disclosure and access to information policies; and proven ability to work with development partners. All members are appointed by the UNDP Administrator. Members serve for a term of three years, which may be extended for another term at the discretion of the Administrator. Appointments are made at the expiry of the term of a member any time during the course of the year or when a vacancy arises.

1	Step Establishes qualifying R&R duty stations	Responsible Party HR Network Standing Committee on Field Duty Stations_Field Group	Template/Guideline	Explanatory Notes Based on hardship classification and security criteria as set out in the ICSC R & R framework
2	Step Establishes R&R destination	Responsible Party HR Network Standing Committee on Field Duty Stations_Field Group	Template/Guideline	Explanatory Notes Based on cost, geographic proximity, connectivity and security conditions.
3	Step Establishes frequency of R&R cycles	Responsible Party International Civil Service Commission (ICSC)	Template/Guideline	Explanatory Notes According to ICSC R&R Framework
4	Step Determines the frequency of R&R breaks	Responsible Party HR Network Standing Committee on Field Duty Stations_Field Group	Template/Guideline	Explanatory Notes Based on the ICSC R&R framework and Field Group agreement
5	Step Requests R&R	Responsible Party Staff member	Template/Guideline	Explanatory Notes The request for absence from work on R&R is submitted to the staff member’s supervisor for approval. The authority to approve the entitlement to R&R travel is delegated to the Head of Office.
6	Step The request for absence from work on R&R is submitted to the staff member’s supervisor for approval. The authority to approve the entitlement to R&R travel is delegated to the Head of Office.	Responsible Party Head of Office	Template/Guideline	Explanatory Notes
7	Step Authorizes R&R breaks for Head of Office	Responsible Party Regional Bureau Director	Template/Guideline	Explanatory Notes
8	Step Processes/certifies the Travel Authorization	Responsible Party Operations Manager	Template/Guideline	Explanatory Notes Eligible individual receives lowest fare, economy class, by the cheapest and most direct route air ticket from duty station to recognized R&R destination, and terminal expenses (or lump sum) For internationally-recruited staff members serving in designated R&R duty stations the R&R is charged to the same funding source that the individual's salary is charged. For locally-recruited staff members on travel status to designated R&R duty stations, the R&R is charged to the same funding source as all other travel expenses are charged.
9	Step Takes R&R	Responsible Party Staff member	Template/Guideline	Explanatory Notes Eligible individual must provide proof of travel to the R&R destination
10	Step Records absence and updates records in the system	Responsible Party	Template/Guideline	Explanatory Notes

1	Step Conclude MoU with each UN Agency regulating the overall framework of the relationship.	Responsible Party	Template/Guideline	Explanatory Notes MOUs - UN Partners
2	Step UPL/LPL guidance issued.	Responsible Party BMS/OFM	Template/Guideline	Explanatory Notes Office of Financial Resources Management - UPL
3	Step Update UPL and LPL tool annually.	Responsible Party BMS/OFM	Template/Guideline	Explanatory Notes Office of Financial Resources Management - UPL
4	Step Annually update list of Special Development Situation Counties	Responsible Party BMS/OFRM in consultation with Regional Bureaus	Template/Guideline	Explanatory Notes
5	Step Ensure sufficient capacities and resources (staff and office infrastructure) exist to provide timely and quality services.	Responsible Party	Template/Guideline	Explanatory Notes
6	Step Submit the authorized service request through UN Agency Portal	Responsible Party UN Agency	Template/Guideline	Explanatory Notes
7	Step Service pricing mechanism established: UPL and LPL Update LPLs annually using the annual LPL tools from OFM	Responsible Party	Template/Guideline Annual LPL Tool	Explanatory Notes Office of Financial Resources Management - UPL
8	Step Monitor application of UPL rates by COs	Responsible Party Regional Bureaus	Template/Guideline	Explanatory Notes
9	Step Approve deviation from published UPL rates for standard UPL services	Responsible Party OFM based on RBx clearance	Template/Guideline	Explanatory Notes
10	Step Service is carried out, initial service request in Agency portal is updated to Complete	Responsible Party	Template/Guideline	Explanatory Notes POPP Cost Recovery from Agency at the Country Office Level for detailed procedures
11	Step Revenue lines generated and posted back to Quantum	Responsible Party	Template/Guideline	Explanatory Notes Agency service income is recorded to fund 11302 account 54015 from 2017 onwards. Offices can monitor their actual revenues earned from provisions of SLA/MOU or UPL/LPL services through the Corporate Agency Services Revenue Report
12	Step A local service level agreement (SLA) may be useful in clarifying service provision levels and expectations.	Responsible Party	Template/Guideline	Explanatory Notes
13	Step The service provider and recipient review items in question and promptly resolve any disputes. Unresolved service issues should be referred to BMS/OFM only after several (i.e. at least three) documented attempts to solve them have been undertaken at the office level.	Responsible Party	Template/Guideline	Explanatory Notes

