Protection against Retaliation

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Protection against Retaliation

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Focal Point

Ethics Office

Effective Date

01/12/2022

Planned Review Date

01/12/2025

Latest updates

January 09, 2023 - The UNDP Policy For Protection Against Retaliation (PaR) has been updated to, inter alia, align the definition of a “prima facie case of retaliation” in the policy with that of the UN Secretariat’s Secretary-General’s bulletin on protection against retaliation for reporting misconduct and for cooperating with duly authorized audits or investigations. The revised policy also now stipulates that any request to the Chairperson of the Ethics Panel of the United Nations (EPUN) to review a PaR determination of the UNDP Ethics Office is to be submitted within 30 days of receiving notification of the determination.

September 22, 2022 - The UNDP Policy For Protection Against Retaliation (PaR) has been updated to inco

January 09, 2023 - The UNDP Policy For Protection Against Retaliation (PaR) has been updated to, inter alia, align the definition of a “prima facie case of retaliation” in the policy with that of the UN Secretariat’s Secretary-General’s bulletin on protection against retaliation for reporting misconduct and for cooperating with duly authorized audits or investigations. The revised policy also now stipulates that any request to the Chairperson of the Ethics Panel of the United Nations (EPUN) to review a PaR determination of the UNDP Ethics Office is to be submitted within 30 days of receiving notification of the determination.

September 22, 2022 - The UNDP Policy For Protection Against Retaliation (PaR) has been updated to incorporate reference to the new Anti-Money Laundering and Countering the Financing of Terrorism Policy (AML/CFT Policy): the AML/CFT Policy is referenced and linked as footnote 3 to Section 2.1 of the PaR policy, and also appears in the “Links to Documents” section at the end of the PaR Policy.

December 10, 2021 - The UNDP Policy For Protection Against Retaliation (PaR) has been updated to, inter alia, include provisions for the prevention of retaliation in applicable cases, which shall involve coordination between the Office of Audit and Investigations (OAI) and the Ethics Office. The policy has further been revised to expressly stipulate that all retaliation complainants (staff members and non-staff member personnel) are entitled to request independent review of any UNDP Ethics Office PaR determination by the Chairperson of the Ethics Panel of the United Nations (EPUN).

October 14, 2019 - The Protection Against Retaliation policy is now available in Portuguese and Arabic.

May 11, 2018 - The updated Protection Against Retaliation policy is in line with the latest Secretariat guidelines ST/SGB/2017/2/Rev1 and includes: protection of individuals who choose to report wrongdoing to an external entity in limited circumstances; reducing the turnaround time for Ethics to complete the preliminary review stage (from 45 to 30 days); changing the definition of retaliation so that it aligns with the most recent SGB; the option of recommending transfer of the alleged retaliator; and explicitly prohibiting retaliation against outside parties. Additionally, UNDP introduced the possibility of interim protective measures during the preliminary review stage.

May 11, 2018 - The Protect against Retaliation policy is available in French and Spanish. To access the documents, click on the French and Spanish language tabs.

December 01, 2015 - Procedures added. (No text change in the policy document.)

July 01, 2012 - This policy was expanded to include protection for non-staff personnel such as contractors, interns and UNVs serving in UNDP or another UNDP administered fund, programme or agency.

EXPAND

Relevant Regulations and Rules

Staff regulations and staff rules, including provisional staff rules, of the United Nations

Staff Rule 1.2 (c)
Standards of Conduct for the International Civil Service (2013)
Secretary-General’s bulletin United Nations system-wide application of ethics: separately administered organs and programmes (ST/SGB/2007/11)
Amendment to the Secretary-General’s bulletin ST/SGB/2007/11 on United Nations system-wide application of ethics: separately administered organs and programmes (ST/SGB/2007/11/Amend.1)
Protection against retaliation for reporting misconduct and for cooperating with duly authorized audits or investigations (ST/SGB/2005/21)
UNDP accountability system (DP/2008/16/Rev.1)

Policies

Main Policy

Protection Against Retaliation Policy

DOCX (75.62 KB)

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Related Policies

UNDP Legal Framework for Addressing Non-Compliance with UN Standards of Conduct
Anti-Fraud Policy
Anti-Money Laundering and Countering the Financing of Terrorism Policy
Harassment, Sexual Harassment, Discrimination, and Abuse of Authority
Partner Personnel Services Agreement
International Personnel Services Agreement
Service Contract
National Personnel Services Agreement
Accountability System Policy
Internal Control Framework

Procedures

Main Procedures

1

Steps

Retaliation prevention actions: When OAI receives an allegation of misconduct that, if established, would be harmful to the interests, operations, or governance of UNDP, and identifies a retaliation risk against the complainant, OAI will inform the Ethics Office. OAI will only provide this information to the Ethics Office upon the consent of the individual making the report. When informed by OAI of such a complainant who is at risk of retaliation, the Ethics Office will consult with the individual on appropriate retaliation prevention actions.

