English
Locations
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1.0 |
StepIdentify pipeline concept and mobilize partners. |
Responsible PartyUNDP Programme Officer |
Template/GuidelineQuantum Project Creation Process Overview Project Management Initiation Plan Template Project & Portfolio Management Quantum Optional Concept Note for UNDP Projects: Concept Note Template: UNDP Internal Review and Clearance Process Required Concept Note for Green Climate Fund (GCF) Projects: Concept Note Template: Green Climate Fund (GCF) ProjectsRequired Concept Note for Global Environmental Facility (GEF) Projects: Project Identification Form (PIF) |
Explanatory NotesIdentify new pipeline concepts by analysing gaps in the programme’s theory of change that are not already being addressed. For GCF projects a Concept Note is required, and for GEF Projects this concept note is called a PIF. Create a new pipeline linked to the programme and Strategic Plan in the corporate planning system. If a new programme output will be needed to respond to the development need, make a note to discuss in the next Programme Steering Committee meeting. System action points: Create a project proposal in the corporate planning system, generating a project number with one or more linked outputs; link the proposal to the programme tree (country programme document output). *If the project is part of a portfolio, it will share the project number with other projects in the portfolio. A project budget is reflected in one or more output IDs. An output ID can only reflect the budget from one project with one implementing partner. *If a decision is taken not to continue with the proposal, record this decision in the corporate planning system to close the proposal. |
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1.1 ALT |
StepFor Environmental and Climate Vertical Fund Projects (those supported by the GEF, GCF, Adaptation Fund and other vertical funds), conduct an initial screening and assessment to determine if the conditions and criteria for accepting government requests for programming are met. |
Responsible PartyProject Manager |
Template/GuidelineOne-stop-shop link to all environmental vertical fund (GEF and GCF) templates, procedures and policies GEF Project Origination and Pre-Investment Screening Committee (PISC) Phase – SOPs and Guidance PISC Template and Guiding Questions Execution Support SOPs for GEF projects GEF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects. GCF RACI (Responsible, Accountable, Consulted and Informed) for NIM projects |
Explanatory NotesNote that additional quality assurance must be provided by the BPPS/Vertical Fund Hub for GEF and GCF projects as outlined in the RACI. |
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2.0 |
StepAppoint a developer to formulate the project |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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2.1 |
StepIf an implementing partner needs to be selected prior to developing the project document, see Select Implementing Partners Otherwise, select an implementing partner at the appropriate time |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory Notes |
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2.2 OPT |
StepDevelop initiation plan (if applicable) |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe GEF PPG Initiation Plan Template contains:
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3.0 |
StepDevelop a project document that adheres to UNDP quality standards and partner requirements |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe project/portfolio document should attach:
For further guidance, see: Results-Based Management (RBM) Hub Consider using the RBM Guidance to assist in developing the project document in 10 steps. |
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3.0 ALT |
StepFor joint programmes with other UN agencies, a joint programme project document should be used. For multi-donor trust funds, each has its own project template which is approved by a steering committee and included in an operations manual. If UNDP is requested to be the administrative agent, contact the Multi-Partner Trust Fund Office: executivecoordinator.mptfo@undp.org |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesUNSDG | Guidance Note on a New Generation of Joint Programmes |
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3.1 |
StepEnsure a wide range of stakeholders participate in the formulation of the project |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesStakeholders include any parties with an interest in the project, including target beneficiary groups, civil society organizations, governments, the media, UN agencies and donors. Consider using the RBM Guidance to assist with steps for collaborating with all stakeholders in project formulation. |