1	Step Ensure all agreements (new and renewed agreements eod 1 January 2014 ) in accordance with new cost recovery policy	Responsible Party UNDP Office and Fund Managers	Template/Guideline Financing Agreements and Templates	Explanatory Notes A renewal of existing agreements with additional contributions should be amended with new cost recovery rates; please see Financing Agreements and Templates.
2	Step Regularly review average GMS charged to projects to ensure that correct and latest rates are entered in Quantum	Responsible Party UNDP Office and Fund Managers	Template/Guideline OFM Reports -GMS exceptions report	Explanatory Notes OFM report: Cost Recovery - Average GMS rates
3	Step Seek an approval for any deviations, exceptions and special GMS rate prior to signing donor agreement	Responsible Party	Template/Guideline Template: Action Memorandum for the Assistant Administrator and Director Bureau of Management Services	Explanatory Notes Refer to Template: Action Memorandum for the Assistant Administrator and Director Bureau of Management Services with relevant justifications to BMS director. The requesting bureau needs to obtain a clearance from BMS/OFM prior to its submission.
4	Step Review requests on exceptions on GMS rates	Responsible Party	Template/Guideline	Explanatory Notes Non-standard GMS rates are reported to the Executive Board
5	Step Endorse GMS internal distributions such as Vertical Funds.	Responsible Party Executive Office	Template/Guideline	Explanatory Notes
6	Step Report on average GMS by funding source and budget departments	Responsible Party	Template/Guideline	Explanatory Notes
7	Step Report to the EB on all waiver cases	Responsible Party	Template/Guideline	Explanatory Notes

1	Step Set up project budget, including GMS budget component in Quantum, for each fund and donor combinations	Responsible Party	Template/Guideline GMS Calculator	Explanatory Notes Use the GMS Calculator to determine amounts for project programmable budget and GMS budget List of funds subject to GMS can be found here (taken from UN_GMS_FUNDS)
2	Step Set up GMS fee in Quantum Grants Module under Awards - MS fee collection method is pre-set to 'earn as you go' - Set up GMS fee at the Project / fund / donor levels - Ensure the correct GMS Rate is selected from the drop-down menu.	Responsible Party Office or Fund Managers	Template/Guideline Guidance Note on GMS Setup in Quantum	Explanatory Notes Ensure Distribution modality is communicated to GSSC through a UNALL case and is setup properly in Contracts Module
3	Step Monitor GMS fee set up	Responsible Party Office/Bureau	Template/Guideline	Explanatory Notes
4	Step Review GMS exception reports and take corrective actions	Responsible Party Office/Bureau	Template/Guideline GMS Exceptions - Power BI	Explanatory Notes Review and monitor the GMS exceptions – Power BI regularly and make necessary corrections.
5	Step Process daily/monthly GMS batch process	Responsible Party IMT/OFM	Template/Guideline	Explanatory Notes Refer to monthly closing deadlines from OFM
6	Step Monitor GMS charged to projects and funds Monitor GMS Income	Responsible Party	Template/Guideline Review Ledger results until Quantum queries are made available. Refer to: Guidance Note on GMS Setup in Quantum	Explanatory Notes Corporate - Average GMS Rate Performance - Power BI

