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Chapter 02. Organisation of Procurement

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Table of Contents


2. Organization fo Procurement

     2.1 Overview of the Procurement Process

            2.1.1 Definition of Procurement

            2.1.2 Outline of the Procurement Process

            2.1.3 Category Management

     2.2 Responsibilities of Organizational Units and Key Roles for the Procurement Process

     2.3 Procurement Official

     2.4 Requisitioner

     2.5 Procurement Approving Authority

     2.6 Procurement Authority

            2.6.1 Delegation of Authority

            2.6.2 Exercise of DOA

            2.6.3 Procuring Agent

            2.6.4 Local Procurement Authority (LPA)

     2.7 Delegation for Amendments

            2.7.1 Increase of the NTE amount

            2.7.2 Extension of Duration

            2.7.3 Contract Awards

            2.7.4 Calculation of Cumulative Amounts for Assessment of Required DOA

     2.8 Accountability

     2.9 Segregation of Duties



2. Organization of Procurement

2.1 Overview of the Procurement Process

2.1.1 Definition of Procurement

Procurement is defined in Financial Regulation 5.12 as all actions necessary for the acquisition, by purchase or lease, of property, including products and real property, and of services, including works.

For the purpose of this PM, and unless specifically mentioned, the term ‘procurement’ is limited to the acquisition of goods, services, works, or real property via competitive bidding or through the exceptions outlined in Financial Rules 105.16 and 105.17, including but not limited to sole sourcing, standardization, cooperation (including Letters of Assist), use of administrative project or programme support services from UN entities outside of the UN Secretariat, and informal methods of solicitation. This PM also covers income-generating contracts, with income deriving from the sale of assets or other commercial arrangements such as PX and catering contracts.

2.1.2 Outline of the Procurement Process

Practitioners should note that the procurement process is part of the overall acquisition process, which in turn, is a key component of end-to-end supply chain management. The acquisition process refers to the steps necessary to acquire goods and services, inter alia, through identification and development of requirements, planning, budgeting, conducting solicitations, obtaining approvals, entering into contract negotiations, and carrying out contract fulfillment.

The acquisition process entails, amongst other elements:

  1. a.The gathering and analyzing of initial demand data;
  2. b. Acquisition planning;
  3. c. Design of specifications;
  4. d. The procurement action;
  5. e. Delivery/freight forwarding;
  6. f. Receipt & Inspection (R&I);
  7. g. Payment;
  8. h. Contract management and contract administration.

This document is designed to provide practical guidance and support on all aspects related to the acquisition process. This manual constitutes authoritative guidance on functions and elements for the procurement process and provides a summary overview of the associated steps that are part of the broader acquisition process. Other manuals and policy documents may be available, including as part of the Supply Chain Operational Guidance (SCOG). For those areas outside of the actual procurement process, such other guidance documents shall prevail over the guidance provided in this PM.

The provisions in this PM are to be considered and applied by procurement practitioners with professional expertise and discretion. The PM also provides guidance to Requisitioners, Tender Opening Committee (TOC) members, Vendor Review Committee/ electronic Special Approval Committee (e-SAC) members, and any other involved stakeholders.

2.1.3 Category Management

Category Management (CM) is a concept in which the range of goods and services an entity acquires is divided into groups of similar or related products called categories. It defines a systematic approach to managing those goods and services with a much greater understanding of client needs and those specific supply markets. The implementation of CM is a key pillar of the UN Secretariat’s new integrated supply chain management (SCM) strategy and will deliver long-term value for the organization by making the acquisition and delivery of goods and services more effective, agile, cost-effective and by delivering innovative solutions for clients (e.g. takeback inclusion).


CM consists of three core elements:

  1. a. Segmentation of SCM operations into discrete categories of goods and services (e.g. Aviation, Medical, Ground Transport, etc.);
  2. b. A process of developing and implementing individual strategies tailored to a specific category (there is no one size fits all);
  3. c. Establishing multi-functional category teams to leverage the best market knowledge and technical and procurement expertise.

