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1
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Step
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.
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Responsible Party
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Office of Audit and Investigation,
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Template/Guideline
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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.
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2
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Step
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.
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Responsible Party
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Template/Guideline
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Explanatory Notes
This may not preclude disciplinary or other administrative action against the alleged retaliator, if appropriate. Retaliation is itself misconduct.
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3
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Step
Notify the director of the Ethics Office that informal resolution is taking place.
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Responsible Party
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Template/Guideline
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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.
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4
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Step
Submit a formal Request for Protection against Retaliation to the Ethics Office.
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Responsible Party
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Template/Guideline
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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).
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5
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Step
Conduct an initial review.
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Responsible Party
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Template/Guideline
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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.
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6
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Step
Conduct a preliminary assessment. If needed, ask for additional materials.
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Responsible Party
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Template/Guideline
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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.
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7
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Step
If prima facie retaliation is found, conduct a full investigation.
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Responsible Party
Office of Audit and Investigation
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Template/Guideline
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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.
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8
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Step
Recommend interim protective measures during the preliminary assessment and/or investigation.
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Responsible Party
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Template/Guideline
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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.
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9
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Step
Consider appeal or alternatives if a prima facie case is not established or, after investigation, retaliation is not found.
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Responsible Party
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Template/Guideline
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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.
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10
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Step
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.
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Responsible Party
,
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Template/Guideline
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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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