Business Process Document: consultants and individual contractors management

Business Process Document

Name of Process: Consultants and individual contractors management

Process Owner: Refer to Delegation of Authority Framework (page 11)

Date Created: 9 August 2017 Last Revision Date: 8/12/2020

Process Purpose: To formalise the engagement of consultants and individual contractors engaged by the Organization to provide advisory or consultative services or to provide expertise, skills or knowledge for the performance of a specific task.

These engagements are governed by a temporary non-staff contract established between the individual and the Organization to complete certain task or project based on their special skills or knowledge.

Process Scope: This document covers the process of hiring consultants and individual contractors, including building job opening, issuing the contract, and processing payments based on received deliverables. It summarizes the process done both in Inspira and Umoja systems.

Not in scope:

- Creation of global index number and Business Partner in Umoja- Creation of HR mini master form in Umoja- Travel management of Consultants/ Individual Contractors

Process Input: - Terms of Reference (ToR)- Request for Consultant (Memo)- Routing slip (if going to Director for approval)- Supplementary data sheet (Form P.104/A) - Personal history form of candidates (Form P.110)- * Physician's Statement for consultants/individual contractors whether

in a UN office or home-based/remote. This is valid for 1 year. It must be signed and dated by medical practitioner, and the date must not be after the start date of the contract.COVID-19: a CIC may complete the COVID-19 self-certification template in the first instance, if they have difficulty in getting a medical appointment. However, before the end of the contract period a Physician Statement must be submitted.

- * Health and Insurance self-certification (Form P.104/C)- Verification of credentials, qualifications and experience

* Copy of highest education degree/ diploma from an approved

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educational institution * Reference check (certified by email and contact details) or

letter of attestation from the previous employer (if currently employed) or copy of last contract

Letter/self-certification of no conflict of Interest if working for a Government institution and/or private sector.

- * P.2 BE (Designation, Change or Revocation of Beneficiary for Consultants and Individual Contractors). This must be witnessed by UN staff member. For remote hiring, UN staff member can sign on receipt of email version.

- * Copy of passport or National ID - * HR Mini Master or Funds Transfer Request Form + bank evidence, i.e.

bank statement or voided cheque- Advertisement - for assignments beyond 6 months, including extension

of contracts beyond 6 months- Comparative analysis report from Inspira showing the applicants

reviewed and the basis on which the successful candidate was selected for Inspira job openings

- If candidate selected from Roster: 1) proof of circulation within the Roster community and/or 2) advertisement

- Performance Evaluation for Consultants and Individual Contractors should be raised in Inspira for contracts of more than 6 months contracts (and Form P.106/A for payments)

- Clearance from Office of Human Resources Management is needed for re-engagement of a former staff member and ED clearance for retirees. Evidence of separation is also required for former staff. An additional memo should be prepared and routed through https://wework.unep.org/

Note: Documents preceded by * are required to be uploaded into Inspira, if UNON processes the CIC contract.

Process Boundaries:

This document covers processes, policies and practices related to Consultants/ Individual Contractors management in Inspira and Umoja systems.

It also outlines the prerequisite documents/actions required and provides step-by- step guidance on procedures.

The complete Administrative Instruction: ST/AI/2013/4 and its annexes include additional sections related to the management of Consultants and Individual Contractors (specifically on Travel, work permits and related authorizations, legal status, taxes on income, training) that have been omitted from this document.

Process Flow: Advertisement of Job opening and selection of candidates

- In the process of selecting a consultant or individual contractor, Heads of departments, offices and missions are responsible for instituting competitive selection procedures.

- The competitive selection procedure can take several forms, including

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the evaluation of individuals identified from a roster of qualified individuals maintained by the Executive, Administrative or Human Resources offices, through the issuance of a consultancy or individual contractor opening in the electronic platform (Inspira) provided for this purpose

- When the services of a consultant or individual contractor are needed, an opening shall be posted in Inspira for a minimum of seven working days by the department, office or missionNB. UNON strongly recommends that all job openings are advertised, even if the hiring office is looking to engage a CIC for a period of less than 6 months initially in case there is a requirement to extend the contract. It is not possible to extend a contract for a CIC beyond 6 months if the job opening was not advertised in Inspira for a minimum period of 7 days.