Category strategies typically include a tailored acquisition process and incorporate technology and innovation or waste-minimization considerations (e.g. improved packaging and production, take back schemes), as well as the most cost-effective delivery methods with solutions that deliver Best Value for Money, now and in the future. CM is an ongoing process involving continuous updates and reassessment of the supply market and the organization’s needs. In order to succeed, category managers must:

  1. Have a clear view on spend categories and volumes;
  2. Engage in regular analysis of user needs and supply markets;
  3. Keep their focus on value creation to improve the total cost of ownership and consider quality, innovation, the safety of supply, and risk management;
  4. Adopt a proactive stance in the development of category strategies;
  5. Assign clear responsibilities and processes for category strategy development, implementation of such strategies, stakeholder involvement, and vendor management.

Category Managers will have responsibility for defining the relevant strategies for their categories, and these will be executed either centrally or locally, dependent upon the category. Effective category management is built on relevant multi-functional teams collaborating across the Organization as well as other United Nations entities.



SCOG_EN3: Category Management



2.2 Responsibilities of Organizational Units and Key Roles for the Procurement Process


The following are key organizational units and roles that relate to the procurement function of the UN Secretariat:

  1. Under-Secretary-General, Department of Operational Support (DOS);
  2. Assistant Secretary-General, OSCM;
  3. Director, PD;
  4. PD: Under the authority of its Director, PD shall be responsible for:
    1. Overall strategic management of UN procurement activities;
    2. Articulating operational strategy, formulating guidance, and proposing innovative solutions for procurement, including the development of category management strategies and implementation of approved strategies, jointly with the technical experts such as Logistics Division (LD), Office of Information and Communications Technology (OICT), etc.;
    3. Managing procurement in a transparent, accountable, and efficient manner in order to execute the Organization’s supply chain management strategy and support its mandates;
    4. Establishing and maintaining instructions, procedures, processes, control mechanisms, and supporting guidance on procurement activities;
    5. Making the Procurement Manual, processes, and tools available to Procurement Officials at UNHQ and in other entities, analyze instances in which such guidance and processes have been disregarded or not properly implemented, and provide advice on any required changes;
    6. Providing the necessary guidance so that Technical Experts, Category Managers, Requisitioners, and other stakeholders in the procurement process act consistently with the procurement framework outlined in Chapter 1.3;
    7. Enabling the operationalization and managerial oversight of the UN’s procurement activities through appropriate systems and reports;
    8. Supporting the identification and development of opportunities for the provision of procurement services for clients and other UN organizations, and ensure appropriate modalities for service delivery;
    9. Strengthening the knowledge, skills, and career development of procurement practitioners, including identifying mandatory training and setting standards for internal and external certification;
    10. Providing clearance for personnel at UNHQ and for all procurement officers in other UN Secretariat entities prior to recruitment in order to facilitate recruitment and to create a roster of procurement profiles;
    11. Establishing and maintaining proper entry points and mechanisms to address complaints from or against vendors.
  5. Procurement Official: see a detailed description of responsibilities under Chapter 2.3 Procurement Official below;
  6. Requisitioner: see a detailed description of responsibilities under Chapter 2.4 Requisitioner below.

In addition to the above, the following functions and roles are important in conducting, reviewing, and/or evaluating the proper conduct of acquisitions and procurement processes:

Review Committees on Contracts: Further to Financial Rule 105.13 (b), the Under-Secretary-General for the Department of Management Strategy, Policy and Compliance (DMSPC) has established review committees, at Headquarters and other locations, to render written advice on procurement actions leading to the award or amendment of procurement contracts, including agreements or other written instruments that involve income to the United Nations. The composition and the terms of reference of such review committees are defined in ST/AI/2011/81. Refer to Chapter 9 for further details, including the scope of review and monetary thresholds.

DMSPC/Business Transformation and Accountability Division (BTAD), Monitoring and Evaluation Service (MES) is responsible for managing delegations of authority to heads of entity, monitoring the exercise of delegated authorities under the Staff Regulations and Rules and the Financial Regulations and Rules, reporting on organizational performance and developing self-evaluation tools for use across the UN Secretariat. MES formulates or reviews proposals for policy enhancements to meet organizational needs and provides advice to heads of entity in order to support them in discharging their delegated authorities correctly. MES works in close collaboration with relevant stakeholders to ensure that policies are aligned with the operational aspects and support delivery in the area of procurement.