1	Step Estimate annual preliminary GLOC targets to country offices	Responsible Party	Template/Guideline OFM site	Explanatory Notes GLOC target tables include GOC targets in cash and GLOC in-kind contributions
2	Step Issuance of GLOC targets to country offices	Responsible Party	Template/Guideline	Explanatory Notes A joint memo from OFM and RBx sent to the Resident Representatives
3	Step Communicate GLOC targets and settlement of arrears to Host Governments	Responsible Party Country Offices	Template/Guideline Create UNALL case with GSSC to create master contract	Explanatory Notes
4	Step Create a master contract for GLOC cash targets	Responsible Party	Template/Guideline	Explanatory Notes Cash payments from host governments are applied to the respective year’s master
5	Step Clarify any issues related to GLOC cash and in-kind contributions to host governments	Responsible Party	Template/Guideline	Explanatory Notes Support will be provided from OFM and Regional Bureau
6	Step Revise and communicate GLOC targets if necessary, based on the final year-end certification of the GLOC in-kind and GLOC master contracts based on revised final GLOC targets	Responsible Party	Template/Guideline Refer to Government Local Office Cost -GLOC- Valuation of the In-Kind Contribution from the Host Government	Explanatory Notes Upon closure of the year-end certification, OFM reviews and updates in-kind GLOC contributions on annual basis
6.a.	Step Receive GLOC contributions and submit a request through UNALL for all GLOC payments (current, arrears and advance) Send “Thank you” letters to host governments	Responsible Party	Template/Guideline Submit GLOC contributions information through UNALL	Explanatory Notes CO should indicate the contribution amounts with a corresponding GLOC target year including the future years, in case of advance payments.
6.b.	Step Apply cash payments to GLOC cash targets Transfer an annual portion of deferred revenue to the current year target account	Responsible Party	Template/Guideline	Explanatory Notes COA- GLOC fund – 00200; accounts: Current year payment – 51015 Arrears payment – 51014 Advance payment – 51017
7	Step Issue GLOC performance reports	Responsible Party	Template/Guideline GLOC Performance Report	Explanatory Notes GLOC performance report is updated automatically from Quantum.
8	Step Apply accounting linkage, if any, to outstanding GLOC targets	Responsible Party BERA	Template/Guideline	Explanatory Notes BERA – validates and confirms voluntary contributions (VC) GSSC & OFM – determines the amount of accounting linkage from VC and posts the entries in GL Based on voluntary contributions received from host governments, any shortfall in GLOC targets are settled through GLOC accounting linkage
9	Step Report annually to UNDP stakeholders and UNDP Executive Board Issue an appreciation letter for the payment of GLOC cash and in-kind	Responsible Party ExO and Regional Bureaux	Template/Guideline UNDP financial statements The United Nations Board of Auditors Annual Review of the Financial Situation, table 4 and 8 The Documents for the Executive Board sessions	Explanatory Notes A letter from UNDP Associate Administrator is sent after the closure of Contract Module in Quantum upon finalization of revenue entries.
10	Step Report to UNDP Executive Board through Integrated Budget	Responsible Party	Template/Guideline	Explanatory Notes Integrated budget documents

1	Step Issuance of GLOC targets to country offices	Responsible Party	Template/Guideline	Explanatory Notes GLOC target tables which will include GLOC targets in cash and GLOC in-kind contributions GLOC guidelines
2	Step Country Office determines the approach for market valuations, and assesses whether an independent valuation is required	Responsible Party	Template/Guideline	Explanatory Notes
3	Step Request host governments to provide the most recent valuation of office premises, if any	Responsible Party	Template/Guideline Annex 2: Sample Questionnaire - Office Premise Provided by Government to UNDP Country Office	Explanatory Notes Annex 2 – Sample Questionnaire
4	Step Collect market-based evidences to examine the current market prices for similar buildings that are available for a sale or a lease	Responsible Party	Template/Guideline Annex 3: Template - Summary of market evidence for similar type of office premises in the same/similar area	Explanatory Notes Annex 3 - template to summarize market evidence
5	Step Submit annual certification form to OFM	Responsible Party	Template/Guideline Annex 4: GLOC Valuation Annual Certification	Explanatory Notes This template will be incorporated in the annual certification on donated right to use assets to OFM Annex 4 – Annual certification template
6	Step Hire an independent appraiser, if an independent valuation is required	Responsible Party	Template/Guideline Annex 1: Sample Terms of Reference for Determining the Fair Market Annual Rental Valuation of UNDP Premises Provided by Host Governments	Explanatory Notes UNDP procurement procedures Annex 1 –TOR
7	Step Submit final valuation report to HQ & annual certification form	Responsible Party	Template/Guideline Annex 4: GLOC Valuation Annual Certification	Explanatory Notes Annex 4
8	Step Final validation of valuation of in-kind GLOC contribution and financial statement entries for in-kind contributions	Responsible Party	Template/Guideline	Explanatory Notes UNDP’s share attributable towards the core institutional operating expenses will be the basis for GLOC in-kind entry GLOC performance tables
9	Step Inform host government on any remaining cash obligations	Responsible Party	Template/Guideline	Explanatory Notes