- For each assignment, regardless of its duration, a minimum of three suitable/comparable candidates with up-to-date PHPs should be shortlisted for consideration, the final selection shall be based on pre-established evaluation criteria given in the TOR. Note: sometimes it is not possible to have three candidates if specialised role or few apply. These cases need further justification on memo.

Inspira job opening Process flow:- Build Terms of Reference (only document on paper, the rest online)- Define Evaluation Criteria (not all necessary)

Academic qualifications Competency Experience Language Licences and certificates Skills

- Create Job opening for internet posting- Approve Job opening for internet posting- Evaluate Applicants- Select Candidates- Approve Selection - Attach the * documents in Inspira, if necessary

Contract Approval

This process is managed in Umoja system.- The Requisitioner will create a request for consultant/individual

contractor services in the form of a Shopping Cart in Umoja, attaching supporting documents

- The system will automatically check if funding is available- The FMO/certifying officer reviews the financial information and

approves the Shopping Cart request for consultant/individual contractor services generating a funds pre-commitment

- The shopping cart will be routed to the HR Partner for a final HR review NB. If submitting via iNeed for UNON to produce the contract, the shopping cart must be approved before submitting iNeed ticket.

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- The HR Partner will review the data of the shopping cart for compliance with the HR rules and regulations. If approved, the Purchase Order will create a funds commitment in Umoja

- Once the consultant/individual contractor has signed the contract, the HR Partner enters/updates the consultant/individual contractor’s beneficiary based on the information provided on the P/2 form during the on-boarding

- Terms of Reference must be initialled by the consultant/individual contractor at the time of signature of the contract and returned to the Human Resources Assistant. NB. Contracts must be signed within 5 working days of issuance. When signed, it should be dated, the very latest, the first day of the contract, and it is only valid once both parties sign it

The General Conditions to the contract have to be submitted to the consultant/individual contractor at the time of signature of the contract.

Amendments – any amendments to contracts must be clearly indicated in the TOR and in the PO (contract). For audit purposes, the Hiring office should clearly identify amendments in the TOR to show what is original and what is new. The following is required:

a) cost extension: signed interim evaluation, deliverables, duration and associated fee, current contract and approved memo. New shopping cart required.b) no-cost extension: interim evaluation, the duration. Approved memo with clear justification also required.

Payments

This process is managed in Umoja system.- The Hiring Manager requests payment based on the payment schedule

included in the contract, and received deliverables- Requisitioner creates a Service Entry Sheet (SES) to authorise the

payment- Certifying officer will review and approve the SES- The completion of the SES triggers the payment. See UNON payment

schedule for dates.

Evaluation

- A formal output evaluation shall be conducted by the Hiring Manager at the time of completion of assignment on a designated form and recorded in the rosters maintained by the respective department, office or mission for consideration for future contracts

- In cases of contract periods more than six months, interim evaluations should be undertaken by the direct supervisor (Hiring Manager).

- The evaluation process is done in Inspira for job openings for more than 6 months. For contracts issued for shorter service period, Form P.106/A should be completed.

- A monthly timesheet for ICs should be signed and saved on file by the Hiring Office.

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- NB. The Hiring Office is responsible for filing and storing evaluation reports for CICs. UNON recommend attaching to JO in Inspira.

Roles and Responsibilities:

Roles in Inspira:

Programme Manager (PM): The staff member the consultant will be reporting to. This role can also be assigned to any staff member who will be working on Terms of Reference, Evaluation Criteria, Consultants selection process, etc. More than one PM may be added under the Hiring Team for assistance to the PM, e.g. HR (administrative) focal point

PM Responsibilities: - Prepare detailed Terms of Reference describing the work to perform by

the Consultant or Individual Contractor. N.B. (1) Clear outputs/deliverables based on SMART (if a Consultant); (2) specific delivery timeline and how the work must be delivered (e.g. electronic submission, hard copy, PPT etc.); (3) payment per deliverable (if a consultant) or fixed monthly fee (if individual contractor); (4) indicators for the evaluation of outputs to be included (timeframes, achievement of goals and quality of work); (5) name and title of supervisor

- Define evaluation criteria- Conduct selection process of a consultant or Individual Contractor using

established policy guidelines (review candidates’ PHPs/CVs, verify credentials, qualifications and experience, and possibly propose an estimated remuneration level)

- Consult with an HR Partner to confirm the selected Consultant or Individual Contractor is eligible for employment with the Organization

- Prepare the necessary documentation, with assistance from administrative assistant (PHP, copy of highest degree, certificate of good health, copy of national passport or national identification card, etc.) for submission of the Shopping Cart in Umoja that will be raised by the Requisitioner

- Confirm available funding for the hiring of a Consultant or Individual Contractor

- Request Payments based on received deliverables

Approving Officer (AO): The Department Head of any other Senior Officer who has delegated authority to approve consultancy request. More than one Approving Officer may be added under the hiring team.