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3.2 |
StepPrepare fully costed project budgets to ensure that all anticipated programmatic and operational costs, including development effectiveness and implementation support arrangements are identified, fully costed in the budget. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe requirements for developing a project budget are outlined in Prepare Fully Costed Budgets for Projects. |
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3.3 |
StepIdentify potential risks, and conduct further assessment and management plans as needed in a participatory manner |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe initial project Risk Register and SESP are submitted to the project appraisal committee as annexes to the project document and recorded in the Quantum Project Results and Project Closure Workbench. Enterprise Risk Management Policy
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3.3 ALT |
StepComplete a risk assessment, including applying mitigatory measures, if UNDP plans to engage with the non-UN security sector. |
Responsible PartyProject Developer and/or Portfolio Developer |
Template/Guideline |
Explanatory Notes |
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3.4 |
StepIf the project is part of a portfolio, link the project with the portfolio number in Quantum. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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1 |
StepUNDP decides to review or staff member informs GSSC/JPOSC about nationalities at the time of appointment (P-11) or at the time of acquisition of a new nationality during service, including while on SLWOP. |
Responsible PartyGSSC-Copenhagen/JPOSC, Staff member |
Template/Guideline |
Explanatory NotesStaff member is obligated to inform UNDP in advance of any additional nationality being acquired. New review of closest affiliation is required as per step 1.2. |
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1.2 |
StepGSSC / JPOSC conducts a review of the closest affiliation of the staff member with the different nationalities to determine the official UN nationality which may include assessment of the following criteria:
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Responsible PartyGSSC-Copenhagen /JPOSC |
Template/Guideline |
Explanatory Notes
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1.3 |
StepGSSC/JPOSC informs the staff member of the determination of the official UN nationality and impact on Benefits and Entitlements, including the determination of the new official place of Home Leave. |
Responsible PartyGSSC-Copenhagen /JPOSC |
Template/Guideline |
Explanatory NotesThe effective date of any change in determination will be the date that the new nationality was acquired. |
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2.0 |
StepIf the staff member is assigned to the country of UN recognized nationality or official place of Home Leave the staff member will not be eligible for international benefits. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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3.0 |
StepIf the recognized nationality of the staff member is the United States, BES-GSSC/JPOSC authorizes staff member to sign the “ Waiver of Privileges Exemptions and Immunities ” (I-508). |
Responsible PartyGSSC-Copenhagen /JPOSC |
Template/Guideline |
Explanatory Notes |
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3.1 |
StepStaff member signs I-508 and sends a copy to BES-GSSC/JPOSC together with his/her social security number. |
Responsible PartyStaff member |
Template/Guideline |
Explanatory Notes |
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3.2 |
StepBES-GSSC/JPOSC records the staff member as US tax payer in Quantum. The staff member will be entitled to tax reimbursements as of the date of the signature of the waiver. |
Responsible PartyGSSC-Copenhagen /JPOSC |
Template/Guideline |
Explanatory Notes |
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1 |
StepWrite-Off Requests, Excluding Property, Plant and Equipment and Intangible Assets |
Responsible Party |
Template/Guideline |
Explanatory NotesThe Standard Operating Procedure document provides Country Offices, Regional Bureaus, Central Units and HQ units ("Offices") with the relevant procedures, including required due diligence for submitting a request for write-off. The procedure includes the following:
This procedure is applicable to all items except for Property, Plant & Equipment (PP&E) and Intangible Assets.