DOS, Enabling and Outreach Service (EOS) in OSCM: this Service includes several functions which are critical to support the end-to-end supply chain management process, including elements of the procurement process, such as vendor registration, outreach, operational reporting, performance management, and the tender opening function.


Vendor Review Committee (see Chapter 3.3).

Award Review Board (see Chapter 10.2.3).


2.3 Procurement Official


Procurement activities can only be undertaken by Procurement Officials, as the staff members responsible for the procurement process. The dedicated procurement of goods and services is carried out by professional staff with proper training, knowledge, and experience, or by administrative staff with the appropriate procurement expertise, training, and qualifications if approved by the ASG, OSCM. Only the relevant classified job descriptions should be utilized to recruit procurement officials, unless otherwise approved by the ASG, OSCM in advance.


The Procurement Official, in conjunction with the Requisitioner, is also responsible for ensuring that the category management process is carried out in a manner that achieves economies of scale, innovative approaches to meeting client needs from a supply market perspective, consolidation of requirements where possible, and segregation of duties (see Chapter 2.9).


The responsibilities of a Procurement Official in a procurement process are the following:

  1. Defining solicitation strategies in collaboration with the Requisitioner, upon review of the acquisition plan and in alignment with the respective category management strategy;
  2. Reviewing the requirements and evaluation criteria and ensuring that they are appropriate from a procurement perspective;
  3. Leading the sourcing process and conducting supply market analysis, including issuing Requests for Expression of Interest (REOI);
  4. Developing pricing structures and commercial evaluation models that allow for transparency in costs and effective competition;
  5. Preparing solicitation documents, as well as facilitating and managing the solicitation process; 
  1. Reviewing the technical evaluation to ensure that it was conducted in accordance with the pre- established technical evaluation criteria and that the narrative of the report corresponds with the matrix and the scoring/rating;
  2. Carrying out the commercial evaluation of bids as per pre-defined evaluation criteria;
  3. Preparing the recommendation for an award and submitting the case to the committee on contracts, if applicable;
  4. Preparing and issuing contracts and purchase orders;
  5. Requesting and ensuring the safeguarding and return of any performance securities, as applicable;
  6. Performing contract administration duties in coordination with the Requisitioner and staff responsible for contract management, as applicable, in support of the Requisitioner;
  7. Performing contract closeout activities.

To be considered “qualified” in the context of this delegation instrument, completion of relevant procurement training is required (, in addition to meeting requirements in the relevant classified job descriptions. As of 1 January 2021, all Procurement Officials (excluding the Director/Chief of Mission Support/Administration or equivalent) must be professionally certified by an internationally recognized procurement certification authority (such as CIPS Level 4 or equivalent) to the required level, as authorized by the Under-Secretary-General for Operational Support.


 2.4 Requisitioner


A Requisitioner is an individual who initiates a request for a requisition/shopping cart in UMOJA, the UN’s Enterprise Resource Planning (ERP) system, i.e., a request for goods and/or services. A Requisitioner has primary responsibility for capturing demand data, consolidating needs from end-users and stakeholders, defining generic and clear specifications, and managing resources.


Within the category management framework, a Requisitioner may hold the role of the Category Manager. Please refer to Chapter 2.1.3.


Responsibilities of a Requisitioner in the procurement process (some of these can be delegated to other personnel) are as follows:

  1. Preparing the demand plan, ensuring that proposed expenditures are in accordance with the mandate of the relevant entity, and ensuring that sufficient time is available to undertake a procurement exercise;
  2. Drafting the requirements in the form of specifications, SOWs, or TORs, as well as associated technical evaluation criteria;
  3. Raising and approving shopping carts in UMOJA, unless this is being undertaken by the Acquisition Management function in certain entities;
  4. Ensuring that sufficient funds are available for the requirement. The Requisitioner is responsible for securing specific funding allocated only to the applicable procurement, both at the time of contract award and during the entire life of the contract;
  5. Conducting technical evaluations of Submissions received if appointed to the technical evaluation committee;
  6. Accepting goods and/or services delivered by vendors, and creating Receiving and Inspection reports in UMOJA;
  7. Leading contract management duties including vendor performance evaluation, where appropriate, in coordination with the end-user, if applicable.


