| United Nations Development Programme

Step

Finalize Partner Risk Rating.

Responsible Party

Office

Template/Guideline

Explanatory Notes

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

Step

Determine the appropriate Cash Transfer Modality.

Responsible Party

Office

Template/Guideline

HACT Tables

Explanatory Notes

See Table 3 Cash transfer modality for Partner based on adjusted risk rating.

Step

Review FACE form prior to disbursement and reporting.

Responsible Party

Office

Template/Guideline

Direct Cash Transfers and Reimbursements procedure

UNSDG HACT Framework

Explanatory Notes

Refer to Direct Cash Transfers and Reimbursements procedure when using the standard FACE forms.

See Appendix VI of UNSDG HACT Framework for template of FACE form and Appendix VII for guidelines for completing FACE form.

Step

Determine and prioritize which Partner require micro assessment.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Micro Assessment should be carried out before programme funding is provided. Where two or more programmes have similar start dates, prioritization should be based on the assessed relative amount of risk to UNDP (funding quantum, and past experience with the Partner).

Step

Develop micro assessment plan.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Final Micro Assessment Plan must be signed off by the Head of Office or his/her designate.
The relevant planning process should be completed in the HACT platform.

Step

Solicit third party service provider.

Responsible Party

Office

Template/Guideline

Explanatory Notes

UNDP office should consider Long Term Arrangements with one or more service providers for micro assessments. Global LTAs for service providers are available at HACT Long Term Agreements (LTAs).

See TOR of service provider for the micro assessment.

Step

Perform micro assessment.

Responsible Party

Service Provider

Template/Guideline

Revised Partner Capacity Micro Assessment

Explanatory Notes

Key output are:

(1) An overall risk rating related to cash transfers to Partner.
(2) Significant issues of Partners

Step

Review results of micro assessment.

Responsible Party

Office

Template/Guideline

Explanatory Notes

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

The micro assessment report 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

Establish impacts and implications on AWP design.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Office to assess the impact of the micro assessment and implications on AWP design

Step

Identify requirement for HACT assurance planning.

Responsible Party

Office

Template/Guideline

Explanatory Notes

Office to assess the impact of the micro assessment and implications on HACT assurance plan.

Step

Document Partner risks as appropriate.

Responsible Party

Office

Template/Guideline

Explanatory Notes

The specific risks identified in the micro assessment are also incorporated into country level risk management activities and logs, as appropriate.

Step

Solicit third party service provider for macro assessment.

Responsible Party

Office / UNCT

Template/Guideline

UNSDG HACT Framework

Explanatory Notes

RC is to advocate with government and major development partners for macro assessment.

See Appendix 1 Appendix 1 UNSDG HACT Framework for TOR of service provider to be engaged.

Step

Conduct desk review research.

Responsible Party

Service Provider

Template/Guideline

UNSDG HACT Framework

Explanatory Notes

Key outputs are:

(1) PFM risk assessment and

(2) SAI capacity assessment

See Annex 1 and Annex 2 of Appendix I in page 50-54 of UNSDG HACT Framework for Macro assessment check list and risk consideration checklist respectively to be used.

Step

Review of results of macro assessment.

Responsible Party

Office

Template/Guideline

UNSDG HACT Framework

Explanatory Notes

The final macro assessment must be signed off by the Resident Coordinator on behalf of the UNCT.

See Annex 1 and Annex 2 of Appendix I in page 50-54 of UNSDG HACT Framework for Macro assessment check list and risk consideration checklist respectively to be used.

Step

Determine impact and implications of assessment on programme design.

Responsible Party

Office

Template/Guideline

UNSDG HACT Framework

Explanatory Notes

Each agency implementing the HACT framework is required to document its understanding of the assessment, recognition of the identified risks and understanding of the effects at country level that are specific to the agency, including programme design.