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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
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Responsible PartyInformation Disclosure Oversight Panel |
Template/Guideline |
Explanatory Notes |
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2 |
StepEvery 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 PartyInformation Disclosure Oversight Panel |
Template/Guideline |
Explanatory Notes |
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3 |
StepThe 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 PartyInformation Disclosure Oversight Panel |
Template/Guideline |
Explanatory Notes |
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4 |
StepFunctions: 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 PartyInformation Disclosure Oversight Panel |
Template/Guideline |
Explanatory Notes |
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5 |
StepThe 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 PartyInformation Disclosure Oversight Panel |
Template/Guideline |
Explanatory Notes |
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6 |
StepMembership. 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 NotesCriteria 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. |
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1 |
StepProvision or Impairment of Financial Assets and Accounting for Fraud and Financial Loss |
Responsible Party |
Template/Guideline |
Explanatory NotesThe Standard Operating Procedure document provides the procedures to be applied for the recognition of an allowance for doubtful accounts, as well as the treatment of losses due to fraud and financial loss. The procedure contains two sections:
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1 |
StepThe Gifts Administrator will establish and maintain a Registry for all gifts, honours, decorations, favours and hospitality, received by UNDP personnel as of the date this policy takes effect.The Registry will include the following information:
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Responsible PartyGifts Administrator |
Template/Guideline |
Explanatory Notes |
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2 |
StepIf an individual becomes aware that they are to be offered a gift or item, other than remuneration from a non-government source that is not an individual or entity doing or seeking to do business with the UN/UNDP, and wishes to accept the item on an exceptional basis, they must first obtain their Head-of-Office or Resident Representative’s agreement and then complete and submit to the Gifts Administrator the UNDP Gift Declaration and Registration Form.The individual shall not accept the offered item unless formal approval is granted by the Gifts Administrator. Where required, the Gifts Administrator may consult with the Ethics Office, the Legal Office and other offices in UNDP prior to communicating a decision to the individual. |
Responsible PartyHead-of-Office or Resident Representative, Gifts Administrator |
Template/Guideline |
Explanatory Notes |
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3 |
StepIf the Gifts Administrator approves the request, they shall inform the individual in writing and record the item in the Registry. In cases of approval, the Gifts Administrator will determine the final disposition of the item, including:
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Responsible PartyGifts Administrator |
Template/Guideline |
Explanatory Notes |
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4 |
StepShould the Gifts Administrator not approve the request, the individual shall be instructed in writing by the Gifts Administrator to decline the offered gift or other item. |
Responsible PartyGifts Administrator |
Template/Guideline |
Explanatory Notes |
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1.0 |
StepPrepare a project proposal and a multi-year workplan, and identify financial resources (including in-kind) for activities in Quantum. |
Responsible Party |
Template/Guideline |
Explanatory NotesQuantum project type should be 'SSC/multi-country'. |
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2.0 |
StepLink the projects in Quantum. |
Responsible PartyProgramme officer (in the coordinating office) |
Template/Guideline |
Explanatory NotesAll projects that fall under the same South-South/multi-country project document will need to be linked in Quantum to enable consolidated monitoring and reporting. |
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3.0 |
StepAppraise the multi-country/South-South project in each participating office. |
Responsible Party |
Template/Guideline |
Explanatory NotesFor more information on the evaluation of Multi-country or South-South cooperation projects, see UNDP Evaluation Guidelines. |
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3.1 |
StepPrepare fully costed project budgets to ensure that all anticipated programmatic and operational costs, including development effectiveness and implementation support arrangements are identified, fully costed in the budget. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesThe requirements for developing a project budget are outlined in Prepare Fully Costed Budgets for Projects. |
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4.0 |
StepApprove the multi-country project document. |
Responsible PartyCoordinating office will conduct a virtual joint project appraisal committee for the participating country offices |
Template/Guideline |
Explanatory NotesProject cover page with signatories. Coordinating office will conduct a virtual joint project appraisal committee for the participating country offices. |
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5.0 |
StepIdentify and estimate the non-core resources that need to be mobilized; formulate the cost-sharing multi-country or South-South cooperation or agreement. |