All Requisitioners must complete the mandatory UMOJA training courses designed for this role and are strongly encouraged to complete the following courses in the UN Procurement Training Campus before assuming responsibilities in the acquisition process (available at

  1. Fundamentals of Procurement
  2. Best Value for Money
  3. Ethics & Integrity in Procurement
  4. Acquisition Planning and Contract Management


2.5 Procurement Approving Authority


A Procurement Official who has been formally issued a delegation of authority for procurement (DOA) will be referred to as a Procurement Approving Authority, up to the threshold of delegated procurement authority applicable to their grade, level, or position. Procurement Approving Authorities must exercise their duties and responsibilities under their designated Delegation of Authority (DOA) with the utmost care, efficiency, impartiality, and integrity. They are responsible for:

  1. Approving procurement activities within their designated DOA level (noting that the approving authority in UMOJA may be unlimited for certain senior procurement officers as stipulated in the "Annex 1 - Document Processing and Approval Matrix" included in the delegation instrument);
  2. Ensuring, prior to any commitment being made, that the procurement activity strictly complies with the UN Procurement Framework documents as outlined in Chapter 1.3;
  3. Providing reports in accordance with their DOA and as stipulated in this Procurement Manual.



Under no circumstances shall requirements be split (or contract terms be reduced) to circumvent the procurement or review process. If an overall requirement amount exceeds delegated authorities, the requirement shall be submitted for procurement action through the established procedures and appropriate review process.


2.6 Procurement Authority


2.6.1 Delegation of Authority


The delegation framework effective 1 January 2019 provides an  enhanced level of flexibility to support client mandates. Delegations were issued directly by the Secretary-General to heads of entity, on the basis of guidance from the DMSPC, in consultation with the DOS


The Secretary-General has delegated to Heads of Entity and other appropriate officials the procurement authority allowing them to perform procurement functions (referred to as Authorized Officials). The responsibilities of an Authorized Official in a procurement process include, but are not limited to, approving or rejecting recommendations of a Review Committee, where applicable, putting in place measures to identify fraudulent and corrupt practices, and deploying appropriate responses to prevent these improprieties.


2.6.2 Exercise of DOA


Delegation for non-Strategic Goods and Services is unlimited for formal methods of solicitations under Financial Rule 105.15. However, it is contingent upon the entity having adequate procurement capacity.


The Director, PD, must technically clear Procurement Officers prior to selection.




Annex 1—Document Processing and Approval Matrix (Annex B)



2.6.3 Procuring Agent


If adequate procurement capacity and infrastructure, as detailed above, does not exist in the entity, another UN Secretariat entity may be assigned by the USG, DOS in consultation with USG, DMSPC and the head of entity, to undertake procurement on the entity’s behalf.


In this case, the sub-delegation of procurement authority to the tasked entity (Procuring Agent) is not required. The Procuring Agent shall undertake the procurement activity, and the resulting Review Committee Minutes shall be submitted for review/approval of the Authorized Official in the Procuring Agent.


2.6.4 Local Procurement Authority (LPA)


Under the new DOA framework, certain goods and/or services have been classified as strategic (Strategic Goods and Services Matrix). The Strategic Goods and Services fall into one of the two following categories:

  1. Goods and/or services that fall, for reasons such as safety and security, within the scope of a center-led approach (e.g., aviation, ammunition, counter rocket and artillery radars, information, surveillance and reconnaissance systems, food rations or body armor etc.) and for which the authority to undertake procurement is retained by the Department of Operational Support for requirements of any amount (above the threshold for Low Value Acquisitions).


  1. Goods and/or services needed by a broad range of clients to meet commonly required, high volume needs, which lend themselves to center-led procurement for reasons of economies of scale, standardization or other reasons, and that are usually available under Long Term Agreements. These goods and/or services can be procured by any UN Secretariat entity up to the threshold stated in the Strategic Goods and Services Matrix. Product and process economic considerations are advised to be applied when purchasing outside of such Long Terms Agreements, which is a decision that is at the sole discretion of each entity, to obtain the best value for the Organization. To arrive at a completely transparent cost comparison, factors to consider include the price of the good or service, installation, maintenance and freight costs, as well as internal administrative costs associated with the acquisition process, from development of requirements to contract management. Over the threshold stated in the Strategic Goods and Services Matrix, the authority to undertake procurement for this type of goods and/or services is retained by the Department of Operational Support.


