Due Diligence Review
 
To review Due Diligence applications, go to Risk Management > Due Diligence > Application Form 
 
d
 
Once on the Application Form page, use the filters and click on [Search] to search for due diligence applications.  If no filters are applied and you click [Search], the platform will display all due diligence applications.  
 
.
 
Fields description:
  • Agency: select the partner which due diligence application you wish to access.
  • Organization Type: select the organization type of the partner which due diligence application you wish to access.
  • Status: select the status of the due diligence application you wish to access.
  • Partner risk: Select the risk of the partner which due diligence application you wish to access.
The search results appear below. Identify the implementing partner and click on the edit icon on the right-hand side of its line to access its due diligence application in a read-only format that you can review. 
 
e
 
 
.
 
When reviewing the due diligence application, please ensure that all the following requirements per tab are met : 
 
Application form tab:
  • All mandatory fields are correctly filled out.
  • Name and contact details of the highest ranking official given are for the Country Director or equivalent – highest ranking official in the country.
  • Name and contact details of the legal representatives of the organization given are for the most senior person of the organization (Executive Director or equivalent), with delegated authority to sign Grant Agreements. This person can be the same as the highest ranking official in the country. This section is particularly important because the legal representative will automatically appear in the Grant Agreement as the authorized signatory on behalf of the implementing partner.
  • Address and contact details provided are correct, and are given for all the field/sub offices of the organization in the country.
  • Sufficient details are provided for Sectors of operation, Geographical areas of operation, and Coordination, and they match with the HFU/OCHA Country Office knowledge. If in doubt, please check with relevant clusters/sectors.
  • Annual budget and donors are provided and broken down for the past 3 years.
  • All names and titles of Trustees are listed, and a short bio for each one is provided, at least for key positions (Chair, Administrator, Treasurer).
Documents tab:
  • All five Due Diligence declarations have been completed and signed by the person listed as the Legal Representative of the organization. They match exactly the templates provided and no changes have been made.
  • A short bio AND the photo page of the identity document of the Legal representative of the organization have been duly submitted.
  • The bank statement is duly submitted and the bank account name matches exactly the name of the organization as registered on the OneGMS. The bank statement should be on the bank's letterhead, should be signed and stamped by an official of the bank, and should not be older than 2 months. Electronic bank statements can also be accepted.
  • If the bank account name is not the name as the one under which the organization registered on the OneGMS, a letter by the bank is also uploaded in addition to the bank statement certifying that the bank account in the statement belongs to the organization under the name registered in the OneGMS. The letter should be on the bank's letterhead, signed and stamped by an official of the bank.
  • UN Agencies requesting fund transfers to an account other than the Headquarters bank account should provide written approval from the Agency's Headquarters office and a bank statement on the bank's letterhead, signed and stamped by an official of the bank, and not older than 2 months.
Bank information tab:
  • All the mandatory fields marked with an asterisk are duly filled out.
  • Depending on the country of origin of the bank, all necessary fields are appropriately filled out.
  • Complete details of the intermediary bank are provided (if necessary).

Sub Partner tab: (to read more about how to review this tab, please click here

  • All the mandatory fields marked with an asterisk are duly filled out
  • The sub partner name, acronym and localization market are correct
  • The registration certificate, which is mandatory, is uploaded 
 

The Application Form Admin tab enables HFU officers to send back for re-draft only a selection of the due diligence application form’s tabs. To do so, the system allows HFU to lock the tabs that do not require changes and allows editing to the tabs which do require changes. To lock the tabs, go to the ‘Application Form Admin’ tab, on the right-hand side of the due diligence application form.  

All tabs of the application form are listed. To lock them, tick the corresponding boxes on the left-hand side, and click on ‘Change Lock Status’.  

Once the application form is sent back for re-draft, the locked tabs will be visible by the implementing partner, but not editable.  

d
 
 
After reviewing the due diligence application, you can either: 
  • Approve without notification: approve the due diligence application of a partner without sending the automatic notification of approval to the partner.
  • Submit for Re-draft: request the implementing partner to re-draft the due diligence application (if you would like the implementing partner to access and edit only a selection of the application tabs, please use the Application Form Admin tab).
  • Reject: reject the due diligence application.
  • Approve Due Diligence/Application form: approve the due diligence application.
e
Once you have approved the due diligence form, a pop-up window will be displayed. You will be able to leave a comment pertaining to this action and click on [Yes]. 
 
ew
 
Please note: for any questions on reviewing due diligence applications, please contact your CBPF Desk Officer.