AO Responsibilities:- Ensure that the services to be rendered fulfil the conditions of the

definition for either a consultant or an individual contractor - Ensure that decisions on selection, and all other matters of substance

related to consultants and individual contractors are taken in accordance with the provisions of the ST/AI/2013/4

Authorizing Officer (HRA): the HR/EO or Admin Officer who will be approving

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posting of JO to internet. Roles of Authorizing Officer are not required if JO will be posted to the internet, however might be needed to grant access to JO when processing candidates in Umoja. More than one HRA may be added under the hiring team.

HRA Responsibilities:- Approve the job opening in Inspira- Approve the contract in Umoja

Roles in Umoja:

Requisitioner - Check if the selected candidate has a Business Partner record in Umoja.

If no record can be located, coordinate with the Admin Assistant to request the creation of a Personnel Number and the HR Partner to create Mini-Master Record. Assistant to then request bank details to be added to Business Partner record.

- Create a request for Consultant and Individual Contractor services in the form of a Shopping Cart in Umoja

- Create Service Entry Sheets in Umoja to initiate payment of service fees on the basis of evidence supplied, including any signed evaluation forms

Approver (Certifying Officer)- Ensure that the preparation and processing of contracts is in

accordance with the Financial Rules and Regulations of the United Nations

- Review the financial portion of a Shopping Cart raised by the Requisitioner and approve or reject the request

- Reviews and approve/ reject Service Entry Sheets to initiate payments

HR Partner - Confirm Consultant’s/Individual Contractor’s eligibility for employment

with the Organization- Review the proposed remuneration fees for the consultant/ individual

contractor service proposed by the Hiring Manager, and determine if the fee is appropriate for the level of work expected, as outlined in the ToR

- Review the HR portion of an approved Shopping Cart and finalise the approval of request for consultant and Individual Contractor services by issuing a contract (Purchase Order)

- Attach a copy of the signed contract into Umoja- Amend/close/liquidate open Consultant and Individual Contractor

contracts in Umoja

Process Output: Inspira processes outputs:

- Online posted job opening in Inspira for services needed for all contracts (used as input for Umoja contract approval process)

- Technical evaluation report showing the applicants reviewed and the basis on which successful candidate was selected (used as input for

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Umoja contract approval process)- Performance Evaluation Report (used as input for Umoja contract

approval and payment processes)

Umoja processes outputs:

- Purchase Order: Consultant/ Individual Contractor Contract- Approved payment document

Exceptions to Normal Process Flow:

- On an exceptional basis, the Head of Department, Office or Mission may engage a consultant or individual contractor, even though he or she was the only candidate considered, provided a reasoned and documented justification for such exception is recorded prior to the selection.

- No certificate of good health is required when the consultant or individual contractor works solely from home for less than 30 days

- Post-facto extensions are against policy, and will only be processed if the request for exceptionally processing is submitted with a memo signed by the Head of Division. The memo must detail the reason for the post-facto request and will be attached to the corresponding Job Opening in inspira for audit purposes. Post facto requests should be avoided, but if there are exceptional circumstances, the request should be submitted within 1 (one) month of the contract expiry date.

- COVID-19 : When a New CIC is being requested by a UNEP entity: - If travel is required for the CIC for to carry out their functions, and deliverables cannot be carried out remotely, then no recruitment will be approved. Recruitment can only be initiated when travel restrictions are lifted.- If the CIC can carry out deliverables and work remotely (desk based), as confirmed by the hiring manager then the recruitment can proceed. This is subject to all normal requirements to on-board a CIC being met (i.e. medical and insurance coverage). Medical clearance is required in all cases and cannot be waived.