See Annex 1 and Annex 2 of Appendix I in page 50-54 of UNSDG HACT Framework for Macro assessment check list and risk consideration checklist respectively to be used.

Step

Document decisions and risks identified.

Responsible Party

Office

Template/Guideline

UNSDG HACT Framework

Explanatory Notes

A summary of the macro assessment should be incorporated into the Common Country Assessment.

See Annex 1 and Annex 2 of Appendix I in page 50-54 of UNSDG HACT Framework for Macro assessment check list and risk consideration checklist respectively to be used.

1	Step Chartfields Create chartfield in Quantum General Ledger.	Responsible Party OFM/BMS/CFRA	Template/Guideline	Explanatory Notes The only exception is the Project chartfield, which is created in the QuantumProjects and Portfolio Management (PPM).
2	Step Request a new chartfield or make changes to existing chartfields (if necessary). Complete and forward the appropriate QuantumChart of Accounts Maintenance forms with appropriate supporting documentation as indicated on the forms	Responsible Party OFM/BMS/FBA	Template/Guideline	Explanatory Notes Send the form to cfra.mdm@undp.org Quantum Account code creation forms
3	Step Funds Reviewed any change to the Fund.	Responsible Party OFM/BMS/FBA	Template/Guideline	Explanatory Notes Quantum fund code creation/modify form
4	Step Ensure that any chartfield trees affected by the change are updated immediately as soon as a change occurs in the Fund chartfield table	Responsible Party	Template/Guideline	Explanatory Notes
5	Step Assign at least one individual responsible for reviewing requests for chartfield changes	Responsible Party Business owner	Template/Guideline	Explanatory Notes The assigned individuals should also be responsible for maintaining and updating related chartfield trees.
8	Step Donor Code Create a Donor Code by setting up a new customer identification code in Quantum Accounts Receivable	Responsible Party	Template/Guideline	Explanatory Notes Send the form to BMS OFM PDI bms.ofm.pdi@undp.org Quantum customer form
9	Step Record contributions from donors using account 51005 and enter the relevant operating unit , cost entre, fund ID and the donor code	Responsible Party	Template/Guideline	Explanatory Notes If the fund code is cost-sharing or project level co-financing, the project ID, project business unit and a default activity should also be entered
10	Step Record expenses using the appropriate expenditure account in the 6xxxx or 7xxxx series.	Responsible Party	Template/Guideline	Explanatory Notes The cost centre ID entered for expenses should be the detailed cost centre ID (not the budgetary cost centre).
11	Step Include chartfields in all expenses without any exception	Responsible Party	Template/Guideline	Explanatory Notes
12	Step Other asset or liability accounts in the 1xxxxx or 2xxxx series should include, as a minimum, the following chartfield values: account, operating unit, fund and cost centre	Responsible Party	Template/Guideline	Explanatory Notes
13	Step Forward the request form to Accounts Division and update the donor tree as soon as a new donor code is created	Responsible Party	Template/Guideline	Explanatory Notes
14	Step Ensure that no duplicate values exist	Responsible Party	Template/Guideline	Explanatory Notes A review of the donor chartfield values should be regularly undertaken to “inactivate” the duplicated values.

