Financial Disclosure | United Nations Development Programme

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