The Strategic Goods and Services Matrix also provides guidance for those Information and Communication Technology goods and/or services included in such Matrix that require technical clearance from OICT prior to the commencement of any procurement action by a UN Secretariat entity.


The Strategic Goods and Services Matrix may be revised from time to time.


All entities are free to undertake procurement for goods and/or services which are either below the thresholds of the goods and/or services listed in the Strategic Goods and Services Matrix and for any goods and/or services not included in the Strategic Goods and Services Matrix. Local Procurement Authority is only required in cases where entities wish to pursue local procurement of goods and/or services classified as strategic in accordance to the paragraphs above.


The single most important factor in eliminating ad-hoc LPA requests is the active participation by each entity into Organization-wide planning. The planning process needs to be a deeply collaborative exercise resulting in a jointly agreed upon sourcing plan, which eliminates the need for LPA once a sourcing option has been identified as local procurement for the duration of the planning/budget cycle. Entities should aim to identify their requirements in a timely fashion and include them in their Annual Supply Chain Plan in order to minimize ad-hoc LPA requests. The Annual Global Supply Chain Acquisition Plan as authorized by the ASG OSCM is valid for the relevant annual planning cycle.


LPAs can also be requested at the time an ad-hoc requirement emerges as described below.


Actions to be taken by the requesting entity: The requesting entity is accountable to self-certify the justification for the request and to provide the necessary background documentation. Entities must ensure that the information contained in the self-certification is accurate. The self-certification of the requesting entity must be submitted electronically in Unite Self Service using catalogue item “Request for Local Procurement Authority (LPA) - Ad-hoc Request” which is available under Client Service Centre,  Source to Acquire, Procurement and include at a minimum

  1. a. The rationale for requesting an LPA (an explanation of the requirements/circumstances that make the strategic good or the service - if it is available in existing local inventory, existing commercial contracts and/or through noncommercial contracts -unsuitable);
  2. b. The estimated total cost of the potential award (in US$);
  3. c. Anticipated duration of the contract, if applicable;
  4. d. Confirmation of funds availability;
  5. e. Detailed definition of the requirement (SOR/SOW, technical requirement, technical evaluation criteria, design drawings, etc.) compliant with established, relevant UN (technical) standards and policies;f. Confirmation of technical capacity relevant to the strategic category within the requesting office to carry out the procurement process;
  6. g. Confirmation of availability of (or access to) procurement capacity and infrastructure, including the following: Bid receiving and safeguarding; Tender Opening Committee; Local Committee on Contracts; At least two fully dedicated, trained and qualified United Nations Procurement Officials of which one staff shall be a Procurement Officer or a United Nations official as otherwise cleared to conduct procurement functions at the appropriate level for the potential award;
  7. h. Identification of the envisaged financial rule for the resulting award. In case of exceptions to the use of formal methods of solicitation, the justification for such exception;
  8. i. Confirmation that the entity has not been in receipt of audit reports with rating “unsatisfactory” in the last three (3) years.


The requesting entity must attach to the following documents to their Request for LPA in Unite Self Service:

  1. Annex A -Scope of Requirements (SOR/SOW), Technical Evaluation Criteria, design drawings, etc. compliant with established technical standards and policies;
  2. Annex B -Cost Breakdown.


Actions to be taken by UNGSC:

Upon receipt of the ad-hoc request for LPA, UNGSC will conduct an initial review of the submission. This review will include the following:

  1. Confirm that LPA is required. If the requirement does not require LPA, the client entity will be informed accordingly and the RFS and associated work orders will be closed, indicating the reason for closure within one working day. UNGSC shall inform PD electronically;
  2. Confirm that submission, including the above mentioned supporting self-certified information, is complete. If the submission is not complete, the requesting entity will be informed accordingly and the RFS and associated work orders will be closed, indicating the reason for closure within one working day. UNGSC shall inform PD electronically;
  3. Verify that alternative sourcing options of the requirements have been fully explored, including global surplus and stocks reserve, where feasible to fulfil the requirement.