1	Step Negotiate and sign agreements at Business Unit level (sign with the local US Federal Government Agency)	Responsible Party	Template/Guideline	Explanatory Notes
2	Step Agree on frequency of interim FFR-425 reporting requirements and deadline with local COTR/AOTR	Responsible Party	Template/Guideline	Explanatory Notes Prior to signing agreement
3	Step Submit a copy of signed grant agreement to GSSC for recording in Quantum Portfolio Project Management (PPM) Contract Module	Responsible Party	Template/Guideline	Explanatory Notes As soon as grant agreement is signed (within 1 week of signature)
4	Step Creation of Project in the Portfolio Project Management (PPM)	Responsible Party	Template/Guideline	Explanatory Notes As soon as the project budget is finalized (before agreement is signed)
5	Step Credit revenue to project in PPM	Responsible Party	Template/Guideline	Explanatory Notes Upon receipt of signed agreement or amendment and after confirming the grant has been obligated
6	Step File quarterly FFR-425 to local US Federal Government Agency office	Responsible Party	Template/Guideline	Explanatory Notes As agreed with COTR/AOTR
7	Step Manage agreement against required filing dates and expiry date	Responsible Party	Template/Guideline	Explanatory Notes As per agreement requirements
8	Step File final FFR-425 (individual grant)	Responsible Party	Template/Guideline	Explanatory Notes Within 90 days of grant expiry following expenses certification by UNDP Office
9	Step File quarterly FFR-425 (consolidated for all grants)	Responsible Party	Template/Guideline	Explanatory Notes Within 30 days of quarter’s end following expenses certification by UNDP Office
10	Step Expenses certification	Responsible Party	Template/Guideline	Explanatory Notes Submit quarterly and upon grant expiry to GSSC
11	Step Year-end Adjustment of Revenue	Responsible Party	Template/Guideline	Explanatory Notes At year-end as part of year-end closing
12	Step Project Operational Close	Responsible Party	Template/Guideline	Explanatory Notes By the grant expiry date
13	Step Project Financial Close	Responsible Party	Template/Guideline	Explanatory Notes UNDP Office to submit UNITY/ UNall informing GSSC to financially close the project after operational closure but not more than 90 days after grant expiry
14	Step Cash Draw-Down	Responsible Party	Template/Guideline	Explanatory Notes Quarterly or other period to be determined by GSSC
15	Step Grant Extension Notification to GSSC	Responsible Party	Template/Guideline	Explanatory Notes UNDP Office within 1 week of extension approval
16	Step Notification of Grant Expiry	Responsible Party	Template/Guideline	Explanatory Notes 60 days prior to grant expiry date
17	Step Processing Refunds and De-Obligations	Responsible Party	Template/Guideline	Explanatory Notes After submission of Final FFR-425

Step

Review results of assessment conducted.

Responsible Party

Office

Template/Guideline

HACT Annexes A-D

Explanatory Notes

In consultation with programme and operations team to consider additional variables in the assurance planning process.

See Annex D for the roles and responsibilities in implementing the HACT framework.

Step

Develop Assurance activity plan for Partners.

Responsible Party

Office

Template/Guideline

HACT Tables

Explanatory Notes

The coverage, type and frequency of assurance activities is guided by the overall risk rating associated with the Partner, as determined through the micro assessment.
See Table 2 for UNDP specific guidelines assurance activities required for each Partner based on Partner risk rating.

Step

Approve Assurance activity plan.

Responsible Party

Office

Template/Guideline

HACT Annexes A-D

Explanatory Notes

The final assurance activity plan must be approved by the Head of Office or his/her designate.
See Annex A for additional UNDP specific guidance on the conduct of spot checks. See Annex B for additional guidance on financial audits.

Step

Solicit third party service provider for planned assurance activities.

Responsible Party

Office

Template/Guideline

HACT Long Term Agreements (LTA)

Explanatory Notes

Offices are encouraged to use the service providers engaged through the HACT Long Term Agreements (LTAs).

Step

Upload results of assurance activity conducted.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Results of Partner Assurance Activities shall be reviewed by Head of Office or his/her designate and remedial actions shall be discussed with the Partner.

The reports of assurance activities should be uploaded in the HACT Platform. Issues highlighted in the report including the action plan needs to be documented in the HACT Platform.

Step

Conduct review of implementation of Assurance Plan.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Offices are required to monitor the findings identified and necessary action plan should be documented in the HACT Platform. To ensure that the risk does not materialize the action plan should be executed and identified findings promptly closed in the HACT Platform. The execution of the action plan is the responsibility of the Office.

The action plan needs to be communicated and agreed with the Partner.

Step

Follow up of findings of periodic on-site reviews (spot checks) and special and scheduled audits.

Responsible Party

Office

Template/Guideline

HACT Tables

Explanatory Notes

See Table 4 for triggers prompting review of Partner Adjusted Risk Rating arising from spot checks.
See Table 5 on triggers prompting a change of Partner risk rating arising from scheduled audits.

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Policy Areas

Following procedures should be followed for job classifications conducted at the country office level

Step

Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Information Disclosure

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

Rest and Recuperation

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

Template/Guideline

Explanatory Notes

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Responsible Party

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Explanatory Notes

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Explanatory Notes

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Responsible Party

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Explanatory Notes