Updated

UNDP LEGAL FRAMEWORK

FOR

ADDRESSING NON-COMPLIANCE

WITH

UN STANDARDS OF CONDUCT

20 September 2007

Page 1 of 45
 CONTENTS

INTRODUCTION ..........................................................................................................................
8
Section 1 .Purpose ......................................................................................................................
8
Section 2 .Scope of Application .................................................................................................
9
2.1 .To Whom The Present Document Applies ...................................................................... 9
2.2 .To Whom The Present Document Does Not Apply ......................................................11
Section 3 .Overall Authority .....................................................................................................
12
3.1 .The Administrator ..........................................................................................................13
3.2 .The Assistant Administrator and Director, Bureau of Management (BOM) ................ 14
3.3 .The Director, Legal Support Office (LSO)................................................................... 1 4
3.4 .The Director, Office of Audit and Performance Review (OAPR) ................................15
3.5 .The Director, Office of Human Resources (OHR) ........................................................16
3.6 .The Managers ................................................................................................................
17
. . .
3.7 .The Disciplinary Committee.......................................................................................... 18
3.8 - Staff Members ...............................................................................................................
19
Section 4 .Definitions ...............................................................................................................
19
CHAPTER I ...................................................................................................................................
24
STANDARDS OF CONDUCT .....................................................................................................
24
Section 1 .Standards of Conduct Expected from UNDP Staff Members .................................24
Section 2 .Management Standards............................................................................................
25
Section 3 .Misconduct ..............................................................................................................
27
CHAPTER I1..................................................................................................................................
31
PROTECTION AGAINST RETALIATION.........................,.......................................................31
FOR REPORTING ALLEGATIONS OF WRONGDOING OR FOR COOPERATING WITH
DULY AUTHORIZED AUDITS OR INVESTIGATIONS .........................................................31
Section 1 .Reporting Allegations of Wrongdoing (Whistleblowing) ......................................31
1.1 .Reporting Allegations of Wrongdoing through Established Mechanisms ....................31
1.2 .Disclosure of Alleged Misconduct to Entities External to UNDP ................................33
Section 2 - Protection against Retaliation .................................................................................
35
2.1 .Action Against the Person who Engaged in Retaliation ................................................35
. .
2.2 .Protection from Retaliation ...........................................................................................
-35
Section 3 .Reporting Retaliation to OAPR ............................................................................... 37
Section 4 .Prohibition of Retaliation against Outside Parties ...................................................40
CHAPTER I11 ................................................................................................................................
41
INVESTIGATION ........................................................................................................................
41
Section 1 .Roles. Rights and Responsibilities of the Investigation Subjects............................41

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 1.1 .Rights of the Investigation Subjects ..............................................................................
41
1.2 .Responsibilities of the Investigation Subjects ............................................................... 43
1.3 .Suspension Pending Investigation ................................................................................43
Section 2 .Roles, Rights and Responsibilities of the Investigation Participants ......................47
2.1 .Responsibilities of the Investigation Participants .......................................................... 47
2.2 .Investigation Participant's Identity ...............................................................................
47
2.3 .Protection against Retaliation ......................................................................................
48
Section 3 .Roles, Rights and Responsibilities of the Investigators...........................................48
Section 4 .Preliminary Investigation and/or Formal Investigation ......................................... 4 9
. . . .
4.1 .Preliminary Investigation...............................................................................................50
4.1.1 .Purpose ...................................................................................................................
50
4.1.2 - Preliminary Investigators ....................................................................................... 50
4.2 - Formal Investigation ..................................................................................................... 52
CHAPTER IV ...............................................................................................................................
55
PROCEDURES FOLLOWING INVESTIGATION .....................................................................
55
Section 1 .Staff Member's Comments on the Investigation Report .........................................55
Section 2 .Actions Following Receipt of the Staff Member's Response .................................56
2.1 .Exoneration from the Allegations ..................................................................................56
2.2 .Work Performance Related Issues ................................................................................. 57
2.3 .Charges of Misconduct and Suspension Pending Completion of the Disciplinary
Proceedings ...........................................................................................................................5 8
2.4 .Timefi-ame...................................................................................................................... 59
CHAPTER V .................................................................................................................................
61
DISCIPLINARY PROCEEDINGS ...............................................................................................61
Section 1 .Disciplinary Measures ............................................................................................6 1
Section 2 .Submission of the Case to the Disciplinary Committee ........................................63
Section 3 .Waiver of the Disciplinary Proceedings ..................................................................65
Section 4 .Summary Dismissal .................................................................................................
66
Section 5 .Review and Appeal ................................................................................................
6 7
5.1 .Appeal Against Disciplinary Measure Following Disciplinary Committee Review.....67
5.2 .Appeal Against Summary Dismissal ............................................................................. 67
Section 6 .Counsel to Staff Member .........................................................................................67
6.1 .Panel of Counsel ............................................................................................................
68
6.2 .External Counsel ............................................................................................................
68
Section 7 .Miscellaneous ..........................................................................................................
68
7.1 .Publication of Disciplinary Decisions ...........................................................................68
7.2 .Local Authorities ........................................................................................................... 69
7.3 - Recovery for Loss of Property or Assets ...................................................................... 69
ANNEX I: ......................................................................................................................................
71
RULES OF PROCEDURE ........................................................................................................
7 1

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 .4 .
FOR UNDPIUNFPARJNOPS DISCIPLINARY COMMITTEE ..................................................71
ANNEX 11: .....................................................................................................................................
94
EFFECTS OF IMPLEMENTATION OF DISCIPLINARY MEASURES ...................................94

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 INTRODUCTION

Section 1 - Purpose

As international civil servants, UNDP staff members are required to adhere to the highest
standards of efficiency, competence and integrity.

The present document serves multiple purposes:

(a) It serves as a reminder to all staff members of their duty to abide by the highest standards
of conduct and defines what constitutes misconduct (Chapter I);

(b) It defines the mechanisms that currently exist within UNDP for reporting allegations of
wrongdoing. It also defines UNDP7s policy on the protection against retaliation and
describes the procedure to be applied to complaints of retaliation (Chapter 11);

(c) It clarifies the responsibilities of each individual involved in the investigation of

allegations of wrongdoing (Chapter 111);

(d) It explains the procedure following investigation (Chapter IV);

(e) It outlines the disciplinary procedure (Chapter V).

The present document supersedes:

(a) The Prescriptive Content on Accountability, Disciplinary Procedures and Measures issued
in 2004;

(b) Circular ADMI97117 of 12 March 1997 entitled Accountability, Disciplinary Measures

and Procedures;

(c) Circular ADMI87198 of 8 October 1987 entitled Establishment of the UNDPIUNFPA

Disciplinary Committee;

(d) Sections 10900 to 10903 and Section 10906 of the Personnel Manual for Locally
Recruited Staff, and Sections 21 100 to 21 107 of the Personnel Manual for Internationally
Recruited Staff.

Section 2 - Scope of Application

2.1 - To Whom The Present Document Applies

The present document applies to:

(a) all holders of UNDP letters of appointment regardless of whether they are of the 100, 200
and 300' series of Staff Rules and regardless of whether their assignment is with UNDP,
or another Fund or Programme, e.g. UNIFEM, UNFPA, m o p s 2 , LJNv3,UNCDF, etc.

300-series appointments refer to Appointment of Limited Duration (ALD).

See the Personnel Matrix which outlines the arrangements applicable to UNDP staff members on assignment to
UNOPS and to staff members with UNDP letters of appointment limited to UNOPS.

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 except in certain circumstances during the period of secondment or an inter-organization
exchange governed by the receiving Organization's rules (see paragraph 6(a) below);

(b) staff members of other Organizations on secondment to U N D P ~or on an inter-

organization exchange with UNDP, for actions occurring during their secondment or
exchange. In such a case, UNDP shall inform the releasing Organization prior to charging
a staff member with misconduct;

(c) Junior Professional Officers (JPOs) during their appointment with UNDP.

5. For holders of UNDP letters of appointment who are subject to an inter-organization

exchange pursuant to the Inter-Agency Mobility Accord, the Memorandum of Inter-
Organization Exchange shall determine the respective prerogatives of UNDP and the
receiving Organization with regard to disciplinary action5.

2.2 - To Whom The Present Document Does Not Applv

6. The present document does not apply to:

(a) UNDP staff members while seconded to a UN agency for acts that occurred during their
secondment or inter-organization exchange to that agency. However, disciplinary action
under the present document may be initiated upon their return6;

(b) individuals who do not have a UNDP letter of appointment;

(c) locally-recruited staff assigned to another Agency, Fund or Programme, who have UNDP
letters of appointment but are considered as staff members of that Agency, Fund or
Programme and are administered on behalf of that Agency, Fund or Programme by
UNDP (such as WFP locally-recruited staff members7);

(d) independent contractors working with UNDP under Special Service Agreements (SSA);

The present document applies to UNDP staff members assigned to UNV Bonn, but not to UN Volunteers.
A staff member on secondment to UNDP from another Organization or entity has the same status as that of a
UNDP staff member on fixed-term appointment for the duration of the secondment, and the staff member's
contractual relationship with the releasing Organization is suspended.
5
As a general rule, the respective prerogatives should be defined as follows: the receiving Organization may
initiate disciplinary action against the staff member for facts occurring during the exchange. However, when the
UNDP staff member is dismissed or separated by the receiving Organization and returns to UNDP, UNDP may
decide to initiate disciplinary action if the facts that prompted the dismissal or the separation call into question
the standards of conduct expected from UNDP staff members. UNDP may also initiate disciplinary action
against the staff member during the inter-organization exchange, if the allegations of wrongdoing relate to
actions that occurred prior to the exchange or if allegations of wrongdoing for actions occurring during the
exchange are raised after the exchange has ended.
Pursuant to the Inter-Agency Mobility Agreement, when a UNDP staff member is seconded to another
Organization, his or her contractual relationship with UNDP is suspended until the expiry of the agreed period of
secondment. Therefore, it is for the receiving Organization to initiate disciplinary action should a UNDP staff
member on secondment be charged with misconduct for facts occurring during the secondment.
Disciplinary action will be taken by WFP pursuant to its own procedures. However, in the case of a WFP staff
member still holding a UNDP letter of appointment, WFP will consult UNDP.

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 -7-
(e) persons employed under Service Contracts (sc)*;

(f) U.N. Volunteers (UNVS)~;

(g) interns.