1	Step Create record and maintain record	Responsible Party Finance staff	Template/Guideline Records Management Guidelines	Explanatory Notes Ascertain accuracy and correctness of the record and its supporting documentation Financial records should be created, managed and stored in accordance with paragraphs 4, 5 and 6 of the Record Retention policy Documents to be filed in a sequential order and in safe storage. When the office is closed, chequebooks, issued cheques and petty cash must be placed in the safe for safekeeping
2	Step Store records permanently for staff payments/ payroll	Responsible Party Finance staff	Template/Guideline	Explanatory Notes
3	Step Establish an area for archiving according to the following guidelines: a) The files/records storage area must be secure and locked at all time b) Files must be easily retrievable c) There must be a log and master list for everything archived and its anticipated disposal date	Responsible Party CO	Template/Guideline	Explanatory Notes
4	Step Ensure regular monitoring of the contracted storage space	Responsible Party Administrative Services Division (ASD) at Headquarters and country offices	Template/Guideline	Explanatory Notes
5	Step Store records for a minimum of seven years for all other financial documents except staff payments/ payroll	Responsible Party	Template/Guideline	Explanatory Notes
6	Step Decide whether to dispose of financial records older than 7 years (apart from documents related to staff payments/payroll)	Responsible Party Resident Representative	Template/Guideline	Explanatory Notes Disposal at the discretion of Res. Rep. after seven years in accordance with paragraphs 7 and 8 of the Record Retention policy on the POPP However, if further guidance is required, please contact the Office of Finance
7	Step Dispose of records	Responsible Party Senior GS Finance staff	Template/Guideline	Explanatory Notes Files will be disposed of by incineration and/or shredding

1	Step Flowchart - MIP process	Responsible Party	Template/Guideline Flowchart - MIP process	Explanatory Notes
2	Step Enrollment of staff: MIP Application/ Request for Change Form completed and submitted together with supporting documents in respect of staff member’s participation, including his/her eligible family members, where relevant	Responsible Party Staff member	Template/Guideline MIP Application/ Request for Change Form	Explanatory Notes Education of staff about MIP and distribution of materials by the person most familiar with the scheme is absolutely necessary If an office administers personnel on behalf of another agency for MIP purposes, the same rules procedures for UNDP staff must be followed
3	Step Enrollment of staff: Staff member and eligible dependents (where relevant) are enrolled in MIP in Quantum.	Responsible Party	Template/Guideline	Explanatory Notes In addition to ensuring the correct payroll calculation of these elements, the data entry process is also critical for reporting purposes and for the timely and accurate payments of MIP reimbursement claims
4	Step Managing eligibility data in Global Payroll: Data on enrollment form is verified and validated and any change in coverage is processed into Quantum promptly	Responsible Party	Template/Guideline	Explanatory Notes
5	Step Eligibility Data: Reviews and validates eligibility data in the system and transmits file to claims administrative company	Responsible Party MIP HR Technical Support	Template/Guideline	Explanatory Notes A technical interface uploads enrollment and eligibility data from Quantum and the claims administration company (TPA)
6	Step ID Cards: Uploads eligibility data; issues ID cards; and communicates exceptions, if any, to HR Technical support	Responsible Party	Template/Guideline	Explanatory Notes
7	Step Claims: MIP claims are submitted through the online Claiming tool in a sealed envelope containing the MIP Refund Claim form and supporting documents directly to the company that administers MIP, following the instructions on the claim form	Responsible Party Staff member	Template/Guideline MIP Refund Claim form	Explanatory Notes Effective January 2004, UNDP outsourced the administration of MIP claims to an independent administration brokerage company. The TPA company is responsible for administering MIP claims and for ensuring compliance by subscribers with the MIP rules and avoiding unreasonable or abusive use of the plan.
8	Step Reimbursement of claims: Claims are verified and processed as follows: - If the claim fully meets requirements, a payment instruction is processed through interface between the TPA and UNDP and a Statement of Benefits is sent to the staff member - If the claim does not meet requirements, a notification and/or request for further information/documentation is sent to the staff member	Responsible Party Claims Administration Company	Template/Guideline P-2 Form Designation of Beneficiaries	Explanatory Notes Payment of claims is made through an interface between the claims administration company and Quantum. Payment that goes through this interface will not indicate the nature of the medical services provided. Payment is made to the insured person, but, if the subscriber is no longer alive, payment will be made to his/her beneficiary as per P-2 Form Designation of Beneficiaries. Patient confidentiality will be protected as any MIP.
9	Step Payments: The payment instruction file received from the MIP Administration Company (TPA) is uploaded into system and an instruction is sent to UNDP to effect payment	Responsible Party MIP HR Technical Support	Template/Guideline	Explanatory Notes
10	Step Payments: Vouchers are uploaded, payments are processed and staff member is notified	Responsible Party	Template/Guideline	Explanatory Notes In order to effect prompt and timely payment, staff member must be properly set up as a vendor in Quantum

