United Nations Development Programme
Accountability,
Disciplinary Measures and Procedures
Accountability, Disciplinary Measures and Procedures
English, French, Spanish
English
Office of Legal and Procurement Support (OLPS),
Bureau of Management (BOM)
James Provenzano, Director OLPS james.provenzano@undp.org
Creator (individual)
Corporate Oversight, Legal Services, Human Resource Services
Subject (Taxonomy)
1 January 2004
Date approved
The prescriptive content is to be used by all UNDP staff at
Audience
Headquarters, in the Country Offices and at other locations
worldwide, as well as by organizations to which holders of
UNDP letters of appointment are assigned.
Applicability
 All holders of UNDP letters of appointment regardless of
assignment;
 Staff seconded to UNDP;
 JPOs
Replaces
 Circular ADM/97/17 of 12 March 1997 entitled
Accountability, Disciplinary Measures and Procedures;
 Circular ADM/87/98 of 8 October 1987 entitled
Establishment of the UNDP/UNFPA Disciplinary
Committee,
 Sections 10900 to 10903 and Section 10906 of the Personnel
Manual for Locally Recruited Staff, and Sections 21100 to
21107 of the Personnel Manual for Internationally Recruited
Staff.
UNDP Internal Justice System
Is part of
Article X of UN Staff Regulations and Chapter X of UNDP Staff
Conforms to
Rules
Related documents
 UNDP/ADM/2002/58 of 20 December 2002: Status, Basic
Rights and Duties of Staff Members
 Investigation Guidelines issued by OAPR
December 2005
Mandatory Review
Ask questions: francoise.nocquet@undp.org
Send Feedback: francoise.nocquet@undp.org
Title
Document Languages
Source Language
Responsible Unit
1.
2.
3.
4.
PURPOSE ............................................................................................................................... 3
SCOPE OF APPLICATION ................................................................................................... 3
MISCONDUCT ...................................................................................................................... 4
OVERALL AUTHORITY...................................................................................................... 5
5. STAFF MEMBERS’ RIGHTS AND OBLIGATIONS .......................................................... 6
6. INVESTIGATION .................................................................................................................. 6
7. SUSPENSION PENDING INVESTIGATION AND DISCIPLINARY ACTION ............... 9
8. PROCEDURES FOLLOWING INVESTIGATION .............................................................. 9
9. DISCIPLINARY PROCEEDINGS ...................................................................................... 10
10.
REVIEW AND FINAL APPEAL .................................................................................... 13
11.
MISCELLANEOUS ......................................................................................................... 13
ANNEX I: RULES OF PROCEDURE FOR UNDP/UNFPA/UNOPS DISCIPLINARY
COMMITTEE ............................................................................................................................... 15
ANNEX II: EFFECTS OF IMPLEMENTATION OF DISCIPLINARY MEASURES .............. 22
1.
PURPOSE
1.1 This prescriptive content provides the Administrator’s directives on the application of Staff
Regulation 10.1 and 10.2 and Chapter X of the Staff Rules relating to disciplinary
procedures and measures. It includes the mechanisms and authorities for disciplinary action
and outlines the basic requirements of due process to be afforded to a staff member who is
the subject of an allegation of unsatisfactory conduct.
1.2 This supersedes the following texts:
 Circular ADM/97/17 of 12 March 1997 entitled Accountability, Disciplinary Measures
and Procedures,
 Circular ADM/87/98 of 8 October 1987 entitled Establishment of the UNDP/UNFPA
Disciplinary Committee,
 Sections 10900 to 10903 and Section 10906 of the Personnel Manual for Locally
Recruited Staff, and Sections 21100 to 21107 of the Personnel Manual for
Internationally Recruited Staff.
2.
SCOPE OF APPLICATION
2.1 To whom does this prescriptive content apply?
2.1.1
This document applies to:
 all holders of UNDP letters of appointment of the 100, 200 and 300 series,
regardless of assignment (UNDP, UNIFEM, UNFPA, UNOPS 1, UNV, UNCDF,
etc.), except WFP locally-recruited staff2;
 staff members of other organizations on secondment to UNDP3;
 Junior Professional Officers (JPOs) during their tenure on contract to UNDP.
2.1.2
For staff on secondment, UNDP shall inform the releasing organization prior to
charging a staff member with misconduct.
2.2 To whom does this document not apply?
2.2.1
In addition to WFP locally-recruited staff, the present document does not apply to:
 independent contractors working with UNDP under Special Service Agreements
(SSA);
 persons employed under Service Contracts (SC);
 U.N. Volunteers Specialists (UNVs).
2.2.2
Notwithstanding, the above mentioned are required to comply with the standards of
1
2
3
See the Personnel Matrix which outlines the arrangements applicable to UNDP staff members on assignment to
UNOPS and to staff members with letters of appointment limited to UNOPS.