Section 3 - Overall Authority

3.1 - The Administrator

In accordance with the delegation of authority extended by the Secretary-General in 1971, the
Administrator has the authority to take disciplinary action regarding staff holding UNDP
letters of appointment. The Administrator has retained decisional authorities elaborated in
paragraph 8 below, for staff at the rank of D-2 and above, as well as for all Resident
Representatives and Resident Coordinators, irrespective of rank, the Heads of UNDP Liaison
Offices, the Ombudperson and the Senior Adviser on the Administration of Justice. Pursuant
to the delegation of authority from the Administrator to the Associate Administrator, the
Associate Administrator shall make decisions regarding all other staff. Therefore,
hereinafter, all references to "the Administrator" in this document shall mean "the Associate
Administrator" when the matter refers to staff falling under the scope of the delegated
authority of the Associate Administrator.

8. The Administrator shall decide whether a staff member has committed misconduct, and, if so,
which disciplinary measure(s) should be imposed on him or her, either after referral of the
case to the Disciplinary Committee, or without referral of the case to the Disciplinary
Committee in the event of waiver of disciplinary proceedings, or in the event of summary
dismissal, as appropriate.

3.2 - The Assistant Administrator and Director, Bureau of Management (BOM)

9. The Assistant Administrator and Director, BOM, shall decide whether:

(a) To suspend a staff member holding a UNDP letter of appointment, and, at the end of the
initial suspension period, to extend it;

(b) To exonerate a staff member from allegations of wrongdoing;

(c) To charge a staff member holding a UNDP letter of appointment with misconduct;

(d) To refer a case to the Disciplinary Committee if appropriate.

3.3 - The Director, Legal Support Office &SO)

In the case of allegations of wrongdoing raised against Service Contract holders, the concerned Office shall
address them in accordance with the Service Contract and the Service Contract User Guide.
9 In the case of allegations of wrongdoing raised against a UNV, the Resident Representative or the Head of
Office shall contact UNV Bonn.

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10. The Director, LSO, is responsible for:

(a) Receiving reports of allegations of wrongdoing;

(b) Reviewing the investigation reports and if needed, requesting the investigators
clarification or further investigation;

(c) Recommending suspension of staff members and any subsequent extension of suspension;

(d) Recommending exoneration of charges, disciplinary action or other courses of action (see
Chapter IV);

(e) In case of referral to the Disciplinary Committee, preparing submissions to the

Disciplinary Committee, and, in the event of a hearing, representing the Administration
(see Chapter V);

(f) Assisting in the recovery of the value of UNDP assets and property lost as the result of
misconduct as appropriate (see Chapter V).

3.4 - The Director, Office of Audit and Performance Review (OAPR)

11. The Director, OAPR, is responsible for:

(a) Receiving reports of allegations of wrongdoing, and managing the UNDP fkaud hotline
(see Chapter 11);

(b) Assessing the need for a preliminary investigation or a formal investigation and referring
the case for a preliminary investigation or a formal investigation to the appropriate body
or to persons he or she designates;

(c) Carrying out investigations into allegations of wrongdoing and audits (see Chapter 111);

(d) Forwarding the investigation reports to the Director of LSO and answering requests for
clarification or further investigation from the Director of LSO;

(e) Providing advice on how to conduct investigations to designated persons or bodies in the
event that OAPR is not in charge of the preliminary investigation or the formal
investigation.

3.5 - The Director, Office of Human Resources (OHR)

12. The Director, OHR", is responsible for the implementation of the UNDP Policy on the
Prevention of Workplace Harassment, Sexual Harassment and Abuse Of Authority, and in
particular for:

10
It is for LSO to share the investigation report with the investigation subjects (see Chapter IV, Section 1).

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 (a) Receiving reports of allegations of workplace harassment, sexual harassment and abuse of
authority, and managing the hotline established for such reports (see Chapter 11);

(b) Assessing, in consultation with OAPR and LSO, the need for a preliminary investigation
or a formal investigation and referring the case for a preliminary investigation to the
persons he or she designates and for a formal investigation to OAPR;

(c) Advising the complainants of the outcome of the investigation, as well as the
investigation subjects in the event that LSO does not recommend disciplinary action;

(d) Providing guidance on addressing work performance related issues revealed by the
preliminary investigation or the formal investigation (see paragraph 95).

3.6 - The Managers

13. The managers, including the Resident Representatives in Country Offices and the Heads of
Office/Unit/Section/ DepartmentIBureau in Headquarters and other locations are responsible
for:

(a) Reporting allegations of wrongdoing to LSO, OAPR or OHR" as appropriate as soon as

he or she becomes aware of such allegations;

(b) Reporting results of any preliminary investigation to LSO and OAPR or OHR;

(c) Conducting a preliminary investigation related to allegations of wrongdoing and a formal

investigation if so requested by LSO, OAPR or OHR, and reporting the results of the
preliminary investigation andlor the formal investigation;

(d) If so recommended by LSO, issuing oral and written reprimands to staff members: the
Resident Representatives and Heads of Office/Unit/Section/Department/Bureau do not
have authority to take any disciplinary measures or to suspend staff members;

(e) Addressing work performance related issues indicated by the circumstances of a case in
the Results and Competency Assessment (RCA) in accordance with the RCA guidelines,
if so recommended by LSO;

(f) Taking any appropriate measures to remedy management issues of the supervisors they
oversee (see Chapter I, section 2).

-
3.7 The Disciplinarv Committee

14. The Disciplinary Committee is responsible for:

(a) Providing recommendations to the Administrator as to whether the charges against a staff
member are substantiated and what disciplinary measures, if any, would be appropriate

"
OHR should be contacted in priority if the allegations of wrongdoing relate to workplace harassment, sexual
harassment or abuse of authority.

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 (see Chapter V);

(b) Providing recommendations to the Administrator as to whether the Organization suffered

a financial loss resulting from a staff member's misconduct and whether recovery action
should be undertaken (see Chapter V).

3.8 - Staff Members

15. Staff members, in addition to the obligation to adhere to the highest standards of efficiency,
competence and integrity, are responsible for reporting any breach of UNDP's rules and
policies to those whose responsibility it is to take appropriate action, and for cooperating with
any investigation pursuant to Staff Regulation 1.2 (r).

Section 4 - Definitions

16. For the purpose of the present policy:

- Staff Regulations and Staff Rules refers to the United Nations Staff Regulations and
Rules.

- Staffmembers refers to the persons listed in Section 2, subsection 2.1 above.

- Non-staff refers to the persons other than staff members, listed in Section 2, subsection
2.2 above.

. - Misconduct is the failure by a staff member to comply with his or her obligations under
the Charter of the United Nations, the Staff Regulations and Staff Rules or other
administrative issuances, or to observe the standards of conduct expected of an
international civil servant. Such a failure could be deliberate (intentional act), or result
from an extreme or aggravated failure to exercise the standard of care that a reasonable
person would have exercised with respect to a reasonably foreseeable risk (gross
negligence) or from a complete disregard of a risk which is likely to cause harm
(recklessness) (see Chapter I, section 2).

- Allegation of wrongdoing is the reasonable belief based on factual information that

misconduct has occurred.
- Whistleblower is a staff member making a good faith communication that discloses or
demonstrates an intention to disclose information that misconduct may have occurred.

- Preliminary investigation is not only the process of collecting, preserving and securing
basic evidence but also the evaluation of this evidence to determine whether a formal
investigation into reported allegations is justified.

- Formal investigation is the process of assembling a dossier of evidence to permit a

decision at a later stage as to whether formal charges of misconduct should be made
against a staff member or whether the case should be closed.

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 - Investigation subject is a person who is the focus of the investigation either by virtue of
an allegation made or evidence gathered during the course of an investigation.

- Investigation participant is a person who is not the investigation subject but who, under
Staff Regulation 1.2 (r), cooperates with an investigation, for instance by being
interviewed or by providing information.

- Duty of cooperation is the obligation imposed on staff members under Staff Regulation
1.2 (r) to assist in an investigation, when requested to do so, by providing information in
any form, including testimony, as relevant.

- Investigator is a member of OAPR or, in some cases, of the Office of Internal Oversight
Services (OIOS), or a person duly authorized by OAPR or 0 1 0 s to conduct an
investigation related to cases of allegations of wrongdoing.

- Evidence is any type of proof which tends to establish or disprove a fact material to the
case. It includes, but is not limited to, oral testimony of witnesses, including experts on
technical matters, documents, electronic, audio, video records and photographs.

- Disciplinary action is the procedure initiated against a staff member pursuant to Staff
Regulation 10.1 and 10.2, Chapter X of the Staff Rules, and Chapter V of the present
document.

- Retaliation is any direct or indirect detrimental action recommended, threatened or taken

because an individual made a protected disclosure, cooperated with a duly authorized
audit or investigation.
- OAPR is the Office of Audit and Performance Review
- OIOS is the Office of Internal Oversight Services attached to the United Nations
Secretariat.

- LSO is the Legal Support Office, formerly referred to as the Office of Legal and
Procurement Support (OLPS).
- OHR is the Office of Human Resources.

- BOM is the Bureau of Management.

- Manager is a staff member with a supervisory role.

- Disciplinary Committee refers to the UNDPIUNFPNUNOPS Disciplinary Committee

established pursuant to Staff Rule 110.4.

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 CHAPTER I

STANDARDS OF CONDUCT

Section 1 - Standards of Conduct Expected from UNDP Staff Members

17. Staff members shall uphold the highest standards of efficiency, competence and integrity. The
concept of integrity enshrined in the Charter of the United Nations includes all aspects of
behaviour of an international civil servant, including such qualities as honesty, truthfulness,
impartiality and incorruptibility. Integrity is the most important among the core values of the
Organization, together with professionalism and respect for diversity.

18. Staff members must abide by the Standards of Conduct for the International Civil Service
(referred to as the 'ICSC Standards of Conduct') as adopted by the International Civil Service
Commission in 2001, which updated the 1954 Code of Conduct of the United Nations staff
members. Staff members can also refer to the Secretary-General's bulletin "Status, basic
rights and duties of UN Staff Members" ST/SGB/2002/13 issued by UNDP in Circular
UNDPIADM/2002/58 of 20 December 2002. This document contains a commentary by the
Secretary-General to assist staff members and management in better understanding the
obligations applicable to staff conduct.

Section 2 - Management Standards

19. In addition to complying with the above Standards of Conduct, staff members exercising
supervisory functions shall:

(a) Create and maintain a harmonious working environment, free of intimidation, hostility,
offence and of any form of harassment and abuse of authority.