1	Step Ensures that approved project budget (created by IP in close consultation with Programme Officer) and project funding (allocation/ASL or cash) are correctly entered into Quantum: (i) Project Module (ii) Budgetary Control	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes Offices should be mindful that in Quantum, all UNDP advances will consume project budget in PPM as well as the GL cash budget. This requires all Offices to ensure that project budgets are correctly set up in PPM prior to processing any advances. Particularly in relation to corporate advances to partners, in order to prevent delays, the project budget should be properly set-up as soon as agreements are signed and prior to partners start sending the advance request to GSSC Agencies for review, CFRA’s approval and final payment by GSSC.
2	Step For core and non-core funds: Agency submits request for advance of funds. The Programme Officer should monitor that the requested advance by Implementing Agencies as well as the subsequent implementation and liquidation is consistent with the AWP, project budget and project plan. Agencies send their request for advance along with signed agreements and other supporting documents directly to GSSC Agencies for initial analysis and review. GSSC sends the results of the analysis with recommendation to CFRA for final review and approval Once approved, GSSC will release the payments.	Responsible Party Programme Officer/Agencies/GSSC Agencies/CFRA	Template/Guideline	Explanatory Notes
3	Step Agencies submit cumulative quarterly PDRs to the GSSC Agencies unit , which processes their upload into UNEX; recognition of expenses and liquidation of advances in Quantum AP and final posting to GL. All PDRs must include expenses on a full accrual accounting basis under IPSAS.	Responsible Party	Template/Guideline	Explanatory Notes
4	Step Each Quarter, after PDRs are processed and GL closure is notified by CFRA/FPMR/OFM, Programme Officers are expected to perform the following tasks: (a) Review all PDR expenses in UNEX () or from GL programme expense details to ensure they are: Consistent from a programming and financial perspective with the AWP, project budget and chart of accounts to ensure that only valid expenses are recorded in UNDP's books and in the period when the goods were received or the services rendered. Within the established and available project budget and Authorized Spending Limit (ASL/AX1) ceilings to ensure that over expenditure does not occur. Should the PDR from an Agency not be available at year end closing, country offices should contact GSSC Agencies to ensure that estimated expenses for the period are recorded in the system. This scrutiny is particularly important as Agency PDR expenses are not necessarily reviewed by UNDP's programme officers before being processed in UNEX and recognized in GL.Budgetary Control. Therefore, programme officers (b) Review in UNEX, PDRs rejected by UNEX and communicated by GSSC Agencies and ensures causes for the rejections are resolved. . (c) Where necessary, amends in UNEX the automated apportionment exercise (UNEX apportions costs in respect of donor and activity which do not exist in standard UN agency budgets). (d) Follow-up with UN agency counterparts to resolve all pending issues concerning rejected or contentious expenses. Determines if any PDR expenses should be rejected or the chart of accounts revised. Where correction or rejection in UNEX is justified (for example due to expenses above budget) notifies GSSC Agencies (with supporting documentation)	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes Review UN Account Analysis Report and Project Module Reports for Account Balances and activity details. Check budget control under budget module for budgetary status. Explanation of PDR reject error messages, possible causes and action required are communicated in detail by GSSC as well as HQ instructions. Valid PDR expenses reported by a UN agency and not recorded by UNDP due to UNEX rejection would constitute a liability in UNDP's balance sheet as legitimate expenses not paid by UNDP to the UN agency. GSSC Agencies will ensure rejected expenses are reversed from Agency books and not reported on future PDRs.
5	Step Validated PDRs are then processed in UNEX and the information will be populated in AP to record expenses and liquidate the advances recorded under a particular responsible party.	Responsible Party	Template/Guideline	Explanatory Notes This process is known as the outbound process whereby valid expenses are recorded in Quantum AP.
6	Step Project Clearing Account (PCA) balances are reconciled with each UN agency through the Schedule 12 (a) report. The Schedule 12 (a) report is the quarterly reconciliation report used by UNDP and other UN agencies to reconcile interagency balances.	Responsible Party GSSC Agencies	Template/Guideline	Explanatory Notes
7	Step On an on-going basis, expenses recorded in Quantum are reviewed to ensure they are correctly stated. UN Account Analysis Report can be used for this purpose.	Responsible Party UNDP Programme Officer	Template/Guideline	Explanatory Notes