Locally-recruited staff are WFP staff members, and are administered on WFP’s behalf by UNDP.
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.
conduct expected of international civil servants (see paragraph 3.3 below) and may be
held liable for any breach in accordance with the terms of their contracts.
2.2.3
3.
In the event of any dispute arising out of, or in connection with a SSA, SC or UNV
contract, the Director, OLPS shall be contacted for advice on due process and in
anticipation of formal requests for settlement of dispute (usually, conciliation and
arbitration).
MISCONDUCT
3.1 Misconduct is defined in Staff Rule 110.14 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 negligence revealing an actual indifference to the consequences (gross negligence) or
in complete disregard of the risk which is likely to cause harm (recklessness).
3.2 Misconduct includes, but is not limited to:
(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 instructions implementing it;
(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 harassment, or threats to other staff members or
third parties;
(d) Misrepresentation, forgery, or false certification in connection with any official claim or
benefit, including failure to disclose a fact material to that claim or benefit;
(e) Misuse or mishandling of official property, assets, equipment or files, including
electronic files;
(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; favoritism in the award of a contract to a
third party;
(i) Breach of fiduciary obligations vis-à-vis the Organization;
(j) Misuse of office, abuse of authority; breach of confidentiality; abuse of United Nations
privileges and immunities;
4
See also Staff Rule 310.1.
(k) Exaction of funds from a colleague or a third party in return for a favour or benefit;
(l) Failure to disclose promptly the receipt of gifts, remuneration or other benefits received
by the staff member from an external source;
(m) Failure by a staff member to comply with professional and related ethical standards
applicable to his/her profession;
(n) Acts or behavior that would discredit the Organization;
(o) Abetting, concealing or conspiring in any of the above actions.
3.3 Breach of the standards of conduct expected from international civil servants constitutes
misconduct (see 3.2 (a)). Staff and management shall refer to the standards of conduct as
adopted by the International Civil Service Commission in 2001 in replacement of the 1954
Code of Conduct of the United Nations staff members, and issued by the Secretary-General
with a commentary aiming at assisting staff members and management to better understand
the obligations placed on staff conduct (see Document ST/SGB/2002/13,
UNDP/ADM/2002/58 of 20 December 2002).
3.4 Unsatisfactory performance does not constitute misconduct and thus does not fall within the
scope of this prescriptive content. Alternatively, performance-related issues are to be
addressed through the Results and Competency Assessment (RCA) in accordance with the
appropriate procedure (see Revised RCA Guidelines of January 2003, Circular
UNDP/ADM/2003/05).
4.
OVERALL AUTHORITY
4.1 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. As a consequence, he/she decides on the
disciplinary measure to be imposed on a staff member found guilty of misconduct, after
referral of the case to the Disciplinary Committee, except in the event of waiver of
disciplinary proceedings or summary dismissal (see 9.2 and 9.3 below).
4.2 The Assistant Administrator and Director, Bureau of Management (BOM) is delegated
the authority:
 To suspend staff members holding UNDP letters of appointment, and at the end of the
initial suspension period, to extend it (see 7 below);
 To charge staff members holding UNDP letters of appointment (see 8.2 below); and
 To refer the case to the Disciplinary Committee (see 9.1.1 below).
4.3 The Director, Office of Legal and Procurement Support (OLPS) is responsible for:
 Assessing the need for further investigation and referring the investigation to the
appropriate body or to persons he/she designates (see 6.3 below);
 Recommending suspension of the staff member involved (see 7 below);
 Recommending exoneration of charges, disciplinary action or other course of action
(see 8 below); and
 Preparing the submissions to the Disciplinary Committee and in the event of a hearing
representing the Administration (see 9.1.2 below).
4.4 The Director, Office of Audit and Performance Review (OAPR) is responsible for:
 Carrying out audits and investigations into allegations of wrongdoings or
mismanagement;
 Providing advice on the way to conduct the investigations to designated persons or
bodies in the event that OAPR is not in charge of the investigations (see 6.2 below);
 Managing the Investigation Hot-Line.
4.5 The Resident Representatives in Country Offices and the Heads of Office/Unit/Section/
Department/Bureau in Headquarters and Other Locations are responsible for:
 Conducting preliminary investigations into allegations of wrongdoings or
mismanagement (see 6.1 below) and formal investigations if so requested by OLPS (see
6.4 below);
 Reporting allegations and findings of investigations to OLPS (see 6.3 below); and
 Issuing oral and written reprimands: they do not have authority to take any disciplinary
measures, nor to suspend staff members (see 7 and 9.1.6 below).
5.
