Step

Review results of assessment conducted.

Responsible Party

Office

Template/Guideline

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

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

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

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

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.