Based on this check:

  1. If it is determined that the requirement cannot be met from global surplus and stocks reserves, UNGSC shall inform PD electronically by closing the work order assigned to UNGSC within one working day.
  2. if it is determined that the requirement(s) can be met from global surplus and stocks reserve, UNGSC shall inform electronically within one working day, the requesting entity of the available options. The client entity shall respond within three working days.
  3. If the offered solution is accepted, UNGSC shall inform the technical offices, PD and the client entity of the outcome of the review and close the RFS and associated work orders. The client entity will update their annual supply chain plan;
  4. If the requesting entity confirms that the LPA is still the preferred option, UNGSC will complete the review and submit its recommendation (concurrence or non-approval) to PD electronically by closing the work order assigned to UNGSC with a brief explanation within one working day of the receipt of the entity's response;
  5. In the absence of a response from the requesting entity, the RFS and associated work orders will be closed, indicating the reason for the closure.

In addition, UNGSC will provide assistance to the requesting entity, also in case of non-approval, and monitor the implementation of the LPA within the context of the Integrated Business Planning (IBP).


Actions to be taken by PD: Upon receipt of UNGSC’s concurrence to the request for LPA, PD will:

  1. Analyze if the requirement can be met through any other sourcing options (in addition to the ones analyzed by UNGSC), including ways of potentially meeting the requirement through the category management approach, cooperation between United Nations system entities as well as other sourcing capacities available in the Secretariat;
  2. Benchmark the cost reasonableness of the requested amount for the desired goods and services; and,
  3. Undertake a risk assessment, if warranted/indicated, including areas such as audit ratings and observations, the basis for the request as well as for the exception to competition, capacity in terms of the number of formal solicitations handled by the perspective case officer, DMSPC inputs, etc.


Upon conclusion of the review, and no later than 2 working days upon receipt of the UNGSC concurrence, Director, PD (or another Procurement Official authorized by Director, PD to perform this task) will inform all parties of her/his decision to grant or reject the request for LPA. In case the LPA is granted, its validity for other requirements for the same nature will extend to the end of the planning cycle. Should the LPA not be approved, the client entity and PD will work together on how to best meet the requirement.


Actions to be taken by the expert technical office: Upon approval of an LPA, expert technical offices will provide initial technical advice to the client entity within two (2) working days of the issuance of the LPA. In the case of highly complex requirements, technical offices may request a longer time for providing technical advice. Such expert technical offices may be in Headquarters or away from Headquarters, in accordance to the corresponding category management strategy. The client entity will be informed by technical offices in advance on exactly how many days are requested and the reason why.


For cases under F.R. 105.16 (a) (vii) Exigency (as defined in General Assembly decision 54/468, “an exceptional compelling and emergent need, not resulting from poor planning or management or from concerns over the availability of funds, that will lead to serious damage, loss or injury to property or persons if not addressed immediately”), LPA is not required for Strategic Goods and Services. 


Entities have unlimited authority to place call off orders against systems contracts established by the UN Secretariat regardless of the nature of the requirement.


Authority to enter into cooperation with a Government, non-Governmental organization or other non-UN public international organizations for the provision of goods and services under FR 105.17 (b) is retained by DOS.




Annex 2 - Strategic Goods and Services Matrix

Annex 3 - SCOG SR4 concerning the LPA process



2.7 Delegation for Amendments

2.7.1 Increase of the NTE amount

The procurement delegation instrument provides that the relevant delegation holders have the authority to increase the NTE amount for contracts to allow flexibility in addressing changes in requirements. The thresholds for each delegation holder to increase the NTE amount of any contract shall not exceed the maximum applicable thresholds determined in the annex to the delegation instrument titled “Delegation of Procurement Authority Matrix”.


2.7.2 Extension of Duration

The procurement delegation instrument provides that the relevant delegation holders have the authority to extend the duration of contracts to allow certain flexibility in responding to operational needs. The thresholds for each delegation holder to extend the duration of any contract shall not exceed the maximum applicable thresholds determined in the annex to the delegation instrument titled “Delegation of Procurement Authority Matrix”.