(b) Communicate the policies protecting the rights of the staff members, such as the UNDP
Policy on the Prevention of Workplace Harassment, Sexual Harassment and Abuse of
Authority, as well as the present Legal Framework to a11 staff members;

(c) Ensure that staff who supervise others do not engage in any wrongdoing and do not create
intimidating, belittling, harassing work environment andlor demonstrate partiality,
unfairness or favouritism;

(d) Report allegations of wrongdoing to LSO, OAPR or O H R ' ~as soon as they are aware of
such allegations;

(e) Ensure that all discussion, communications and actions are handled with extreme
sensitivity and utmost confidentiality; and

(f) Ensure that no staff member is retaliated against.

'* OHR should be contacted in priority if the allegations of wrongdoing relate to workplace harassment, sexual
harassment or abuse of authority.

Page 12 of 45
20. As UNDP is committed to providing a harmonious working environment free of harassment,
intimidation and favouritism, supervisors and managers are expected to exhibit exemplary
behaviour in their supervision of others. While issues of management style may not
constitute misconduct warranting disciplinary action, it is the responsibility of supervisors
overseeing those managers found to be deficient in their treatment or supervision of people13
to take appropriate action. Managers should:

(a) Take measures to coach or train managers in appropriate people management skills;

(b) Reflect management issues in the annual Results and Competency Assessment (RCA);

(c) As appropriate, issue letters of reprimand or other non-disciplinary measures;

(d) Take other appropriate action.

Supervisors will be held accountable for their failure to take appropriate action towards those
managers whose management of others is found to be unsatisfactory.

Section 3 - Misconduct

2 1. Misconduct is defined in Staff Rule 110.1l4 as "failure by a staff member to comply with his
or her obligations under the Charter of the United Nations, the Staff Regulations and Staff
Rules or other administrative issuances, or to observe the standards of conduct expected of an
international civil servant." Such a failure could be deliberate (intentional act), or result from
an extreme or aggravated failure to exercise the standard of care that a reasonable person
would have exercised with respect to a reasonably foreseeable risk (gross negligence) or from
a complete disregard of a risk which is likely to cause harm (recklessness).

22. Misconduct may include, but is not limited to, the following categories whether wilful,
reckless or grossly negligent:

(a) Acts or omissions in conflict with the general obligations of staff members set forth in
Article I of the Staff Regulations and Rules and administrative issuances; failure to
comply with the standards of conduct expected from international civil servants;

(b) Unlawful acts (e.g. theft, fraud, possession or sale of illegal substances, smuggling)
wherever it occurs, and whether or not the staff member was officially on duty at the time;

(c) Assault, harassment, including sexual harassment15, or threats to other staff members or
third parties;

(d) Misrepresentation, forgery, or false certification, such as, but not limited to, in connection
with any official claim or benefit, including failure to disclose a fact material to that claim
or benefit;

l3
In particular by the Ombudsperson or OHR.
l4
See also Staff Rule 3 10.1.
See UNDP Policy on the Prevention of Workplace Harassment, Sexual Harassment and Abuse of Authority.

Page 13 of 45
 (e) Misuse or mishandling of official property, assets, equipment or files, including electronic
files or data;

(f) Action or omission to avoid or deviate from Financial Regulations, Rules and Procedures,
including inappropriate use of committing or verifying authority;

(g) Mishandling of contract obligations and relations with third parties leading to loss of
property or assets, or generating liabilities for the Organization;

(h) Failure to disclose an interest or relationship with a third party who might benefit from a
decision in which the staff member takes part; favouritism in the award of a contract to a
third party;

(i) Breach of fiduciary obligations vis-a-vis the Organization;

(j) Misuse of office, abuse of authority; breach of confidentiality; abuse of United Nations
privileges and immunities;

(k) Exaction or acceptance of funds from a colleague or a third party in return for a favour or
benefit;

(I) Failure to disclose promptly the receipt of gifts, remuneration or other benefits received
from an external source by the staff member in connection with his or her official duties ;

(m)Retaliatory action against a whistleblower or an investigation participant or other action in

violation of the UNDP policy on the protection against retaliation16;

(n) Making false accusations and dissemination of false rumours;

(0) Direct or indirect use of, or attempt to use, official authority or influence of the staff
member's position or office for the purpose of obstructing an individual from reporting
allegations of wrongdoing or cooperating with an audit or an investigation;

(p) Abetting, concealing or conspiring in any of the above actions, including any act or
omission bringing the Organization into disrepute.

23. Unsatisfactory work performance, when it does not come to the level of gross negligence or
recklessness, does not constitute misconduct and thus does not fall within the scope of the
present document. Performance-related issues are to be addressed through the Results and
Competency Assessment (RCA) in accordance with the appropriate procedure (see the RCA
Guidelines).

l6 See Chapter VI.

Page 14 of 45
 CHAPTER I1

PROTECTION AGAINST RETALIATION

FOR REPORTING ALLEGATIONS OF WRONGDOING OR FOR COOPERATING
WITH DULY AUTHORIZED AUDITS OR INVESTIGATIONS

24. The purpose of this Chapter is to establish a framework and a procedure for the protection of
staff members from retaliation, and to regulate permissible disclosure of allegations of
wrongdoing to entities outside of UNDP.

Section 1 - Reporting Allegations of Wrongdoing; (Whistleblowing)

1.1 - Reporting Allegations of Wrongdoing through Established Mechanisms

25. A report of allegations of wrongdoing should be made to the reporting staff member's
immediate supervisor or other appropriate supervisor within the operating unit.

26. In the event that the staff member believes that there is a conflict of interest on the part of the
person to whom the allegations of wrongdoing are to be reported, he or she will report the
allegations to the next higher level of authority.

27. In the event that the staff member fears retribution or retaliation as a consequence of reporting
to his or her supervisors, he or she should report the matter to OAPR (by email:
hotline@undp.org ; or by telephone: UNDP fraud hotline voicemail system: ((Worldwide))
+ l 212 906 5050).

28. If the allegations relate to workplace harassment, sexual harassment and abuse of authority
(except if the abuse of authority relates to assets and property, in which case the allegations
fall within OAPR jurisdiction), the UNDP Policy on the Prevention of Workplace
Harassment, Sexual Harassment and Abuse of Authority applies. Such allegations can be
reported to the focal point in OHR at the following email address:
harassment.support@undp.org.

29. Staff members who become aware of information related to the Organization that concerns
internet-based fiaud, or misuse of the Organization database or technology resources, whether
such information relates to sources within the Organization or externally, should report the
matter. In such an event, the matter may be reported to LSO, OAPR, or via a special
repository created for the receipt of such information at scamalert@undp.org.

30. Except when an allegation is made anonymously, the individual reporting the allegations will
receive an acknowledgement from the office to which the allegations were reported.

Page 15 of 45
 -
1.2 Disclosure of Alleged Misconduct to Entities External to UNDP

3 1. Notwithstanding UN Staff Regulation 1.2(i)17,protection against retaliation will be extended

to an individual who reports misconduct to an entity or individual outside of the established
internal mechanisms, where the criteria set out in subparagraphs (a), (b) and (c) below are
satisfied:

(a) Such reporting is necessary to avoid:

(i) a significant threat to public health or safety; or

(ii) substantive damage to UNDP's operations; or

(iii) violation of national or international laws with immediate adverse impact

on life or property; and

(b) The use of internal mechanisms is not possible because:

(i) at the time the report is made, the individual has reasonable
grounds to believe that helshe will be subjected to retaliation by the
person(s) helshe should report to pursuant to the established internal
mechanisms; or

(ii) it is likely that evidence relating to the suspected misconduct will be

concealed or destroyed if the individual reports to the person(s) helshe
report to pursuant to the established internal mechanisms; or

(iii) the individual has previously reported the same information through the
established internal mechanisms, and the Organization has failed to inform
the individual in writing of the status of the matter within six months of
such a report; and

(c) The individual does not solicit or accept payment or any other benefit, directly or
indirectly, for the individual or any other person, from any party for making such a report.

32. When circumstances require that such reports be made outside of the established UNDP
internal mechanisms, preference must be given to making a report directly to the
Administrator or to 0 1 0 s . In case (a) (i) above, the report may be made, e.g., to a public
emergency service provider.

- -

l7United Staff Regulations 1.2(i) provides: "Staff members shall exercise the utmost discretion with regard to all
matters of official business. They shall not communicate to any Government, entity, person or any other source any
information known to them by reason of their official position that they know or ought to have known has not been
made public, except as appropriate in the normal course of their duties or by authorization of the Secretary-General.
These obligations do not cease upon separation from service."

Page 16 of 45
 Section 2 - Protection against Retaliation

2.1 - Action Against the Person who Engaged in Retaliation

33. Retaliation against an individual because that person has reported misconduct on the part of
one or more staff member(s) or cooperated with a duly authorized audit or investigation
constitutes misconduct which if established, will lead to disciplinary action and/or transfer to
other functions in the same or a different office.

2.2 - Protection from Retaliation

34. Staff members have a right to be protected from retaliation.

35. The dissemination of rumors in which there is no reasonable basis of belief or the submission
of an allegation or report of suspected misconduct that is intentionally false or misleading is
not a protected activity under this policy. Intentionally making a false report, verbally or in
writing, constitutes misconduct for which disciplinary measures, including summary
dismissal, may be imposed.

36. The legitimate application of regulations, rules or administrative policies, issuances or

procedures, or the mere expression of disagreement, admonishment, criticism or a similar
expression regarding work performance, conduct or related issues within a supervisory or
similar relationship, do not constitute retaliation fi-om which protection may be sought under
this policy.

37. In this regard, UNDP encourages the informal resolution of conflicts. Therefore, a staff
member who believes helshe is the victim of retaliation may address the matter, at hislher
discretion, by contacting the Office of the Joint Ombudsperson of UNDP, UNFPA, UNOPS
and UNICEF to seek a resolution of the matter. The staff member may also request a third
person to mediate.

38. If the staff member is not satisfied with the informal process, or does not wish to initiate an
informal process, helshe can submit a formal complaint to OAPR.

39. The procedures set out in this policy are without prejudice to the rights of an individual who
has suffered retaliation to seek redress through the internal recourse mechanisms. An
individual may raise a violation of the present policy in any such internal recourse
proceeding.

Section 3 - Reporting Retaliation to OAPR

40. Individuals who believe that retaliatory action has been taken against them because they have
reported misconduct or have cooperated with a duly authorized audit or investigation or other
oversight activity should forward all information and documentation available to them to
support their complaint to the Director, OAPR. This should be done promptly and in any
event no later than 60 calendar days after the alleged act or threat of retaliation has occurred.

Page 17 of 45
 The complaint of retaliation may be made in person, by telephone, by mail, by e-mail or fax
or to OAPR's dedicated email hotline (hotline@,undp.org).