- If CIC has an existing contract were travel was required and the manager wishes to extend the contract:- This can only be done if the deliverables are home based (no travel required), this will need to be confirmed by the hiring office before the extension is processed by UNON.

Control Points and Measurements:

Contractual Arrangements

- The duration of the contract shall be directly linked to the terms of reference as set out in the consultant’s or individual contractor’s contract

- In order to limit the repeated use of the same consultant, either to perform different tasks within the work plan or a series of tasks within the same project, no consultant shall provide service for more than 24 months in a 36-month period, whether continuous or not, and irrespective of the cumulative months of actual work

- The services of an individual contractor shall be limited to 6 or, in

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special circumstances, 9 work-months in any period of 12 consecutive months, irrespective of the cumulative months of actual work, save for individual contractors engaged to perform language functions on a unit-cost basis

- Consultants and individual contractors shall not commence work or travel until the relevant individual contract has been duly approved, signed by both parties and returned to the responsible department, office or mission, together with the required documents and certifications

- Individual contracts shall not be issued to a person whose father, mother, son, daughter, sister or brother works for the Secretariat as a staff member or in a non-staff capacity

- A former or retired staff member may be engaged on an individual contract subject to the following provisions:a. A minimum of a one-month break is applied between separation or

retirement of the former or retired staff member and reengagement on an individual contract, unless the separation was on mutually agreed terms, in which case the former staff member may be reengaged on an individual contract only after a period of 36 months from the date of separation from service;

b. The former or retired staff member is not reengaged to perform the functions of the same post from which he or she separated or retired or contracted to encumber the position from which he or she separated or retired;

c. The former staff member did not separate from the United Nations or another organization of the United Nations common system for any of the following reasons: abandonment of post, misconduct, dismissal, non-renewal or termination of appointment for unsatisfactory service, and/or resignation in lieu of disciplinary action;

d. There are no other qualified and readily available candidates to perform the required functions, and the engagement of the former or retired staff member with the Secretariat will not adversely affect the career development opportunities of existing staff members.

Payments

- Consultants or Individual Contractors may be paid on a daily, weekly or monthly rate, or on a lump-sum basis, which represents the total value of the services to the Organization, the currency of payment shall be specified in the contract

- Advance payments for all consultants/individual contractors shall not be granted. However, a maximum of 30 per cent of the total contract value may be authorized by Heads of department or office in case where advance purchases, for example for supplies or travel, may be necessary

- In case the payment of fees is made in instalments, the final instalment may not be less than 10 per cent of the total value of the contract and will be payable only upon satisfactory completion of the services and

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the manager’s certification thereof. The payment of instalments should be directly linked with satisfactory deliverables at specific time intervals, as certified by the manager

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Business Process Flow Diagram

Inspira/ Umoja process flow

Source: Engagement_of_consultants_Handbook, v2.0- September 2014, Inspira

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Inspira Job opening workflow

Source: Engagement_of_consultants_Handbook, v2.0- September 2014, Inspira

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Consultants/ Individual Contractors Management in Umoja workflow

Source: Umoja User Guide: Requesting services of Consultants and Individual Contractors (CIC) V1.3 internal use

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Delegation of Authority

Please refer to the latest Standard framework to record further delegation of authority.

Fee and remuneration levels for Consultants and Individual Contractors

Determination When setting the consultant’s or individual contractor’s rate of pay, the following factors should be considered:

- Level of work in terms of responsibilities and complexity of the assignment,- Degree of specialization required by the assignment- Knowledge, qualifications, experience and skills required- Fees paid to the consultant for previous assignments with the Secretariat (or other United

Nations agency)

Heads of department, office or mission shall keep records of how the fee level was determined.

Fee Range

Level A. This level is established for the engagement of support services not available in the Organization related to projects or technical tasks of a narrow scope for which limited technical skills or experience are required.

Level B. This level is typically used for projects of moderate complexity with either broad scope or limited depth or restricted scope and considerable depth that have an impact on the performance of systems, processes and team(s) within the Organization. This level is typically used for individuals with a specialized degree or training and several years of relevant experience in one of the substantive, technical and/or administrative fields of the Organization.