Responsible Party

Complainant,

Office of Audit and Investigation,

Ethics Office

Template/Guideline

Explanatory Notes

Assessment of retaliation risk is to be made by OAI upon receipt of a qualifying report of misconduct. Prevention actions for cases referred by OAI to the Ethics Office may include, upon the complainant’s consent, Ethics Office engagement with the complainant’s senior management to ensure monitoring of the individual’s workplace situation with a view to preventing any retaliatory action against the individual as a consequence of their report of misconduct.

2

Steps

May choose initially to contact the Office of the Ombudsman to seek an informal resolution. prior to filing a formal Request for Protection against Retaliation.

Responsible Party

Complainant

Template/Guideline

Explanatory Notes

This may not preclude disciplinary or other administrative action against the alleged retaliator, if appropriate. Retaliation is itself misconduct.

3

Steps

Notify the director of the Ethics Office that informal resolution is taking place.

Responsible Party

Complainant

Template/Guideline

Explanatory Notes

While informal resolution is taking place, the Ethics Office can suspend the time period for filing a complaint for a maximum of 120 days. This requires a written request to the director of the Ethics Office, and written confirmation of the informal resolution process from the Ombudsman.

4

Steps

Submit a formal Request for Protection against Retaliation to the Ethics Office.

Responsible Party

Complainant

Template/Guideline

Protection from Retaliation Form

Download

Explanatory Notes

Individuals who believe that retaliatory action has been threatened or taken against them because they engaged in a protected activity may report their concern and request protection by contacting the Ethics Office. This should occur as soon as possible, but not later than six months after the most recent retaliatory action. The complainant must submit a confidential UNDP Protection from Retaliation form with all available supporting information and documentation.

The Ethics Office is at 220 East 42nd Street, New York, NY, 10017, United States, telephone +1(212-909-7840), e-mail ethicsoffice@undp.org, fax +1(212-906-6153).

5

Steps

Conduct an initial review.

Responsible Party

Ethics Office

Template/Guideline

Explanatory Notes

An initial review will determine if the complaint is within the scope of the office's mandate and covered by the Protection against Retaliation Policy. If not, the individual will receive appropriate advice or be referred to the correct office.

6

Steps

Conduct a preliminary assessment. If needed, ask for additional materials.

Responsible Party

Ethics Office

Template/Guideline

Explanatory Notes

For complaints that are properly filed and covered by the Ethics Office, the Office will decide within 45 days whether or not a prima facie case has been established.

Analysis of only those materials submitted with the complaint (and/or subsequently by the complainant) together with evidence provided by witnesses the complainant permits the Office to interview, will provide the basis for the Ethics Office determination of whether or not the complainant engaged in a protected activity, detrimental action has been threatened or taken, and the protected activity caused or contributed to the detrimental action.he office may ask for additional information from the complainant or a third party based on permission from the complainant.

UNDP offices and staff members have an obligation to cooperate with the Ethics Office.

7

Steps

If prima facie retaliation is found, conduct a full investigation.

Responsible Party

Office of Audit and Investigation

Template/Guideline

Explanatory Notes

If the Ethics Office has determined that there is sufficient evidence to indicate that an individual’s protected activity was a contributing factor in causing the alleged retaliation or threat of retaliation, the EO will refer the matter to OAI for a full investigation (not limited to evidence and witnesses provided by the complainant). OAI has 120 days to complete its investigation and to issue its investigative report. The EO then makes an independent determination whether retaliation has taken place.

8

Steps

Recommend interim protective measures during the preliminary assessment and/or investigation.

Responsible Party

Ethics Office

Template/Guideline

Explanatory Notes

In order to avoid additional harm to the complainant, the Ethics Office may request that the Administrator institute interim protective measures, including suspension of any perceived negative actions against the complainant, until the preliminary assessment and/or investigation is completed.

9

Steps

Consider appeal or alternatives if a prima facie case is not established or, after investigation, retaliation is not found.

Responsible Party

Complainant

Template/Guideline

Explanatory Notes

If a prima facie case has not been established, the Ethics Office will advise the complainant. It may make recommendations to the UNDP Administrator if problems other than retaliation have been identified. The complainant may ask the chairperson of the UN Ethics Committee to review the case or may seek recourse through another mechanism in the internal justice system.

10

Steps

If retaliation is confirmed, make recommendations to the UNDP Administrator for appropriate measures aimed at correcting any negative consequences threatened or suffered by the individual as a result of the retaliatory action and refer the case to the Legal Support Office for consideration of any disciplinary measures against the retaliator.

Responsible Party

Ethics Office,

Legal Office

Template/Guideline

Explanatory Notes

Recommendations to the UDNP Administrator should aim to correct the consequences of the retaliation. Since retaliation is a form of misconduct, the Legal Office in the Bureau of Management will decide on any disciplinary action against any staff member who may have engaged in retaliation.

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