Step

Transfer funds to the MA through a project document.

Responsible Party

Template/Guideline

Explanatory Notes

Step

Formulate a project in Quantum with the MA as the Implementing Partner.

Responsible Party

Template/Guideline

Explanatory Notes

Standard UNDP procedures for project documents apply (as set out in UNDP’s Results Management, and Finance and Budget Policies and Procedures).

Step

Record payments to the MA as advances (account 16015) through a non-Purchase Order Voucher and are cleared upon receipt of financial reports from the MA.

Responsible Party

Template/Guideline

Explanatory Notes

Procedures for recording this expense in Quantum will vary depending on the arrangements in place. A conversion into UNDP account codes will most likely be necessary. If funds are pooled or commingled by the MA and reported on total JP basis, an apportionment based on the proportion of UNDP contribution to the JP will be required. Refer to the POPP Revenue chapter for recording of revenue under IPSAS.

Step

Provide guidance to UNDP managers and personnel on key UNSMS/UNDP security responsibilities

Responsible Party

Resident Representative,

UNDP, UNV and UNCDF personnel

Template/Guideline

Framework of Accountability for Security

Explanatory Notes

All to familiarize themselves aware of security policy and the security responsibilities inherent in their roles.

Step

Provide guidance on the applicability of individuals employed/hosted by UNDP

Responsible Party

Resident Representative

Template/Guideline

UNDP Security Applicability Guideline

Explanatory Notes

Due to the broad nature of the UNSMS applicability policy, the UNDP Security Applicability Guideline is developed and expands on the applicability of certain individuals within UNDP’s context including clarity on if the same individuals fall under UNDP’s security accountability and responsibility.

(a) Alternate Work Modalities; and (b) Personnel and family restrictions (relocation and evacuation) are covered by the United Nations Security Management System (UNSMS) Security Policy Manual – Chapter IV Section D – Revised Policy on Risk Avoidance.

Step

Assignment of an Agency Country Security Focal Point (ACSFP)

Responsible Party

Resident Representative

Template/Guideline

ACSFP Terms of Reference

Letter of Assignment template

Explanatory Notes

In the absence of a dedicated UNDP security professional, the senior most UNDP representative at the country level, in consultation with the UNDP Security Office, will assign an ACSFP to assist the RR in managing the day to day security related matters of UNDP.

Step

Provide guidance on security mainstreaming

Responsible Party

Resident Representative

Template/Guideline

Guidelines for the mainstreaming of security into programme and project management

Explanatory Notes

Ensures security considerations form an integral dimension of the design, implementation, monitoring and evaluation of all projects and programmes. It necessitates early consultations with the UNDP Security Office to ensure security inputs are prioritized at the inception stage, that costs for security are included in appropriate budget lines in proposals and operating budgets.

Step

Request for Security Support Mission

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Missions are conducted by UNDP security personnel to assist Offices in the implementation of Security Risk Management measures, to monitor and report on security compliance and provide technical security advice to enable and ensure the mainstreaming of security in all programmes and activities.