41. The functions of OAPR with respect to protection against retaliation for reporting misconduct
are as follows:

(a) to receive complaints of retaliation;

(b) to keep a confidential record of all such complaints;

(c) to do an initial review of the complaint to determine (if necessary, in consultation with
OHR) if

(i) the complainant engaged in a protected activity;

(ii) the action alleged to be retaliatory or a threat of retaliation did take

place; and

(iii) there is a prima facie case that the protected activity was a contributing
factor in causing the action alleged to be retaliatory or a threat of
retaliation.

42. Where the complainant can be contacted, OAPR will send an acknowledgement of the
complaint promptly upon having received it.

43. OAPR will complete the initial review within 45 days of receiving the complaint of
retaliation.

44. All offices and staff members are required to cooperate at all times with the OAPR and
provide access to all records and documents requested by OAPR, except for medical records
that are not available without the express consent of the staff member concerned.

45. If, in the opinion of OAPR, there is a credible case of retaliation or threat of retaliation, it will
open an investigation and will immediately notify the complainant in writing that a formal
investigation has been initiated. OAPR will seek to complete its investigation and submit its
report to the Director, OAPR within 120 days.

46. Pending the completion of the investigation, the Director, OHR, in consultation with OAPR,
may make recommendations to the Administrator that appropriate measures be taken to
safeguard the interests of the complainant, including but not limited to temporary suspension
of implementation of the action reported as retaliatory and, in consultation with the
complainant, temporary reassignment of the complainant or placement of the complainant on
special leave with full pay.

47. If the investigation finds that there is no credible case of retaliation or threat of retaliation, but
finds that there is an interpersonal problem within a particular office, it will advise the
complainant of the existence of informal mechanisms of conflict resolution in UNDP, such as
the Office of the Joint Ombudsperson.

Page 18 of 45
 48. OAPR shall advise the Administrator of any potential conflict of interest associated with its
investigating a particular complaint and the Administrator shall decide whether the matter
should therefore be referred to an alternative investigation mechanism.

49. The present policy is without prejudice to the legitimate application of regulations, rules and
administrative procedures, including those governing evaluation of performance and non-
extension or termination of appointment/employment. However, in applying such regulations,
rules and administrative procedures to any UNDP staff member, UNDP management must
prove by clear and convincing evidence that it would have taken the same action absent the
protected activity.

Section 4 - Prohibition of Retaliation against Outside Parties

50. Any retaliatory measures (including threats) against a contractor or its employees, agents or
representatives, or any other individual engaged in dealings with UNDP because such person
has reported allegations of wrongdoing by a staff member will be considered misconduct that,
if established, will lead to administrative and/or disciplinary action.

Page 19 of 45
 - 20 -
CHAPTER I11

INVESTIGATION

5 1. An investigation may involve the following parties:

(a) The whistleblower(s);

(b) The investigation subject(s);

(c) The investigation participant(s);

(d) The investigator(s).

52. The present Chapter focuses on the rights and responsibilities of the investigation subjects
(section I), the investigation participants (section 2), the investigators (section 3) and on the
different phases of the investigation (section 4).

Section 1 - Roles, Rights and Responsibilities of the Investigation Subjects

1.1 - Rights of the Investi~ationSubiects

53. Provided that they have been identified by the investigators, the investigation subjects shall
be informed in writing of the allegations at the earliest possible time provided such disclosure
does not put at risk the documentary evidence, witnesses and potential victims. In no case
shall the staff member be informed later than during his or her interview as the subject of the
investigation. If the staff member has been suspended (see subsection 1.3 below), this
notification may happen prior to the commencement of the investigation.

54. In the event that, in the course of the investigation, additional allegations are raised against
the investigation subjects, the investigators will inform them of these new allegations in the
same manner as the earlier allegation(s). However, the investigation subjects should be aware
that LSO after analysing the findings may consider that some facts may constitute misconduct
while the allegations did not initially raise this type of misconduct. The fact that the
investigation subjects were not informed of this at the time of investigation will not be
considered grounds that due process has been violated where the investigation subjects are
given the opportunity to comment on the investigation report (see Chapter IVYsection 1) and
on the charges (see Chapter IVYsection 2.3).

55. The identity of the investigation subject should remain confidential to the extent possible
within the legitimate needs of the investigation. However, those identities may become
known for reasons outside of the control of the investigators. Should staff members disclose
the fact that they are the subject of an investigation to those not otherwise authorized to know
that fact, UNDP will not longer be obligated to maintain such confidentiality.

Page 20 of 45
 1.2 - Responsibilities of the Investigation Subjects

56. Pursuant to Staff Regulation 1.2 (r) the investigation subjects must cooperate with the
investigators.

57. The investigation subjects shall not interfere with the investigation and shall abstain from
withholding, destroying or tampering with evidence, and from influencing, coaching or
intimidating witnesses.

58. The lack of cooperation and/or undue interference with the investigation may constitute
misconduct and may result in disciplinary or other appropriate action.

1.3 - Suspension Pending:Investigation

59. The investigation subject may be suspended by the Assistant Administrator and Director,
BOM.

60. As a general principle, suspension may be contemplated in cases where:

(a) The conduct in question poses or may pose a threat to other staff members or to the
Organization's interest;

(b) There is a risk of evidence being tampered with or concealed; or

(c) Redeployment of the staff member is not feasible.

61. Requests for suspension at either the preliminary or the formal investigation stage shall be
addressed to the Director, LSO. On the basis of the evidence presented, the Director, LSO,
may recommend to the Assistant Administrator and Director, BOM, whether the suspension
is warranted. Resident Representatives in country offices, heads of
office/unit/section/department/ bureau in headquarters and other locations and the Executive
Director of the Organization to which the holder of a UNDP letter of appointment is assigned,
do not have the authority to suspend staff members.

62. Exceptionally, if the Resident Representative or the head of office/unit/section/

departmentbureau considers that the circumstances require immediate action, he or she may
decide to place the staff member on special leave with full pay (SLWFP); he or she cannot
place the staff member on special leave without pay (SLWOP). In such a case, he or she is
expected, within 24 hours of his or her decision to place the staff member on SLWFP, to
inform the Director, LSO, of his or her decision, and provide all the relevant evidence
documenting why he or she deemed that placement on SLWFP was urgently required and
could not wait for the formal authorization of suspension. After review of the case, the
Director, LSO, shall determine whether suspension is warranted:

(a) If the suspension is warranted, the suspension decision signed by the Assistant
Administrator and Director, BOM, shall supersede the staff member's placement on
SLWFP;

(b) If the suspension is not warranted, the Assistant Administrator and Director, BOM, shall

Page 21 of 45
 cancel the SLWFP decision.

63. The Resident Representative or the head of office/unit/section/department/ bureau shall be

held accountable if he or she improperly suspends or places a staff member on SLWFP or
SLWOP or does not report his or her action in this respect within the prescribed timeframe.

64. If the Assistant Administrator and Director, BOM, authorizes suspension, the staff member
shall:

(a) Be informed in writing of the reason for the suspension, of its probable duration and of its
conditions; and

(b) Immediately surrender his or her grounds pass and/or United Nations Laissez-Passer.

65. Suspension under Staff Rule 110.2 (a)18 is normally with pay, unless exceptional
circumstances warrant suspension without pay. In either case, the suspension shall be without
prejudice to the staff member's rights, shall not constitute a disciplinary measure and shall
not normally exceed three months. Subject to the justification provided by the Director, LSO,
to support a further suspension, the Assistant Administrator and Director, BOM, may extend
the suspension for a further defined period.

66. A staff member on suspension shall not ordinarily be allowed to enter the Organization's
office premises without first obtaining written permission from the competent official. Such
entry shall be under escort and in connection with the staff member's defence of the case or
other valid reason warranting such entrance. Normally, the suspended staff member shall not
be precluded from remaining at, or returning to, the duty station. Special consideration
should be made for staff residing in the Organization's compound. Should the suspended staff
member request or, under exceptional circumstances, be requested to leave the duty station,
he or she shall provide contact details so that he or she may be contacted during the
investigation. The suspended staff member has a duty to remain available for the
investigation.

67. The suspended staff member may request the Director, LSO, to be granted access to files,
provided that he or she justifies that they are relevant to his or her response.

Section 2 - Roles, R i ~ h t sand Responsibilities of the Investigation Participants

2.1 - Responsibilities of the Investigation Participants

68. Pursuant to Staff Regulation 1.2 (r) staff members must cooperate fully and in good faith with
a duly authorized investigation.

69. The investigation participants shall refrain from discussing or disclosing the investigation or
their testimony to anyone not involved in the investigation. In no case should an investigation
participant discuss with the investigation subject the nature of the evidence requested or
provided, or testimony given to investigators unless by prior agreement with the investigators.

18
See also Staff Rules 210.2 and 310.1 (b).

Page 22 of 45
 2.2 - Investigation Participant's Identity

70. Requests for confidentiality by investigation participants will be honoured to the extent
possible within the legitimate needs of the investigation. However, those identities may
become known for reasons outside the control of the investigators. In the event that the
investigation participants disclose their identity to those not otherwise authorized to know
that fact, UNDP will not longer be obligated to maintain such confidentiality.

2.3 - Protection against Retaliation

Anyone who cooperates in good faith with an investigation is entitled to protection fiom
retaliation in accordance with Chapter 11. However, cooperation with the investigation does
not excuse the individual's own possible complicity in the underlying matter.
Notwithstanding their cooperation, staff members may face disciplinary proceedings for their
part in the matter about which he or she is cooperating with the investigator, and such
proceedings may result in the imposition of disciplinary sanctions. Neither the investigation,
institution of disciplinary proceedings, nor the imposition of disciplinary sanctions for his or
her complicity in the underlying matter about which they are cooperating constitute
retaliatory action.

Section 3 - Roles, Rights and Responsibilities of the Investigators

72. All investigators, or persons designated to conduct a preliminary investigation or a formal

investigation, shall be independent. They have a duty of objectivity, thoroughness, ethical
behaviour, and observance of legal and professional standards.

73. Investigations should be launched only after preliminary consideration establishes that the
allegation, if true, constitutes misconduct and is accompanied by information specific enough
to be investigated or has or directly points to corroborating documentary or testamentary
evidence that can be pursued.

74. In carrying out investigations, the investigators are to be guided by the OAPR Investigation
Guidelines, but such guidelines, reflecting practice, are not mandatory and allegations by an
investigation subject or participant that they were not observed are not necessarily grounds
for a due process violation.

