Due Diligence

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How to setup Due Diligence Top

Prospective implementing partners initiate the capacity assessment process by submitting:

  1. an application form,
  2. signed and dated due diligence declarations (Annex 3, Due Diligence Declarations),
  3. a bank statement (or a letter signed by the bank holding an account), and
  4. identification documents (copy of passport or Identity Card) and curriculum vitae (CV) of the legal representative of the organization.

It is at the discretion of each CBPF to add any mandatory or optional requirements to the registration and due diligence stage. Each CBPF can decide whether the registration and due diligence steps are open to any interested prospective partners, or strictly by invitation.

How to access Due Diligence Top

Once the Country HFU has approved the registration, the Agency/Partner staff member(s) can login to the GMS and fill out the Due Diligence / Application form. Before submitting projects implementing partners will go through a due diligence process. During the process partners will provide the following documents:

  1. Bank information details (for implementing partners applying for the first time or when banking details need to be updated, Third Party and banking information form).
  2. An official bank statement or bank certification letter for provided bank account, issued with the bank's letterhead or official seal.

Accessing the Application FormTop

Agency / Partner:

  1. The Implementing Partner should see that their Due Diligence form is activated, by seeing this message appear on their home page.To access the Due Diligence / Application Form go to: Risk Assessment > Due Diligence > Application Form

  2. Fill out and provide the required information in the three tabs: Application Form, Documents, Bank Info

    *Note: Although UN Agencies do not need to go through Due Diligence, information should be provided on the tabs "Application Form" and "Bank Info". On the Application tab, the only 2 mandatory fields are the contact details of the legal representative and the focal person. The national registration number appears as N.A. Apart from this, the Bank information is needed on the “Bank Info”-tab. No input is needed on Due Diligence Document and Due Diligence Checklist. The UN Agencies are not assessed for capacity.

Updation of Application TabTop

Field Descriptions:

  • National Registration Number (textbox): The registration number that the organization uses for national registration
  • International Registration Number (textbox): If it applies the registration number the organization uses for international registration
  • Is Active (checkbox): This checkbox should be checked to indicate that this due diligence form is active for the organization enlisted
  • Alternative Organization Name (textbox): Alternative name that the organization uses

Contact Details of the focal person for this application:

  • Contact Details of focal person of this application (Add Contacts button): Click to provide organization's focal person contact details
  • Name and Contact Details of highest ranking official (Add Contacts button): Click to provide organization's highest ranking officer's contact details
  • Name and Contact Details of focal person in Headquarters (for International NGO's) (Add Contacts button): For international NGOs, click to provide focal person's contact details within the organization's headquarters
  • Name and Contact Details of the legal representative of the organization (person ultimately accountable within the organization) (Add Contacts button): Click to provide the your organization's legal representative contact details

"Add Contact" Pop-up Window Details:

  • For each 'Add Contacts' button as listed above, upon clicking this button a 'Add Contact' Pop-up Window will appear.
  • Copy From: Should you want to copy an existing contact person's contact details.
  • Fill out the rest of the contact details. Please note that any field with an asterisk sign * are required fields.
  • After you have filled out the contact details, ensure the 'Is Active' checkbox is selected.

* Please Note: Prior to the submission of your Due Diligence Form, if you will to remove a contact person, click on  next to the contact person's name on the Application Form.

After your Due Diligence Form has been submitted, if all data are correctly entered, the tabs will turn to blue.

Should you wish to remove a contact person, go to the How to revise Due Diligence section of this Help Portal and follow its instructions

Field Descriptions:

Office Locations:

  • Address and Contact Details for Organization Head Quarters :
  • Address and Contact Details of Main Office:
  • Address and Contact Details for Sub Office :

"Add Location" Pop-up Window Details:

  • For each 'Add Location' button as listed above, upon clicking this button an 'Add Location Pop-up Window will appear.
  • Copy From: Should you want to copy an existing location details already created.
  • Fill out the rest of the location details
  • After you have filled out the location details, ensure the 'Is Active' checkbox is selected.