Level C. This level shall be authorized to engage an individual with extensive relevant professional experience requiring specialized or technical knowledge and skills. Individuals at this level will be expected to develop new approaches, techniques or policies and/or design guidelines, standard operating procedures and a project’s theme. Individuals would be engaged in projects of broad scope and considerable depth that will have an impact on the overall execution of programmes or service of a function or various interrelated areas.Expected outputs of the consultancy at this level may relate, inter alia, to providing technical support; leading group dynamics; and undertaking report drafting or project-wide proposals.

Level D. This level shall be authorized to engage highly specialized individuals with extensive relevant experience and the highest level of expertise in the corresponding area of work or programme for which they are engaged. The individual’s services, work and recommendations, for example, may form one of several contributions to the accomplishment of a crucial programme or service or functional area of a broad scope, involving high complexity and impact. Some of the expected deliverable outputs would primarily relate to the following: providing functional leadership and expert advice; preparing intricate and complex technical papers to working groups; undertaking

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the drafting of reports or proposals for projects of a large scale or a broad scope. The individual’s assigned duties may relate to large-scale programmatic and operational activities involving large commitments of staff and funds.

Level E. This level can be authorized only by the Office of Human Resources Management. The level is reserved for essentially very exceptional arrangements related to services and work to be obtained from a well-known, worldwide authority in a highly specialized area. Normally, these types of engagements may result in programmatic and/or operational activities involving either large commitments of staff and funds or an exceptionally complex programmatic scope, which would carry a significant organizational impact on delivery in terms of strategy, operational reengineering and planning analytics, usually of an unusual complexity and/or sensitive nature. This level would be aligned to the Assistant Secretary-General/Under-Secretary-General levels or the equivalent ungraded levels for Chairs and Vice-Chairs or high level representatives.

International Consultants and Individual Contractor Fee Range: daily and monthly rates effective 1 October 2013

(In United States dollars)

Levels Daily Rate Monthly RateA Minimum 180.00 3 867.00

Maximum 240.00 5 012.00B Minimum 240.00 4 939.00

Maximum 380.00 7 870.00C Minimum 390.00 7 328.00

Maximum 560.00 10 572.00D Minimum 620.00 10 754.00

Maximum 750.00 13 040.00E Minimum 860.00 14 339.00

Maximum 980.00 15 779.00Source: ST/AI/2013/4_Consultants_and_individual_contractors

- Proposals for individual contracts with rates above level D must be referred to the Assistant Secretary- General for human Resources Management for review and a decision. The submissions for rates above level D must include appropriate justification in respect of the tasks involved.

Definitions

Consultant: A consultant is an individual who is a recognized authority or specialist in a specific field, engaged by the United Nations under a temporary contract in an advisory or consultative capacity to the Secretariat. A consultant must have special skills or knowledge not normally possessed by the regular staff of the Organization and for which there is no continuing need in the Secretariat. The functions of a consultant are results-oriented and normally involve analysing problems, facilitating seminars or training courses, preparing documents for conferences and meetings or writing reports on the matters within their area of expertise on which their advice or assistance is sought.

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Individual Contractor: An individual contractor is an individual engaged by the Organization from time to time under a temporary contract to provide expertise, skills or knowledge for the performance of a specific task or piece of work, which would be short-term by nature, against the payment of an all-inclusive fee. The work assignment may involve full-time or part-time functions similar to those of staff members, such as the provision of translation, editing, language training, public information, secretarial or clerical and part-time maintenance services or other functions that could be performed by staff. An individual contractor need not work on United Nations premises.

Terms of reference:

- Heads of departments, offices and missions are responsible for ensuring that detailed terms of reference describing the work to be performed are prepared well in advance of the engagement of the consultant or individual contractor and submitted in a timely manner to the executive or administrative office for processing.