Section 4 - Preliminarv Investigation and/or Formal Investigation

75. An investigation may comprise two phases: a preliminary investigation and a formal
investigation. In all instances, UNDP retains the prerogative to determine when circumstances
warrant a preliminary investigation and/or a formal investigation, and in conformity with the
present document, the appropriate investigative process to be employed.

Page 23 of 45
 4.1 - Preliminarv Investigation

4.1.1 - Purpose

76. The purpose of a preliminary investigation shall be:

(a) To record and establish the basic facts;

(b) To preserve or secure basic evidence whether written or electronic (such as cheques,
invoices, written statements, or other relevant documents or records or data) that might
otherwise be lost and that may be necessary for the determination as to whether a formal
investigation will be justified;

(c) To identify any inconsistencies or outstanding questions; and

(d) To analyse the evidence to determine whether a formal investigation into reported
allegations of wrongdoing is justified.

4.1.2 - Preliminary Investigators

77. In Country Offices, the Resident Representative or the delegated authority should contact
OAPR or LSO as soon as possible when he or she has received sufficient information of the
existence of wrongdoing by staff or other individuals whether in the form of specific
allegations; facts or circumstances suggesting wrongdoing has occurred; or loss, damage to
property or apparent impropriety. In Headquarters and other locations, the same provision
applies to heads of officelunitlsectionldepartmentlbureau.

78. In consultation with OAPR, the Resident Representative or delegated authority may initiate a
preliminary investigation into any suspected wrongdoing.

79. The Resident Representative or the delegated authority will not report to local authorities
without first informing LSO, except in the case of exigency. In such case, immediately
thereafter the Resident Representative or the delegated authority shall report the matter to
LSO.

80. Preliminary investigation of allegations of discrimination or sexual harassment will be carried

out by OHR in consultation with OAPR and, as the need arises, any other units, including the
Bureaux.

81. For holders of UNDP letters of appointment assigned to other Organizations (UNIFEM,
UNOPS, UNFPA, UNV, etc.), any preliminary investigation shall be carried out by the office
where the wrongdoing is alleged to have taken place.

82. Where the preliminary investigation indicates that wrongdoing may have occurred, the
preliminary investigators will report this fact to the Director, LSO, OAPR or OHR'~,giving a
full account of the facts that are known and attaching documentary evidence if appropriate.

l9
Depending on the type of alleged wrongdoing: the Director, OHR, is in charge if the allegations relate to
workplace harassment, sexual harassment or abuse of authority.

Page 24 of 45
 Should suspension of the staff member appear to be warranted, a recommendation to such
effect may be made to the Director, LSO (see Section 1, subsection 1.3 above).

4.2 - Formal Investigation

83. On the basis of the evidence collected in the course of a preliminary investigation conducted
outside OAPR, the case is forwarded to OAPR for further investigation20,and the Director,
OAPR may refer the matter to a single individual or a panel21,depending on the nature of the
allegations and the complexity of the case, and after being satisfied that the persons who may
be implicated in the case are not involved in the investigation process.

84. The decision to conduct a formal investigation is not an accusation. The outcome of the
formal investigation may or may not support a conclusion that misconduct was committed
and, if so, by whom.

85. When investigators are designated from outside OAPR or OIOS, they can seek guidance from
OAPR as to the conduct of the investigation and consult OAPR Investigation Guidelines.

86. Unless circumstances make it clearly impractical to do so, investigation subjects must be
interviewed in person in the course of the formal investigation. A record of the interview will
be made, a copy of which will be given to the staff member, who will be invited to sign it (for
the rights of the investigation subjects during the interviews, see Section 1, subsection 1.I).
They may provide a signed statement containing any clarification on their statements during
the interviews; however they cannot change their statements as recorded by recording
devices.

87. The investigator(s) shall prepare the investigation report giving a full account of the relevant
facts that are known and attaching the documentary evidence, if any, and forward it promptly
to the Director, LSO, for appropriate action (see Chapter IV). In the case of an investigation
into allegations of harassment, sexual harassment and abuse of authority, the Director, LSO,
will consult with the Director, OHR, in making a recommendation on the report).

20
Unless LSO in light of the evidence already gathered considers that there is no need for further investigation, to
recommend either disciplinary action or exoneration.
21
Upon request, OAPR can provide assistance with respect to technical investigation issues and LSO can provide
advice on any legal issues that may develop.

Page 25 of 45
 CHAPTER IV

PROCEDURES FOLLOWING INVESTIGATION

Section 1 - Staff Member's Comments on the Investigation Report

88. The Director, LSO, shall communicate a copy of the investigation report to the
investigation subject normally within twenty (20) working days following receipt of the
investigation report, provided that there is no need for further clarification fiom the
investigator(s).

89. The Director, LSO shall invite the investigation subject to send his or her response and
produce countervailing evidence, if any, within a reasonable period of time, normally
between ten (10) and thirty (30) working days depending on the seriousness and complexity ,

of the matter. An extension may be exceptionally granted by the Director, LSO, if the
investigation subject makes a written request, giving convincing reasons why he or she is
unable to comply with the deadline. Further extensions shall not normally be granted. If
no response is submitted within the time limit, the matter shall nevertheless proceed.

90. The investigation subject may present a request to the Director, LSO, that he or she be
granted access to files, provided that he or she justifies that they are relevant to his or her
response.

Section 2 - Actions Following Receipt of the Staff Member's Response

91. In light of the investigation subject's response and the evidence provided by him or her, the
Director, LSO, may request the investigators to provide further clarification or verification
prior to making a recommendation on the next course of action. If significant new
information or evidence is provided by the investigators, LSO will invite the investigation
subject to comment on it.

92. On the basis of a review of the investigation report, including possibly additional
clarification or verification, and the investigation subject's responses thereto, the Director,
LSO, may recommend the following actions to the Assistant Administrator and Director,
BOM:

2.1 - Exoneration from the Allegations

93. If the Director, LSO considers that the allegations are not substantiated or the facts do not
warrant disciplinary action, he or she shall recommend:

(a) That the staff member be notified in writing of his or her exoneration fiom the
allegations of wrongdoing, and that the matter be closed; such a notification shall be
copied to the Resident Representative, head of office/unit/section/department/bureau, or
the Executive Director of the Organization to which the staff member is assigned, and to
OAPR;

Page 26 of 45
 (b) If the staff member was suspended, that the suspension be discontinued and that the staff
member resumes his or her duties; and

(c) That documents related to the investigation be expunged from the staff member's official
status file, except those referred to in subsection 2.2 below:

94. The staff member shall be notified in writing as soon as feasible of the decision of the
Assistant Administrator and Director, BOM, concerning his or her exoneration.

2.2 - Work Performance Related Issues

95. While the Director, LSO, may recommend exoneration, he or she may determine that the
conduct depicted in the investigation report and the circumstances of the case have shown
unsatisfactory performance and/or poor judgement on the part of the staff member. In such
a case, the Director, LSO may recommend that:

(a) a letter of reprimand22 be issued by the Resident Representative, head of

office/unit/section/ departmentbureau or other responsible officer concerned; and/or

(b) the investigation report (or extracts thereof) with the staff member's comments thereon,
be included in the annual Results and Competency Assessment (RCA) of the staff
member.

2.3 - Charges of Misconduct and Suspension Pending Completion

of the Disciplinary Proceedings

96. If the Director, LSO, considers that the facts indicate that misconduct occurred, he or she
shall recommend that the staff member be formally charged with misconduct.

97. The charge letter initiates the disciplinary proceedings. In that letter, the staff member is
notified in writing of the formal charges (which at his or her request may be translated into
the working language of his or her duty station), and be given a specified period of time
(normally at least ten (10) working days) to answer the charges and produce countervailing
evidence, if any. The staff member shall also be notified of his or her right to counsel to
assist in his or her defence, and be informed as to how to obtain the assistance of the Panel
of Counsel (see Chapter V, section 6).

98. The charge letter should specify whether or not a staff member's suspension will be
continued for staff members already on suspension. For staff members who are to be placed
on suspension subsequent to the investigation, the charge letter should specify the period of
such suspension. In such a case, the modalities of the suspension as described in Chapter
111, Section 1, subsection 1.3 apply.

99. A copy of the charge letter shall be given for information to the Resident Representative,
head of office/unit/section/departmentbureau, or the Executive Director of the Organization
to which the staff member is assigned.
22
Pursuant to Staff Rule 110.3 (c), the reprimand does not constitute a disciplinary measure.

Page 27 of 45
100. The Director, LSO, may, on exceptional basis, grant an extension to the staff member to
respond to the charges of misconduct. Any request by the staff member should be
accompanied by specific reasons for such an extension.

2.4 - Timeframe

101. To the extent possible, depending on the complexity of a case, the period between the time
at which the staff member is notified that he or she is the subject of an investigation, and the
time at which he or she is advised of either the exoneration from the allegations of
wrongdoing or the charges brought against him or her should not exceed six months.

Page 28 of 45
 - 29 -
CHAPTER V

DISCIPLINARY PROCEEDINGS

102. If the Director, LSO, considers that the staff member's response to the charges is
insufficient to exonerate him or her and that disciplinary measures might be warranted
(see Section I), he or she may recommend to the Assistant Administrator and Director,
BOM, one of the three following options:

(a) Submission of the case to the Disciplinary Committee (see Section 2);

(b) Offer of a waiver of disciplinary proceedings at the staff member's request (see Section
3); or

(c) Summary dismissal if the charges concern serious misconduct (see Section 4).

Section 1 - Disciplinarv Measures

103. In accordance with Staff Rule 110.3 (a), the disciplinary measures which the Administrator
may impose on a staff member holding a 100-series letter of appointment, depending on the
seriousness of misconduct, are the following:

(a) Written censure;

(b) Loss of one or more steps in grade;

(c) Deferment, for a specified period, of eligibility for within-grade increment;

(d) Suspension without pay;

(e) Fine;

(f) Demotion;

(g) Separation from service, with or without notice or compensation in lieu thereof;

(h) Summary dismissal.

104. These disciplinary measures also apply to holders of 200-series letters of appointment.

105. As to holders of 300-series letters of appointment, the following disciplinary measures may
be taken pursuant to Staff Rule 3 10.1 (e):

(a) Written censure;

(b) Suspension without pay;

(c) Fine;

Page 29 of 45
 (d) Separation from service, with or without notice or compensation in lieu thereof;

(e) Summary dismissal.

106. Annex I1 to the present document specifies the effects of each of the above-mentioned
measures.

107. Under Staff Rule 110.3 (b), the following measures are not considered to be disciplinary
measures:

(a) Written or oral reprimand by a supervisor;

(b) Recovery of monies owed to the Organization; and

(4 Suspension pending investigation and completion of the disciplinary proceedings.