Responsible PartyCoordinating Office & Participating Offices |
Template/Guideline |
Explanatory Notes |
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6.0 |
StepNegotiate with donors on resources and payment schedules. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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7.0 |
StepEstablish accounts receivable; apply contributions. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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8.0 |
StepUpdate and revise the output project budgets if necessary. |
Responsible Party |
Template/Guideline |
Explanatory Notes |
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9.0 |
StepReport project outcomes and deliverables to contributing partners. |
Responsible PartyUNDP Programme Officer |
Template/Guideline |
Explanatory NotesExecutive Snapshot and Quantum reports shall be used to monitor and report South-South and triangular cooperation projects. |
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10.0 |
StepSubmit financial reports, disaggregated by country, to contributing partners. |
Responsible PartyThe coordinating office & BMS/OFRM |
Template/Guideline |
Explanatory NotesThis is done by the coordinating office and Bureau for Management Services/Office of Financial Management. The standard donor report template may be changed as needed in accordance with donor needs. **Remaining procedures are similar to normal development projects; however, reporting, evaluation and management arrangements should be conducted jointly under the coordinating office. |
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1 |
StepClean-up of Purchase Orders (POs) and Clean-up of Accounts Payable |
Responsible Party |
Template/Guideline |
Explanatory NotesA few notes on clean-up of Purchase Orders: The Clean-Up process must include PO and invoices that you have prepared on behalf of other agencies. Recurring PO invoice contracts are fully processed as soon as they are approved (i.e. dispatch is not required) and are not recorded in Projects. After the Clean-Up deadline has passed, any pending purchase orders that have a budget date on or before the month end may be cancelled. If the purchase order is still required, then you will need to create a new purchase order. For any purchase orders remaining after the deadline that do not have a validated status, OFM will attempt to reserve funds in the purchase order. If validated, no further action will be taken. If it fails the validation, OFM will close the purchase order. If the purchase order is still required, then you will need to create a new purchase order. |
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2 |
StepReview of Unpaid AP Invoices Use the infolet or payable dashboard to review the invoices that require attention (either “pending approval”, “rejected”, “invoices on hold” or “instalment on hold”) |
Responsible Party |
Template/Guideline |
Explanatory NotesIf the list of unpaid invoices includes invoices that were paid using manual checks, then immediately record the payment. Where the manual check cleared the bank in year X, if year X is closed you will need to record the payment with a year X+1 accounting date. Use the actual payment date to the supplier (the date on which the check was issued or payment cleared the bank) as the payment date for the manual payment. For duplicate or old invoices (that will never be paid), cancel the invoice. Go to Payables, search invoice, invoice action, and "Cancel Invoices". Take note that only the approver has the access to cancel invoices. This process is applicable to PO invoices, non-PO invoices and prepayments. |
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3 |
StepMaintenance of Asset Records and Physical Count While the physical inventory of assets in the office must be undertaken twice a year, i.e. mid-year in June and at the end of the year in December, UNDP Offices should maintain accurate asset records throughout the year. This means properly and promptly recording all assets purchased, transferred or disposed. Buyers are responsible for recording assets (goods valued at $5000 and above) when creating purchase orders. |
Responsible Party |
Template/Guideline |
Explanatory NotesThe asset focal point at the office is responsible for ensuring that serial numbers are recorded in Quantum as soon as the goods are received and for ensuring that if more than one item is purchased against a Purchase Order, the assets are unitized and each asset’s detail serial number is entered in the Fixed Asset Module. The Resident Representative is responsible for approval of the disposal of UNDP assets. The Operations Manager or DRR/O is responsible for promptly recording disposals after CAP review and recommendation. |
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4 |
StepReview of Fee Rows Fee rows are a significant source of extra-budgetary (XB) income for many offices. Your office receives the income when the Information and Technology Management (ITM) runs the process to post the Fee Rows to the GL. As such, it is critical that the Fee Rows be calculated and posted properly before close. |
Responsible Party |
Template/Guideline |
Explanatory NotesFees generated can be reviewed in the Agency Portal before posting to the GL. |
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5 |
StepAccounts Receivable (AR) Cleanup There are two types of receipts in AR – Standard Receipts and Miscellaneous Receipts. User can search all the unapplied receipts from the AR module by selecting ‘unapplied’ under the State field in the manage receipts, the list of the receipts will populate and users can export to excel. |
Responsible Party |
Template/Guideline |
Explanatory Notes
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6 |