Field Descriptions:

Additional Information:

  • Sectors of Operation: Key areas of expertise including number of years of experience
  • Geographical Areas of Operation: Provinces and Districts where your NGO currently has operations
  • Annual Budget: Annual Budget of your organization for the last 3 years
  • Donors: List of donors of the organization in the country you are registering, for the last 3 years
  • Coordination: Organization's membership of coordination bodies including Clusters / Sector working groups, NGO consortia, etc.
  • Board of Trustees (Add Trustees button):

"Add Trustee" Pop-up Window Details:

Enter the Trustee's Name, Title and Bio. Also ensure the 'Is Active' checkbox, if this trustee is actively participating as your organization's trustee.

* Please Note: If a particular Trustee is not participating as your organization's trustee, and you have NOT submitted Due Diligence form, please click on  next to the contact person's name on the Application Form.

To modify an existing trustee's details, please click on the edit icon under the Actions section.

After your Due Diligence Form has been submitted, if you wish to make a trustee inactive or modifty their details, go to the How to revise Due Diligence section of this Help Portal and follow its instructions.

Comments for Tab Application Form:

  • Leave Comment (textbox): open textbox to leave any comments that is relevant to your organization's Due Diligence Form.

Updation of Documents TabTop

Within the 'Documents' tab, download the 'required documents'; follow the instructions on the form; fill it out; and upload the signed document into the Document tab.

Useful Tip: This tab can be used to upload breakdowns of budget lines; it'd be also good to include a sample BoQ,  Sample BOQ attached..

 

* Please note:  'Additional Documents' are determined by the country office.  Therefore the 'Additional Documents' illustration above is just an example and may not reflect the complete listing of Additional Documents to be submitted to your respective country office.

 

Updation of Bank Info TabTop

The 'Bank Info' tab is the section for the Agency/Partner to submit their bank information. Please note your organization name should match the organization name on your bank account. If the organization name doesn't match the name that appears on the bank account, upload a letter by the bank/NGO HQ confirming the link between organization name and bank acocunt. Contact HFU for further details. This tab needs to be updated with up-to-date bank information. After the submission of this Due Diligence Form if any changes to your organization's bank information is required, please contact your HFU.

* Please Note: "Non Editable due to voucher attached", is that once bank information tied to an attached voucher has been attached, it cannot change and you will need to contact HFU to ADD NEW BANK INFO if need be.

Field Descriptions:

Beneficiary Banking Information:

  • Bank Name: Name of the Benficiary bank.
  • Bank ID: Bank ID associated with the Benefiiciary bank
  • For US banks only use whether: (9 digits):
    • ACH (checkbox): Provide the Automated Clearing House (ACH) code
    • Fed wire (checkbox): Provide the Fedwire bank code.
  • SWIFT code: 8 or 11 characters (required for overboard payments): Provide the unique identification code
  • Branch ID: (for Canadian Banks only) 9 digits routing no: Provide the branch ID
  • Branch Name: Name of the bank's branch name
  • Street Name: Name of the street where branch is located.
  • City: Name of the city where the branch is located.
  • State / Province: Name of the State/Province of the bank branch.
  • Postal Code: Postal code of the bank branch location.
  • Country: Name of the country where the branch is located.

Beneficiary Bank Account Details:

  • Account Name (name as it appears on bank account):: Name as appearing in the Account name of the bank.
  • Bank Account Currency (radio buttons: US$ OR Other): Select the bank account currency.
  • Bank Account No (Enter with no punctuation, no dots, dashes or spaces): Provide the bank account number.
  • Account Type (radio buttons: Checking OR Saving): Select the Account type
  • IBAN (European Banks): Provide the International Bank Account Number.
  • Transit Code (5 digit) Canadian Banks: Provide the Transit code.
  • Sort Code (6 digits) UK Banks: Provide the Sort Code.
  • BSB code (6 digit) Australia Banks: Provide the BSB code.