Step

Request for Surge Support

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

While the Security Office remains UNDP’s first line of security surge support and backstopping, capacity to respond over the medium term can be stretched. The Security Office maintains or has access to a structured roster as follows: Internal UNDP Security Advisory Resources, External Security Advisory Resources within the UN and a roster of Pre-Identified Security Advisory Resources including the ExpRes Consultancy Roster.

Step

Provide support to UNDP Country Offices for Surge response

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

UNDP Security Office may provide temporary central funding for a maximum period of 3 months in principle to address security surge requirements. Beyond 3 months, COs will need to commit to mainstreaming the cost of the security advisory/support requirements.

Step

Provide database on all approved Residential Security Measures in duty stations

Responsible Party

Template/Guideline

RSM Database

Explanatory Notes

RSMs are intended to protect personnel from physical harm or injury at their residence as a result of increased criminal activity and are only applicable to all internationally recruited, or internationally deployed, personnel covered under the UNSMS including eligible family members residing at the duty station of internationally recruited personnel serving elsewhere. Regarding cost-based elements, Offices will notify personnel of the financial and implementation modalities under which such RSM elements may be obtained and will hold personnel accountable for any default, fraud, and deceit with regards to the RSMs.

Step

Request psychosocial support

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Personnel requiring support during assignments should directly contact UNDP counsellors via oshw.focalpoint@undp.org or the local CISMS UNDSS Counsellor.

Step

Request security clearance for movement or travel in complex high-threat environments

Responsible Party

Resident Representative

Template/Guideline

Acceptable risk oversight and approval mechanism (AROAM)

Explanatory Notes

In line with the SRM’s Acceptable Risk Model and the Guidelines on Acceptable Risk Oversight and Approval Mechanism (AROAM), a separate procedure is required to clear movement and travel in Very High Risk contexts for personnel delivering PC1 activities.

Approval by the UNDP Administrator will be required to confirm that personnel operating in an area with very high security risk are engaged in PC1 activities.

Step

Reporting Security Incidents

Responsible Party

Template/Guideline

Explanatory Notes

UNDP personnel are required to report security related information and/or security incidents to UNDSS and through the UNDP Security Office¹ to the corresponding UNDP manager.

[1] In the absence of a UNDP Security Office personnel, reports should be made to the Agency Country Security Focal Point.

Step

Request for Support in recruiting CO security personnel

Responsible Party

Resident Representative

Template/Guideline

Guideline for the Recruitment of UNDP Security Personnel

Explanatory Notes

Offices should follow procedures stipulated, to ensure due diligence in the selection process. Hiring managers should consult with the UNDP Security Director to ensure inputs of the Security Office are incorporated at each stage of the planning and selection process.

Step

Achieve full security compliance to Security Risk Management requirements

Responsible Party

Resident Representative

Template/Guideline

SCS tool

Explanatory Notes

The exercise is annual, mandatory and applies to the main offices, sub-offices, Regional Service Centres, HQ locations/Coordination Offices and GSSU. It is also highly recommended for project offices and includes offices of UNV and UNCDF. The self-assessment process will be completed in the last quarter of the year being assessed.

Step

Applying for UNMSM resources

Responsible Party

Resident Representative

Template/Guideline

Explanatory Notes

Guidelines outline budgetary, financial, and procurement procedures for the resources available centrally within UNDP to cover UN Mandated Security Measures (UNMSM). These requirements are undertaken in response to United Nations Security Management System (UNSMS) policy directives and recommendations made within the Security Risk management (SRM) process to ensure security compliance in duty stations.

Step

Support in the use of Commercial Air Travel

Responsible Party

Resident Representative

Template/Guideline

Commercial Air Travel Safety Guidelines

Explanatory Notes

All UNDP Personnel are expected to comply with the safety requirements and briefings provided by crew members with regard to safety while on board an aircraft. UNDP personnel will share concerns or observations regarding the safety of a commercial air carrier to local UNDSS advisor and the UNDP Air Travel Focal points reachable at security@undp.org.