StepReview of NEX Advances Advances are equivalent to prepayments in Quantum, you have 3 reports from the General Ledger which the Country Office can establish the balances. NEX Aging Report UN Account Analysis Report under General Accounting tab Inquiry and Reporting under General Accounting tab > General Accounting Dashboard > click on Tasks icon at the right hand side > Select Inquire and Analyze Balance or Inquire on Detail Balances. |
Responsible Party |
Template/Guideline |
Explanatory NotesThis will provide the balances for each respective office for all project balances. For each project balance, ensure that:
Any adjustments are charged or credited to expenditure in the current year. Edit the invoices under Payables module. |
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7 |
StepUpdating Labour Schedule for payroll postings Country offices and HQ units are responsible for updating the labour schedule which is a pre-requisite for posting payroll transactions to Project Portfolio Management (PPM) and the General Ledger |
Responsible Party |
Template/Guideline |
Explanatory NotesEvery month, run Labour schedule Exception reports to ensure the project attributes are valid and there are no mismatches between position and labour distribution. See the Quantum screenshot below for the navigation
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8 |
StepClean-Up of Pending General Ledger Journal Entries As mentioned above, pending General Ledger Journal Entries (GLJEs) are GLJEs that have been created but have not yet been posted to the GL. Pending GLJEs contribute to inconsistencies between KK and GL reports. Pending GLJEs that passed the budget check are included in KK but not in the GL. As such, it is important that pending GLJEs be posted or deleted if they are not needed. Deleted GLJE's no longer appear in Commitment Control. |
Responsible Party |
Template/Guideline |
Explanatory NotesReview all the unposted journals listed in the requiring attention, incomplete and import errors. |
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9 |
StepProtocol for Using Fund and Donor Codes To establish consistency across regions for the recording in Quantum of funds provided by Development Banks to UNDP either directly or through programme country governments. The following protocol has been developed to promote consistent use of fund and donor codes, particularly where funds are received from Development Banks. |
Responsible Party |
Template/Guideline |
Explanatory NotesDonor Codes For Governments, donor codes must contain either the name of the country, e.g., Government of Colombia or the three letter ISO country code followed by the description of the ministry or principality {e.g. COL - Alcaldía de Barranquilla}. Donor codes that did not include the ISO code cannot continue to be used unless OFA edits the existing code to include the ISO code. Existing donor codes in Spanish may continue to be used provided the ISO code exists. New donor codes should be in English. The following are donor codes for the main development banks. a. World Bank {IBRD} = 000015 b. Inter-American Development Bank = 000016 c. African Development Bank = 000017 d. Asian Development Bank = 000018 e. Central American Bank for Economic Integration [CABEI] = 000275 Note: If a project has more than one government ministry as a donor, e.g., the ministry of health and ministry of finance, each donor should have its own code. Fund Codes: a. World Bank = 30011 b. Inter-American Development Bank (IDB) = 30021 c. African Development Bank = 30031 d. Asian Development Bank = 30041 e. Central American Bank for Economic Integration {CABEI} = 30061. Note: If a project has more than one loan from the same donor, use the next sequential fund number, e.g., 30021 = IDB loan #1 and 30022 = IDB loan #2. Funds 30071, 30072, 30073, etc. would no longer be used to record Development Bank funds. These fund codes would only be used for government funds that do not originate from Development Banks. However, it is acceptable to use these codes to record Government funds provided in support of Development Bank loans [e.g., payment of General Management Services - GMS - by Government].
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1 |
StepProvide guidance on administration of UN Clinics on an ongoing basis. |
Responsible PartyUNDP HQ [BMS] |
Template/Guideline |
Explanatory NotesThe relevant office int he Bureau for Management Services [BMS] should be consulted depending on the support required. |
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2 |
StepAssess local medical facilities |
Responsible Party
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Template/Guideline |
Explanatory NotesUpon request or the RR |
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3 |
StepDetermine whether there are sufficient numbers of UN staff members and eligible dependents at the duty station. |
Responsible PartyResident Representative |
Template/Guideline |
Explanatory Notes |
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4 |
StepObtain formal agreement from the local government authorities for establishment of a UN Clinic |
Responsible PartyResident Representative |
Template/Guideline |
Explanatory Notes |
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5 |
StepPropose establishment to the UNCT and obtain respective agreements |
Responsible PartyResident Representative |
Template/Guideline |
Explanatory Notes |
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6 |
StepCreate funding mechanism |
Responsible Party
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Template/Guideline |
Explanatory NotesAll participating agencies are required to share the costs of the UN Clinics activities in advance. |
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7 |
StepSet the criteria for the cost-sharing distribution and share it with all participating agencies and non UN entities |
Responsible Party
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Template/Guideline |
Explanatory NotesCost-sharing is determined by headcount by agency/non-UN entity. |