2.7.3 Contract Awards


An award means the authorization is given by the Authorized Official (following Review Committee recommendation if required) or the Procurement Approving Authority, as applicable, to establish a contractual commitment on behalf of the UN. It includes the issuance of contracts, Long Term Agreements (LTAs), Letters of Assist (LOAs), purchase orders, or amendments thereof.


2.7.4 Calculation of Cumulative Amounts for Assessment of Required DOA


For a contract or series of contracts, including amendments thereof, awarded to the same vendor for the same requirement or a series of related requirements or purpose, the cumulative amount for the entire period of the proposed award must be considered when determining the level of DOA required for approval.


The ‘same requirement’ means the award of a contract or series of contracts to the same vendor, including amendments thereof, in the context of/resulting from a single solicitation process. Therefore, the amount of all contracts, purchase orders, or amendments resulting from the same solicitation process for the same purpose must be accumulated for the purpose of determining the relevant Procurement Approving Authority.


2.8 Accountability


All UN personnel involved in the procurement process are accountable to the Secretary-General for the actions undertaken by them in the course of their official duties. UN personnel who take any action that is contrary to the Financial Regulations and Rules or to other relevant legislative instruments or policies and procedures may be held personally responsible and financially liable for the consequences of such action.


As the UN utilizes public funds in the procurement process, these funds must be applied solely for their intended use. Individuals holding a DOA must be particularly careful to ensure their actions, or those undertaken by persons under their supervision, comply with the Financial Regulations and Rules and other relevant legislative instruments.


2.9 Segregation of Duties


Segregation of duties is an internal control mechanism used to assure that no single individual or organizational unit is given responsibility for more than one related function within a single process.


There are two areas where segregation of duties is applied in the acquisition process as part of internal controls: The first area refers to authorities for various functions in the acquisition process in UMOJA:

  1. Budgeting Authority— responsibility for managing the resources being spent, normally performed by the Requisitioner or end-user;
  2. Requisitioning Authority— responsibility to raise a requisition (shopping cart) and convey such requisition to the procurement function;
  3. Procurement Approving Authority— approval of purchase orders after the Procurement Official has created them;
  4. Disbursing Authority— approval of the payment of invoices.


Personnel are granted profiles in UMOJA consistent with their roles, and the following segregation of duties measures are enforced by the system:

  1. Personnel that create purchase orders cannot approve them;
  2. Personnel that create requisitions/shopping carts cannot approve them;
  3. Personnel that approve requisitions/shopping carts and personnel that approve purchase orders cannot approve payments;
  4. The Procurement Official cannot undertake the receipt of goods and services pursuant to purchase orders or contracts;
  5. Personnel that create or modify vendor records cannot approve them. The right to approve new vendors in the system is separated from the procurement function and performed by the vendor registration function in the EOS, OSCM and the Master Data Management team in UNGSC in Brindisi;
  6. Any justified combination of roles is to be documented and approved by the ASG, OSCM.


The second area refers to steps in the procurement process outside UMOJA. The following segregation of duties applies:

  1. ‘Needs definition’ authority— the responsibility to define a requirement in the form of a Statement of Requirement and convey such need to the procurement function; a process which is undertaken by the Requisitioner or Technical Expert Category Manager;
  2. Opening of offers for formal solicitations must be conducted by at least one official who has no involvement in the subsequent stages of the procurement process;
  3. An evaluation committee is formed hereof (as per Chapter 8.2);
  4. The Procurement Approving Authority shall not award contracts or purchase orders or amendments thereto in instances where the Procurement Approving Authority has directly and personally conducted the procurement process. In such cases, all contract documents and purchase orders must be referred upwards to the next DOA level.


Notwithstanding the above, Procurement Officials may exercise the remaining activities under their delegated authorities (e.g. approve the List of Invitees, sign solicitation documents) in instances where they have undertaken responsibility for the procurement process.



1. This ST/AI/2011/8 is due to be superseded by a new ST/AI shortly. The link will be updated as soon as it is promulgated.