108. The recovery for any financial loss attributable to the staff member's misconduct, including
gross negligence pursuant to Staff Rule 112.3 may be pursued in addition to the imposition
of disciplinary measures (see Chapter V).

Section 2 - Submission of the Case to the Disciplinarv Committee

109. If the Assistant Administrator and Director, BOM, decides to submit the case to the
Disciplinary Committee, he or she shall inform the staff member in writing that the matter
is being referred to the UNDPIUNFPAIUNOPSDisciplinary Committee under the terms of
Staff Rule 110.5 for advice as to whether the staff member is guilty of the charges brought
against him or her and what disciplinary measures, if any, would be appropriate. The
Disciplinary Committee acts as an advisory body to the Administrator.

110. The Director, LSO, shall then file a summary of the case and supporting arguments as to
misconduct along with relevant documentation with the Disciplinary Committee. The
Secretary of the Disciplinary Committee shall send a copy of the Administration's
presentation to the staff member, and in due course shall forward the staff member's
response to the Director, LSO.

111. The UNDPAJNFPAIUNOPS Disciplinary Committee is established at Headquarters, but

under exceptional circumstances, the Administrator may agree to referral of the case to an
Ad Hoc Disciplinary Committee at another duty station, or may establish an alternate
procedure that meets the requirements of due process in accordance with Staff Rule
110.5(b)~~and shall operate under the guidance of the Chairperson of the Disciplinary
Committee.

112. In the composition of the Disciplinary Committee, due consideration shall be given to the
avoidance of any conflict of interest; members of the Panel shall not have been involved in
the case in any way or involved in the investigation of the case or, in the case of an appeal
against summary dismissal, in the taking of the decision.

23 See also Staff Rules 210.1 and 310.1 (c).

Page 30 of 45
 The Rules of Procedure of the Disciplinary Committee are set out in Annex I to the present
document.

After receiving the advice of the Disciplinary Committee, the Administrator shall decide as
soon as possible what action to take in respect thereof.

Section 3 - Waiver of the Disciplinarv Proceedings

Referral to the Disciplinary Committee may be waived under Staff Rule 110.4 (b)(i) by
mutual agreement between the staff member and the Administrator. A waiver means that
the staff member agrees to forgo referral to the Disciplinary Committee and to accept the
Administrator's decision regarding the disciplinary measure to be applied under the
provisions of Staff Rule 110.3 (a). Either the staff member or the Administrator may
propose a waiver.

If the staff member has requested or accepted the waiver process, the Director, LSO, shall
make a recommendation to the Administrator as to the appropriate disciplinary measure(s)
based on the Administrative Tribunal's jurisprudence and precedents. The staff member
shall be informed of the disciplinary measure(s) contemplated by the Administrator. If no
agreement is reached as to the disciplinary measure within a given timefi-ame, the case shall
be submitted to the Disciplinary Committee.

If the staff member agrees to the proposed disciplinary measure, the mutual agreement shall
be recorded in writing. The agreed measure represents the final decision and as such
cannot be further appealed.

Section 4 - Summary Dismissal

Summary dismissal means immediate separation from service without a termination notice
to be given to the staff member and without the case being first reviewed by the
Disciplinary Committee.

Furthermore, a summarily dismissed staff member is not entitled to any termination

indemnity pursuant to Annex I11 to the Staff Rules, nor to repatriation grant pursuant to
Staff Rule 109.5 (c)(iii).

A summarily dismissed staff member shall be barred from any future employment and
contractual opportunities with the Organization.

Section 5 - Review and Appeal

5.1 - Appeal Against Disciplinary Measure Following Disciplinary Committee Review

121. In accordance with Staff Rule 110.4 (d), when the Administrator's decision is taken after a
review by the Disciplinary Committee, a dissatisfied staff member may submit his or her
application for final appeal directly to the United Nations Administrative Tribunal

Page 3 1 of 45
 (UNAT). The procedure and time limits to do so are outlined in the statute of the
Administrative Tribunal (see http://untreat~.un.orglUNAT/main~~age.htm).

5.2 - Appeal Against Summary Dismissal

122. A staff member who is dissatisfied with the Administrator's decision of summary dismissal
may, within two months after receipt of written notification thereof, request the
Disciplinary Committee to review the Administrator's decision. Such a request shall not
have the effect of suspending the measure. The request shall be addressed to the
Secretary to the Disciplinary Committee.

Section 6 - Counsel to Staff Member

123. Assistance of counsel is allowed when the staff member is charged with misconduct and
during disciplinary proceedings before the Disciplinary Committee (see the Disciplinary
Committee's Rules of Procedure - Annex I).

6.1 - Panel of Counsel

124. A staff member, who wishes to obtain the assistance of the Panel of Counsel, may request
information from the Coordinator of the Panel of Counsel at United Nations Headquarters,
Room No. S-Bl-01, telephone: 2 12-963-3954, fax: 2 12-963-0252, Panel of Counsel
website.

6.2 - External Counsel

125. Alternatively, if a staff member chooses to secure counsel from outside the Panel of
Counsel, it shall be at his or her own expense (see Staff Rule 110.4(a)~~).

Section 7 - Miscellaneous

7.1 - Publication of Disciplinary Decisions

126. In the interests of transparency, the Administrator shall inform the UNDPIUNFPA
Executive Board of disciplinary decisions taken in the course of the preceding year, and
publish an annual circular to all staff of cases of misconduct (without the individuals'
names) that have resulted in the imposition of disciplinary measures.

7.2 - Local Authorities

127. Any decision taken under the present document is without prejudice to the Organization's
right to refer matters to local authorities for legal recourse in accordance with applicable
national law.

128. The managers shall not report any matters to local authorities without LSO being informed.
To bring a matter to the attention of local authorities requires the concurrence of the UN

24
See also Staff Rule 310.1 (d).

Page 32 of 45
 Office of Legal Affairs (UNIOLA) since inter alia it implicates questions of privileges and
immunities.

7.3 - Recovery for Loss of Property or Assets

129. Under Staff Rule 11 2 . 3 ~ "Any

~ ~ staff member may be required to reimburse the United
Nations either partially or in full for any financial loss suffered by the United Nations as a
result of the staff member's gross negligence or of his or her having violated any
regulation, rule or administrative instruction."

130. Pursuant to that rule, UNDP will pursue recovery for any financial loss attributable to the
staff member's misconduct (fraud, theft) or gross negligence or recklessness in the
management of funds.

131. Such recovery action does not constitute a disciplinary measure (see Staff Rule 110.3 (b))
and is distinct from any disciplinary action being considered or undertaken.

132. The Disciplinary Committee will provide advice to the Administrator as to whether a
financial loss resulted from a staff member's misconduct and whether recovery action
should be undertaken.

25 See also Staff Rules 212.2 and 312.2.

Page 33 of 45
 ANNEX I:
RULES OF PROCEDURE
FOR UNDPIUNFPAIUNOPS DISCIPLINARY COMMITTEE

1. ORGANIZATION

1.1 Composition

1.1.1 The Disciplinary Committee (DC) shall be comprised of a Chairperson who is the
Senior Advisor to the Administrator for the Internal Justice System and Members. The
UNDP Administrator and the UNFPAIUNOPS Executive Directors shall appoint, upon
recommendation of the Consultative Group on Staff Matters (CGSM), a list of at least
twenty (20) Members among whom the Chairperson shall designate the Members of a
Panel for the review of a case.

1.1.2 The Committee membership shall be representative of staff at all levels, regions and
agencies, and be balanced with regard to gender.

1.1.3 Except for the Chairperson of the Disciplinary Committee, the Members of the DC shall
be appointed for a term of two years, eligible for re-appointment at the end of their term,
and remain in place until their successors are appointed.

1.2 The Chairperson

1.2.1 The UNDP Administrator, in consultation with the UNFPAIUNOPS Executive

Directors shall appoint a full-time Chairperson of the DC, whose term of office shall be
on a renewable two-year basis. The Chairperson directs the work and operation of the
DC. He or she manages the docket and sets priority for the disposition of the cases in
consultation with the UNDP Executive Office and the Executive Directors of UNOPS
and UNFPA.

1.2.2 When a case is examined by a Panel, the Chairperson shall be responsible for the
conduct of the proceedings and the hearings, including applying and interpreting the
rulings of the Panel.

1.3 Internal Administration of the DC

1.3.1 At least once a year, the Chairperson shall convene a plenary session of the DC for the
purpose of considering general matters with regard to the internal administration and
operation of the DC (excluding the cases' review). The Chairperson may convene
plenary sessions of the DC when deemed necessary.

1.3.2 Written notice shall be given to the Members ten days in advance.

1.3.3 Decisions at plenary sessions shall be taken by a majority vote of DC Members present,
provided that there is a quorum of 50% of DC membership.

Page 34 of 45
1.3.4 The decisions cannot have the effect of amending these Rules of Procedure. In the event
that the majority of the DC considers that the Rules should be amended, the Chairperson
shall make a written recommendation to the UNDP Administrator and the
UNFPAIUNOPS Executive Directors to that effect.

1.4 The Secretary

1.4.1 A Secretary with appropriate legal training shall be appointed to support the DC in an
independent and confidential manner.

1.4.2 The Secretary, while organizationally placed within the UNDP Executive Office, shall
report on a day-to-day basis to the Chairperson of the DC.

1.4.3 The Secretary shall:

- Register and number each case submitted to the DC, with the accompanying
documentation, exchanges between the parties, and procedural records, and preserve
decided cases;
- Assist the Chairperson in composing Panels of the DC for consideration of
individual cases, and serve as Secretary of such Panels;
- Provide administrative assistance to the DC Panels at all meetings and hearings;
- Provide advice to DC Panels relating to procedures, the applicable substantive rules,
and precedents from previous decisions, and also provide advice on procedures to
staff members subject to DC proceedings;
- Draft the report of the DC in consultation with its Members as well as minutes of its
other meetings, if so requested;
- Provide an annual report to LSO on cases considered by the DC for the inclusion in
the annual jurisprudence circular issued by the Administrator.