- The terms of reference are mandatory and shall form part of the individual contract. The terms of reference shall include the outputs to be delivered and the functions to be performed. The outputs and functions shall be specific, measurable, attainable, results-based and time-bound and include:a) Tangible and measurable outputs, objectives and targets of the work assignment, as well

as specific activities to achieve the required outputs and targets;b) Specific delivery dates and details as to how the work must be delivered (e.g. electronic

submission, hard copy). The dates and details shall be subdivided into “milestones” where appropriate;

c) Indicators for the evaluation of outputs (including timeliness, achievement of goals and quality of work);

d) Name and title of the supervisor(s).- Consultants and individual contractors may be engaged only when the following conditions

are met:a) The assignment is of a temporary nature and the outputs are measurable and the tasks

capable of being performed and completed within a limited and specified period of time (see sects. 5.7 to 5.9 of ST/AI/2013/4);

b) The need for the required services cannot be met from within the current staff resources of the Secretariat owing to a lack of specialized knowledge and/or expertise or capacity;

c) The services performed clearly relate to programmed or mandated activities in the work programme of the department or office concerned and/or special legislative or programming decisions;

d) Where an individual contractor is temporarily engaged to perform duties and functions similar to those of a staff member, a clear strategy is in place for a long-term regular staffing solution.

- Consultants and individual contractors may not be engaged:a) As a means of applying a probationary period to candidates prior to offering them a staff

appointment;b) (b) Where any representative, certifying, approving authority and/or supervisory

responsibility would be required.- Consultants shall not perform the functions of regular and continuing staff members.

Consultants and individual contractors shall not be involved in decisions affecting the status, rights and entitlements of staff members.

- The services to be provided by consultants or individual contractors should not duplicate work or activities already done, being done or about to be done by other individuals, departments or offices of the Secretariat.

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References in conjunction with this documentation

- ST/AI/2013/4_Consultants_and_individual_contractors- Engagement_of_consultants_Handbook, v2.0- September 2014, Inspira- OHRM Human Resources Handbook: Practice guidance covering all aspects of human

resource management: Source Documents>Topics>Experts, personnel other than staff members> Consultants and Individual Contractors. (http://www.un.org/hr_handbook/English)

- Umoja User Guide: Requesting services of Consultants and Individual Contractors (CIC) V1.3 internal use (https://www.unumoja.net/download/attachments/58589621/SC341_Umoja%20Requesting%20Services%20of%20Consultants%20and%20Independent%20Contractors_UserGuide_v1.5.pdf?version=1&modificationDate=1433975565647&api=v2)

- Appendix E- Standard framework to record further delegation of authority within the Division of Technology, Industry and Economics

- Administrative Guidelines COVID-19 Version 3 – March 2020 and FINAL- draft FAQs on recruitment 27/03/20

- (Presentation) CIC - UNEP Human Resources Focal Point Meeting 15.07.2020- Email from Christine Botejue-Kyle to HR Focal Points 2/9/2020 - Main reasons for UNON

returning your CIC Requests: Message for HR focal points

Explanation of business process document

Process Purpose: This section should provide a description of the purpose of the process. This may include why and how the process will benefit the organization.

Process Scope: This section should provide a description of what is included in the business process as well as what is not included or is out of scope for the process.

Process Input: All business processes have an input or a need to be fulfilled. This need or input is what initiates the process to begin. This section should identify the need or input required to initiate the process.

Process Boundaries: Process boundaries are a way of identifying where a process begins and where it ends. For example, there may be a need or input that initiates a process but is not actually a part of the process. The boundaries of the process must be clearly defined, documented, and communicated.

Process Flow: Many business process documents provide the process flow in a graphical format. Some provide the flow in a verbal format. Some provide both. This may depend on organizational standards. However, it is imperative that some detailed description of the flow of the process is provided. Without this, the process becomes open to interpretation and will suffer from a lack of formality and clarity. This section should describe each step of the process from beginning to end.

Process output: All business processes have an output or result that they must achieve. This is directly tied to the process purpose. While the output may not necessarily be a formal part of the

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process itself—depending on where the boundary is established—it is an integral part of the document as it explains what it expected upon completion of the process. This section should provide an explanation of the process’s output.

Exceptions to Normal Process Flow: Often, a business process will not follow its normal work flow from beginning to end as there may be many variables involved in the process. This section should explain where exceptions to the flow may occur and what steps will be taken in such an instance.

Control Points and Measurements: Business processes are not without risk and uncertainty. Nor are they exempt from any type of efforts to continuously monitor and improve them. Control points should be established at various points of the process flow where risks have been identified. This helps the process owner monitor risks associated with the process and is useful in ongoing process improvement efforts. Measurements are also necessary for determining the effectiveness of a process and performing process improvement. Measurements may coincide with control points in an effort to identify where risks or problems may reside and to determine a methodology for improving the process around these risks and problems.

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