Bank Information for Intermediary / Correspondent Bank (if application):

  • Name of Bank: Provide the name of the bank
  • Address of Bank: Provide the address details of the bank.
  • Bank Account No: Provide the bank account number.
  • Swift Code: Provide the unique identification code
  • FED WIRE NO. (US BANKS ONLY): Provide the Fedwire bank code.

Multiple Bank Information:

To add multiple bank information, click on 'Add New Bank Info'. Once you have entered all the relevant bank information and pressed SAVED.

A list of your mulitiple bank information will appear beneath the 'Add New Bank Info'

Modify Bank Information:

If you have not submitted your Due Diligence Form, you can Edit, Copy or Delete your organization's Bank Info, by clicking on desired action hyperlink on the line of the desired bank info. Once you have modified according to your desired action, remember to press SAVE.

Completing Due Diligence Process:

* Please Note: Tabs that are in Red, indicate that there are still required fields within that tab that need to be filled in. Please note, you will not be able to save the contents within the tab until all required fields are entered.  Tabs that are in Blue, indicate that all required fields within the tab have been filled out and the contents within the tab has been saved.

 

HFU: Checklist for Due Diligence Review Top

Checklist for the review of Due Diligence Application form – Country-based Pooled Funds

Due Diligence is an essential step of the risk management for CBPFs. Thorough review of Due Diligence applications is critical to ensuring effective management of the risks associated to implementing partners. When reviewing the Due Diligence application, please ensure that all the following requirements are met.

Information in the Due Diligence form should be updated by partners each XX, or as circumstances evolve. In particular, when the legal representative of the organization changes the name and contact details must be updated, and due diligence declarations signed by the new legal representative must be uploaded.

For any questions, please contact your FCS Desk Office.

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 seciton is particularly important because the legal representative will automatically apper in the Grant Agreement as the authorized signatory on behalf of the 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 in US$ (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 GMS. The bank statement shoud 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 GMS, 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 GMS. 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 officaial of the bank, and not older than 2 months.

Bank information tab:

  • All the mandatory fields marked with an asterisk are duly filled out
  • When downloading the F21 form all the necessary fields are filled out (the F21 is automatically filled out by the GMS if the correct information is inputted in the Bank Info tab). Please note that the F21 does not need to be filled out manually by the partner.
  • 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)

How to revise Due Diligence Top

Implementing Partner:

If a Implementing Partner wants to change its Due Diligence information, they must contact their country HFU. Please note, no bank information can be changed, if the bank information has been used on a project. If it has not been used on a project, please note, not only will the bank information need to be changed in the Due Diligence, but also on the F21 and Grant Agreement (list areas that will need changed bank information)

HFU:

If a Implementing Partner is requesting a Due Diligence change, you will need to reactivate the Due Diligence draft in the Due Diligence workflow to allow for updates to occur.

Bank Information:

Please note, no bank information can be changed, if the bank information has been used on a project. If it has not been used on a project, please note, not only will the bank information need to be changed in the Due Diligence, but also on the F21 and Grant Agreement (list areas that will need changed bank information)

Contact Information:

If a contact person needs to be changed, first deactive the old contact person's profile, by clicking on the edit icon  next to the old contact person.

Within the 'Edit Contact' pop-up window, uncheck the 'Is Active' checkbox to deactive this contact person from your due diligence form.

Then proceed to add your new contact person, by clicking on the 'Add Contacts' button and filling out the person's contact information.

Note: The system now allows for a deactivation of contacts in the Due Diligence module, even if the contact was stated in a Grant Agreement (GA). This was not possible previously, leaving multiple legal representatives active which could confuse HFUs when generating a GA.

Application Form Tracking tab:

Within the Application Form Tracking tab, a user can view the Due Diligence stages that an organization has gone through in regards to the Due Diligence application.

Application Form Admin tab:

Please note this is for ADMIN PURPOSES only.

What Next? Top

After the Implementing Partner has submitted their Due Diligence Form, they are to await for HFU's approval of their Due Diligence Form. Once their Due Diligence Form has been approved, an Implemeting Partner will be able to submit project proposals once HFU declares Calls for Proposals.

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