2. PROCEDURES

2.1 Referral to the Disciplinary Committee

2.1.1 In accordance with Staff Rule 110.4, a case may be referred to the DC by either referral
of (1) the ~ d m i n i s t r a t i o nor~ ~(2) a staff member who has been summarily dismissed, as
follows:

(a) The Administration shall refer a case to the DC within one month of receipt of the
(former) staff member's response to the charges of misconduct as referred to in
Section 2 of Article 5 of the document entitled, "UNDP Legal Framework for
Addressing Non-Compliance with Ethical and Professional Standards" or, if no
response is received, within one month of the expiry of the deadline for receipt of
the said response;

26
Director of LSO for staff of UNDP and other Funds and Programmes administered by UNDP, or Chief of the
Legal Office in UNOPS. The Director of LSO may also be requested to represent the UNFPA Executive
Director.

Page 35 of 45
 (b) In cases of summary dismissal imposed without prior submission of the case to the
DC the former staff member concerned may, within two months of having
received written notification of the decision to summarily dismiss him or her,
request that this decision be reviewed by the DC. The request for review shall be
addressed to the Secretary of the Disciplinary Committee.

2.1.2 The written referral to the DC shall comprise:

(a) A detailed statement or brief on the background facts of the case including the
charges of the specific misconduct of which the (former) staff member concerned
is accused;

(b) The evidence substantiating or refuting the charges with sources of all information
identified whenever feasible.

2.1.3 Upon receipt of the written referral, the Secretary of the DC shall immediately transmit
to the opposing party (either the representative of the UNDP Administrator or of the
UNFPAIUNOPS Executive ~ i r e c t o or r ~the
~ (former) staff member concerned) a copy
of the referral, and shall obtain written acknowledgement of receipt. If the referral of
the summarily dismissed staff member is submitted beyond the time frame set in 2.1.1
(b), the Secretary of the DC shall request him or her to provide explanation for the delay
and forward his or her reply to the Director, LSO for comments. Upon receipt of both
parties' comments, the Chairperson of the DC shall determine as to whether or not
accept the waiver of the time limit.

2.1.4 The opposing party shall be given a reasonable time limit, contingent on the complexity
of the case, to submit a statement in reply or further documentation for consideration by
the DC. Thereafter, both parties shall be given the opportunity to respond to the
opposing party's statement.

2.1.5 Each written submission shall be presented to the DC through its Secretary, in the
original, where available.

2.1.6 The submissions shall preferably be in English; documents that are not in one of the six
official languages shall be accompanied by a certified translation.

2.1.7 When obvious errors in the written submissions do not affect the substance of the case
(e.g. erroneous dates or typographical errors), the Chairperson of the DC may make the
necessary corrections, with notification to the submitting party.

2.1.8 In light of any new evidence presented, the UNDP Administrator or the
UNFPA/UNOPS Executive Director may amend or withdraw the charges. Should the
UNDP Administrator or the UNFPAIUNOPS Executive Director decide to withdraw the
charges and close the disciplinary case, the DC and the staff member shall be
27
Director of LSO for staff of UNDP and other Funds and Programmes administered by UNDP, or Chief of the
Legal Office in UNOPS. The Director of LSO may also be requested to represent the UNFPA Executive
Director.

Page 36 of 45
 immediately notified by the representative of the Administration. Upon notification to
close the disciplinary case, the Panel shall immediately announce its dissolution.

2.2 Constitution of a Panel

2.2.1 When the referral and the reply to the referral have been submitted, the Chairperson of
the DC shall constitute a Panel fiom among the Members of the DC for consideration of
the case. The Panel shall be comprised of the Chairperson and a minimum of two
Members. Membership of the Panel shall be maintained, as far as possible, until the
conclusion of the case.

2.2.2 In the composition of the Disciplinary Committee, there shall be no conflict or mutuality
of interest2' or appearance thereof between the staff members subject to the disciplinary
proceedings and the Members of the Panel, including the Chairperson. In such
eventuality, the concerned Members shall excuse themselves from serving on the Panel.
In the event that the Chairperson of the DC has been implicated in the case or involved
in the investigation of that case, he or she shall designate an additional Member to serve
as the Chairperson of the Panel.

2.2.3 The Secretary shall notify in writing the parties of the composition of the Panel. Under
Staff Rule 110.6 (f), either party may request in writing disqualification of the
Chairperson or any Member of the Panel within five working days of notification of the
composition of the Panel, and shall state the reasons for such a request. The
Chairperson of the DC shall decide on the request, except in cases where the
disqualification of the Chairperson is requested, in which case he or she shall designate
an additional Member to replace him or her as the Chairperson of the Panel. ARer the
five working days have passed, if either party becomes aware of information it was not
and could not have been aware of beforehand and which it considers grounds for
disqualification of a Member of the Panel, it may present a request for disqualification to
the Chairperson of the Panel within two working days of being apprised of that
information.

2.2.4 Staff members on the list of the membership of the DC who are charged with
misconduct shall be automatically disqualified from participating in the DC activities for
such time until they are fully exonerated. Members who are serving on a Panel and are
notified of their being charged shall be disqualified and be replaced for the remaining
period until the review of the case is completed.

2.3 Consideration of the Case

2.3.1 Pursuant to Staff Rule 110.7 (b) "[plroceedings before a joint Disciplinary Committee
shall normally be limited to the original written presentation of the case, together with
statements and rebuttals, which may be made orally or in writing, but without delay. If
the Committee considers that it requires the testimony of the staff concerned or of other
witnesses, it may, at its sole discretion, obtain such testimony by written deposition, by
personal appearance before the Committee, before one of its Members or before another
*' For instance, the Members of the Panel shall not have been implicated in the case in some way or involved in the
investigation of the case or, in the case of an appeal against summary dismissal, in the taking of the decision.

Page 37 of 45
 staff member acting as special master, or by telephone or other means of
communication."

2.3.2 There shall be an initial executive session of the Panel convened with maximum
dispatch after the submission of the referral and the reply to it. During this session, the
Panel shall decide whether the need exists for: (1) any further information not already
presented on record, or (2) the testimony of the (former) staff member concerned,
witness or expert to answer further questions or to assess credibility.

2.3.3 In the event that this information is deemed necessary to obtain in person, a hearing
shall be scheduled, and the presence of both parties shall be requested, in accordance
with paragraph 2.5.3 below.

2.3.4 If there is no need for a personal appearance, the Panel shall conduct its business in a
closed executive session.

2.3.5 All decisions taken by the Panel shall be taken by a majority vote, voting for or against
the issue put to the vote by the Chairperson, without possibility of abstention. In the
case of an equal vote, the Chairperson shall decide.

2.4 Request for Further Information

2.4.1 The Panel may request information or the production of a document fiom either party or
a witness or expert, if necessary. If a party, witness or expert refuses to produce a
document on the grounds of confidentiality, the Panel may demand its production for the
limited purpose of determining whether its relevance overrides its confidentiality,
without first transmitting a copy to the other party. Should it be so determined by the
Chairperson of the Panel, a copy of such document, or only the relevant parts thereof,
shall be transmitted to the other party.

2.4.2 Normally the Panel shall request this information in writing with copy to the parties who
shall be given an opportunity to reply.

2.4.3 The Panel has discretion to obtain evidence in accordance with Staff Rule 110.7 (b). The
Panel shall have authority to call staff members of UNDP, UNOPS and UNFPA who
may be able to provide information concerning the issues before it and shall have access
to all documents pertinent to the case. Should the Administration be reluctant to produce
a document on the grounds of confidentiality, the DC may demand its production for the
limited purpose of determining whether its relevance overrides its confidentiality,
without first transmitting a copy to the other party. Should it be so determined, a copy of
such document, or only the relevant parts thereof, may be transmitted to the other party.

2.5 Request for Testimony

2.5.1 The Panel may request the testimony of the (former) staff member concerned or
witness(es) and experts on its own motion, or at the suggestion of either party, upon
showing that their testimonies will be relevant. The Panel may request testimonies either
in writing (see 2.5.2 below), or by interviewing the person concerned (see 2.5.3 below).

Page 38 of 45
2.5.2 The persons questioned in writing shall be given reasonable time to reply. Copies of the
written questions and replies shall be given to the parties, which shall have the
opportunity to comment thereon.

2.5.3 If the Panel decides that the (former) staff member concerned, witness or expert be
interviewed, it may, at its sole discretion obtain such testimony by an interview conducted
by the Panel either (1) in person; or (2) by telephone interview; or (3) by videoconference;
or (4) by other means of communication, in the presence of all parties. In this event, the
names of the persons to be called by the Panel must be submitted to the parties at least
five working days prior to the hearing.

2.5.4 A witness shall be questioned only on matters of which he or she has personal knowledge.

2.5.5 An expert witness is one qualified as such by knowledge, skill, experience, training or
education, and he or she may testify to a matter in the form of an opinion. The
Chairperson of the Panel shall certify as to the expertise of an expert witness and declare
such for the record.

2.5.6 The Chairperson shall remind staff requested to provide testimony that cooperation is
expected for the proper administration of justice.

2.6 Conduct of a Hearing

2.6.1 Both parties have the right to attend the hearing or telephone interview and participate.
Notice of the date, time and place of the hearing shall be sent to the parties by the
Secretary of the DC at least ten working days before.

2.6.2 The (former) staff member concerned has the right to be represented by counsel during
the proceedings before the DC.

2.6.3 At the hearing both parties may cross-examine the testimony given by the persons
interviewed. When a witness testifies, all other witnesses are excluded unless specifically
requested by a party and approved by the Panel.

2.6.4 The normal sequence of a hearing is as follows:

(a) The Chairperson declares the opening of the meeting. He or she shall direct that all the
persons involved in the proceedings observe strict confidentiality. He or she shall then
enumerate the charges against the (former) staff member concerned and set the time
frame for the hearing.
(b) The Representative of the UNDP Administrator or UNFPA/UNOPS Executive
Director makes an opening statement, followed by the statement of the (former) staff
member concerned or his or her counsel.
(c) During their presentations, the parties shall submit all the evidence they deem
relevant, including statements of their witnesses.

Page 39 of 45
 (d) The Panel Members may direct questions to the parties at any point during or after the
presentations. In order to secure the best possible information during these interviews
it is advisable that the Panel puts its questions and/or issues to be queried in writing
and sends them to the individual concerned (with copy to the parties) at least one
working day prior to the scheduled hearing.
(e) A party may put questions to the other party after the other party's presentation.
(f) Witnesses or experts, if any, may be questioned by the Panel Members and the parties.
(g) Additional statements may be made by the parties.
(h) Closing statements shall be made first by the Representative of the UNDP
Administrator or UNFPAJUNOPS Executive Director so as to permit the staff
member or his or her counsel to have the opportunity to speak last.
(i) The order of the speakers may be altered so as to accommodate special situations or
requests.
2.6.5 Following a hearing, the Panel may accept or request from the parties, witnesses or
experts, such additional written or oral information as it considers pertinent. Subject to
2.4.1 above, such submissions shall be shared for comment with the parties. Additional
written submissions shall be limited so as to avoid repetition of previously presented
information and shall be made in accordance with stipulated time-limits set by the Panel.