1	Step Identify individuals required to file an annual declaration	Responsible Party Head of Office, Financial Disclosure Policy focal points	Template/Guideline	Explanatory Notes The Financial Disclosure Policy identifies the main filing categories as staff at the D1/P6 level and above, those whose principal duties are in procurement and investment, others who have access to confidential procurement and investment information, and all Ethics Office staff. New filers who are entering any of the Financial Disclosure Policy categories of filers will be required to complete an initial financial disclosure statement, described as an 'induction' filing. The declaration must cover the 12-month period immediately preceding the effective date of appointment, promotion or change of function.
2	Step Notify identified individuals of their current obligation and filing requirement each year	Responsible Party	Template/Guideline	Explanatory Notes The annual filing exercise takes place in the March/April timeframe each year. After participants are identified from FDP Focal Points and OHR listings of those in the affected grades, the Ethics Office issues an email with all appropriate links and instructions, to each participant for that filing year.
3	Step Preemptively gather necessary information in advance, at the end of each calendar year, to ensure that their statements will be complete and accurate, and can be verified by objective third-party documentation, if so required. All questions should be directed to the Financial Disclosure Policy focal point for the office or unit or to the Ethics Office.	Responsible Party Staff members in identified grade levels and roles generally designated to file	Template/Guideline	Explanatory Notes
4	Step Submit annual on-line statements	Responsible Party Staff members in identified grade levels and roles generally designated to file	Template/Guideline Financial Disclosure	Explanatory Notes Fill out an online form, disclosing sources of income and assets, outside activities and affiliations, including those of his or her spouse and any dependent children. All on-line submissions are kept confidential in a secure server location and are used for the purpose of identifying, resolving and giving advice on conflicts of interest. Supporting documentation is maintained in a secure location. Access to disclosures and documentation is limited to Ethics Office staff and their designees.
5	Step Review of statements	Responsible Party	Template/Guideline	Explanatory Notes Review the individual statements to ensure the information is complete and consistent. The information submitted is cross-checked against a list of UNDP vendors and investment funds for the filing year. Finally, outside interests and activities of filing individuals are examined against relevant prohibitions or restrictions contained in the UN Staff Regulations and Rules. The screening is intended to detect potential conflicts of interest, which can be defined as situations where someone’s private interests may or may appear to interfere with the proper discharge of his/her official functions or obligations.
6	Step Provide clearance and advice	Responsible Party	Template/Guideline Request for Approval to Engage in an Outside Activity Gift Declaration Form	Explanatory Notes When the Ethics Office does not detect a conflict of interest, the filer will be notified that the filing process is complete and that no further action is required. When a statement shows interests that may be incompatible with the filer's functions or status, the Office communicates with the filer on the best ways to handle such a situation. For example, the filer may be advised that he or she must file for approval to engage in an outside activity or should resign from an outside position, or divest certain holdings, if such activities or assets are incompatible with his or her professional role and duties. Any gifts or honoraria received must be declared on a Gift Declaration form and submitted to the Administrative Services Division. Guidance on acceptability of gifts or honoraria is available on the Ethics Office intranet site.
7	Step Verify statements	Responsible Party	Template/Guideline	Explanatory Notes Conducts verification among a random sampling of filers of all grades and offices. Selected filers must, within the time specified, provide a copy of supporting documentation from a third-party, such as income tax returns (with exhibits), bank, brokerage or mortgage statements; articles of incorporation; and certificates of title or loan agreements, in order that the Ethics Office can verify the veracity of the disclosures.
8	Step Additional Information	Responsible Party	Template/Guideline Additional Information	Explanatory Notes

Subscribe to

Policy Areas

Cash transfers, disbursement and reporting

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Micro Assessment

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Macro Assessment

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Maintenance and Usage of the Chart of Accounts

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline

Explanatory Notes

Step

Responsible Party

Template/Guideline