2.7 Review process of summary dismissal

2.7.1 A request for review of summary dismissal shall be submitted to the Secretary of the DC
pursuant to Staff Rule 110.4 (c). It shall include:

(a) The name and contact information of the former staff member requesting review of
the summary dismissal and a brief description of his or her employment history;

(b) The name and contact information of Counsel, if any;

(c) A copy of the summary dismissal's decision which the former staff member
requests be reviewed, with the date of notification of that decision;

(d) A statement of the relevant facts (in chronological order whenever appropriate) with
the necessary attachments;

(e) The contention as to the validity of the summary dismissal, including his or her
arguments on the issue of due process;

(f) An index of documents annexed in full and numbered; and

(g) The signature of the requesting party or of Counsel, and the date of submission.

Page 40 of 45
2.7.2 The same procedure governing the conduct of hearing as found in 2.6.4 above shall apply
to the hearing proceedings conducted for this purpose, with the following modifications:

(a) The Chairperson of the Panel declares the opening of the meeting. He or she shall
direct that all persons involved in the review - whether as Panel Members, parties,
or witnesses - observe strict confidentiality;

(b) The Chairperson of the Panel then invites the requesting party to make an opening
statement; the requesting party bears the initial burden of showing the
invalidity or disproportionality of the summary dismissal;

(c) The Representative of the UNDP Administrator or UNFPAIUNOPS Executive

Director is then invited to make an opening statement;

(d) The requesting party and the Representative of the UNDP Administrator or
UNFPA/UNOPS Executive Director are in turn called to present their argument in
full;

(e) The Panel Members may direct questions to the parties at any point during or after
the presentations. A party may put questions to the other party only after the
completion of other party's presentation;

(f) Witnesses or experts, if any, may be questioned by the Panel Members and the
parties;

(g) Additional statements may be made by the parties;

(h) Closing statements shall be made first by the requesting party so as to permit the
Representative of the UNDP Administrator or UNFPAIUNOPS Executive Director
to have the opportunity to speak last.

2.8 The Report of the Disciplinary Committee

2.8.1 Pursuant to Staff Rule 110.7 (a), in considering a case, the Panel shall act with maximum
dispatch and shall make every effort to provide its advice and recommendation to the
UNDP Administrator or UNFPA/UNOPS Executive Director normally within three
months of submission of the case (i.e. completion of the process as referred to in
paragraph 2.1.4). The report shall be issued not later than one month after the last session
of the DC. The official version of the report shall be in English.

2.8.2 The report should contain:

(a) The charges of misconduct;

(b) The employment history of the (former) staff member concerned;
(c) The events leading to the disciplinary charges including a summary of facts
preceding the investigation;

Page 41 of 45
 (d) A statement of the proceedings, including a summary of the relevant testimonies;
(e) Findings of fact indicating which of the charges, if any, appear to be supported by
the evidence, including a synopsis of the evidence and the Panel's evaluation
thereof;
(f) Any aggravating or mitigating factors that might be relevant;
(g) Conclusions on the above;
(h) Recommendations from the Panel to the UNDP Administrator or UNFPAKJNOPS
Executive Director as to what disciplinary measure, if any, should be applied (see
Annex 11); in this respect, the Panel shall bear in mind that the conduct for which
disciplinary measures may be imposed includes, but is not limited to the types of
misconduct referred to in the document entitled, "UNDP Legal Framework for
Addressing Non-Compliance with Ethical and Professional Standards";
(i) Dissenting or separate opinion, if any;
(j) Special remarks, if any.
2.8.3 In cases where the Organization is found to have incurred a financial loss as a result of the
misconduct of the staff, the Panel shall determine in fact the amount of the financial loss
so that the Administration may pursue recovery from the (former) staff member
concerned pursuant to Staff Rule 112.329.

2.8.4 In the event that the Panel concludes that the evidence considered does not support a
finding of misconduct against the (former) staff member concerned, but that the
Organization has nonetheless incurred a financial loss, the Panel shall make a
recommendation in its report to have the matter referred to a Financial Recovery
Committee for consideration pursuant to Staff Rule 112.3.

2.8.5 On conclusion of the case, the Panel may recommend any managerial measure or make
any observation it may deem relevant.

2.8.6 Once a case is closed, the Secretary of the DC shall recover all documentation in
connection with the case, which was given to the Members of the Panel and only keep the
relevant documentation on which the DC report is based and ensure that the redundant
and irrelevant documentation is destroyed.

2.9 Travel Expenses and Visas

2.9.1 The DC has no provision for travel expenses or issuance of visas. However, if the
testimony of the (former) staff member concerned or a witness is required, the relevant
agency shall facilitate their attendance, arrange the necessary logistics and may cover the
travel costs.

29
See also Staff Rules 212.2 and 312.2.

Page 42 of 45
 ANNEX 11:
EFFECTS OF IMPLEMENTATION OF DISCIPLINARY MEASURES

1. Written Censure

A written censure is a letter indicating that the staff member has committed
wrongdoing. The written censure is placed in the staff member's official status file
and becomes part of his or her permanent record3'.

A written censure may be taken into account when assessing whether a staff member's
performance has been satisfactory during the period in question.

2. Loss of one or more steps-in-grade

Loss of steps-in-grade means that the staff member's level within grade is reduced by
the number of steps specified in the decision. As a result, the staff member loses any
accrued period of service within the year the decision is implemented. He or she shall
be eligible for subsequent in-grade increments on the anniversary date of the
implementation of the disciplinary decision.

In the event that the number of steps to be lost is greater than the staff member's
current step, he or she is placed at the lowest step on the salary scale for his or her
grade, and remains at that step for the number of years by which the decision exceeds
the number of steps available before receiving the next increment on the scale.

A loss of one or more steps-in-grade shall be taken into account when assessing
whether a staff member's performance has been satisfactory during the period in
question.

3. Deferment, for a specified period, of eligibility for within-grade increment

Deferment of eligibility for within-grade step increment means that for the stated time
period of the deferment, the staff member's step is fi-ozen, and, for that period, he or
she does not accrue any time to be credited towards eligibility for the next within-
grade step increment. In this instance, the anniversary date upon which the staff
member would be eligible for the next within-grade increment is postponed for a
period of time corresponding to the length of the deferment, and all future anniversary
dates upon which the staff member becomes eligible for within-grade increments will
change accordingly. Any period of service occurring between the date of the staff
member's last within-grade increment and the implementation date of the deferment
measure will be credited towards the staff member's next within-grade increment.

A deferment shall be taken into account when assessing whether a staff member's
performance has been satisfactory during the period in question.

30
A written censure is distinguished from a letter of reprimand which is issued by either a staff member's
supervisor, Bureau Director or the Administrator and may have a specified period of time after which it will no
longer be considered part of the staff member's record.

Page 43 of 45
 4. Suspension without pay

Suspension without pay means that the staff member is not permitted to serve for a
specified period of time, which normally does not exceed six months, during which
his or her salary and allowances are withheld and any contribution which UNDP is
paying in respect of medical insurance and pension is discontinued.

A suspension without pay shall be taken into account when assessing whether a staff
member's performance has been satisfactory during the period in question.

5. Fine

The staff member is assessed a monetary penalty, the amount of which is determined
in proportion to his or her annual remuneration. The fine is either paid directly by the
staff member or deducted from his or her emoluments in a lump-sum or schedule of
payments.

A fine shall be taken into account when assessing whether a staff member's
performance has been satisfactory during the period in question.

6. Demotion

Demotion means a reduction in grade, normally the staff member's immediate grade
below, unless the decision provides for a demotion by more than one grade.
Demotion is implemented like a reverse promotion. As a result, the staff member is
placed at the closest step in the grade below his or her present grade, which provides a
decrease in net base salary to at least the amount that would have resulted from the
granting of two steps at the higher grade. If the demotion is effective in the month in
which an increment at the higher step is due, such increment is implemented, and the
above subtraction is effected on the basis of the new step.

The Disciplinary Committee's recommendation, if it has recommended demotion, and

the decision of the UNDP Administrator or UNFPA/UNOPS Executive Director, shall
specify the period of time during which the staff member shall not be eligible and
considered for promotion.

The date of the next salary increment at the lower level becomes the anniversary date
of the demotion. The remaining provisions of Staff Rule 103.9 (c) (Biennial and
Accelerated Increments), and (d) (Promotions from General Service to Professional)
are also applied in reverse to calculate the grade and level of a demoted staff member.

A demotion shall be taken into account when assessing the staff member's work
performance during the period in question.

7. Separation from service, with or without notice, or compensation in lieu thereof,

The decision shall specify whether the separation from service is:

Page 44 of 45
 - with or without termination notice or compensation in lieu thereof, and
- with or without termination indemnity.

If termination notice is granted or compensation in lieu thereof, the notice period shall
not be less than three months for permanent appointments and, in all other cases, not
less than 30 days or such period as may be stipulated in the letter of appointment.

In lieu of the serving of the notice period, the UNDP Administrator or

UNFPAIUNOPS Executive Director may authorize payment of compensation on the
basis of the salary and allowances which would have been payable if the date of
termination had been at the end of the notice period. In such a case, all salaries,
allowances and other benefits which the staff member would have received had he or
she served the period of notice are taken into account, including post adjustment,
dependency allowances, special post allowances, education grant etc. The period is
counted in the calculation of terminal payments, but annual leave does not continue to
accrue. The salary paid in lieu of notice is not pensionable and the period is not
counted as contributory service. Unless the staff member requests that it be excluded,
any contribution which UNDP is paying in respect of medical insurance is continued
during the period of notice.

If the staff member is granted termination indemnity, this indemnity does not exceed
half of the amount calculated pursuant to Annex I11 to the Staff Rules.

Subject to the conditions of eligibility, a staff member separated from service is

entitled to repatriation grant.

A staff member separated from service for misconduct shall be banned from any
future employment and contractual opportunities with the Organization.

8. Summary dismissal

Summary dismissal means immediate separation from service without a termination

notice to be given to the staff member and without the case being first reviewed by the
Disciplinary Committee.

Furthermore, a staff member summarily dismissed is not entitled to any termination

indemnity pursuant to Annex I11 to the Staff Rules, nor to repatriation grant pursuant
to Staff Rule 109.5 (c)(iii).

A staff member summarily dismissed shall be banned from any future employment
and contractual opportunities with the Organization.

Page 45 of 45