STAFF MEMBERS’ RIGHTS AND OBLIGATIONS
5.1 A staff member who is the subject of allegations of misconduct has the right to due process,
i.e.:
 To be informed of the nature of the allegations during the formal investigation (see
6.4.4 below);
 To be given the opportunity to respond to the allegations, and in particular to comment
on the formal investigation report and the charges (see 6.5 and 8.2 below);
 To know the evidence on which the charges are based and to present countervailing
evidence; and
 To have the assistance of counsel as his/her representative once the staff member has
been charged with misconduct (Staff Rule 110.4 (a)5).
5.2 Staff members have the duty:
 to report any suspicions of wrongdoing and mismanagement (see 6.1.1 below);
 to cooperate with any investigation and assist designated investigator(s) as required, in
accordance with Staff Regulation 1.2 (r);
 to comply with the standard of confidentiality on a strict “need to know” basis.
6.
INVESTIGATION
6.1 Reporting of Allegations of Wrongdoing
5
See also Staff Rule 310.1 (d).
6.1.1
A staff member has a duty to inform any suspicions of wrongdoing and mismanagement
to his/her immediate supervisor, or head of office unless they feel that they may be
implicated. In such an event, they shall report to OLPS, OAPR or through the
investigation hot-line. If allegations relate to sexual harassment, they shall be reported
to the focal point designated for that purpose.
6.2 Preliminary Investigation
6.2.1
In country offices, the Resident Representative shall immediately undertake a
preliminary and confidential investigation:
 As soon as he/she has received sufficiently detailed allegations of wrongdoing or
mismanagement; or
 On his/her own initiative, where there is reason to believe that a staff member has
engaged in unsatisfactory conduct, or
 Where there has been loss, damage to property, or apparent impropriety but no
individual staff member has been identified as responsible.
6.2.2
In headquarters and other locations, paragraph 6.2.1 applies to heads of
office/unit/section/department/bureau.
6.2.3
When OAPR receives information from staff or other persons engaged in activities
under the authority of the Organization on acts of wrongdoing or mismanagement, it
shall undertake or direct the preliminary investigation.
6.2.4
For holders of UNDP letters of appointment assigned to other organizations (UNIFEM,
UNOPS, UNFPA, UNV, etc.), the preliminary investigation shall be carried out by the
office where the conduct took place.
6.2.5
The purpose of such preliminary investigation shall be to establish the basic facts and at
the same time to preserve any written evidence such as cheques, invoices, written
statements, or other relevant documents or records. The preliminary investigations shall
be carried out in accordance with the UNDP Investigation Guidelines.
6.3 Outcome of Preliminary Investigation
6.3.1
Where the preliminary investigation seems to show that misconduct may have occurred,
the Resident Representative or head of office/unit/section/department/bureau, or the
Executive Director of the organization to which the staff member is assigned, shall
immediately report to the Director, OLPS, giving a full account of the facts that are
known and attaching documentary evidence if appropriate. The Report may include a
recommendation on whether suspension of the staff member appears to be warranted
(see paragraph 7 below).
6.4 Formal Investigation
6.4.1
On the basis of the evidence presented in the Preliminary Investigation Report, the
Director, OLPS, may refer the matter for further investigation to the OAPR or to a
single individual or a panel6, depending of 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.
6.4.2
Cases involving allegations of discrimination or sexual harassment shall be referred to
the Grievance Panel on Sexual Harassment.
6.4.3
The investigator(s) shall carry out the investigation in accordance with the UNDP
Investigation Guidelines. All procedures and actions relating to the investigation must
respect the rights and interest of the Organization and potential victims, as well as any
staff member who is the subject to an allegation of misconduct.
6.4.4
The Organization has the duty to inform the implicated staff member that he/she is the
subject of an investigation at the earliest possible time. This notification may happen
prior to the launching of the formal investigation if the staff member is suspended (see 7
below). If the investigation is underway, the investigators shall inform the staff member
as soon as possible provided such disclosure does not put at risk the documentary
evidence and witnesses7, but in any case, not later than during his/her interview.
6.4.5
Unless circumstances make it clearly impractical to do so, the staff member concerned
must be interviewed in person, his/her statement must be taken down in writing, dated
and signed, and the staff member must be given a copy of the statement.
6.4.6
The investigator(s) shall prepare the investigation report giving a full account of the
facts that are known and attaching the documentary evidence, if any, and forward it
promptly to the Director, OLPS, for review.
6.5 Staff member’s response
6.5.1
The Director, OLPS, shall communicate a copy of the investigation report to the staff
member normally within twenty (20) working days following receipt of the
investigation report, provided that there is no need for further clarification from the
investigator(s).
6.5.2
The Director, OLPS shall invite the staff member to send his/her response and produce
countervailing evidence, if any, within a reasonable period of time, normally between
fifteen and thirty working days depending on the seriousness and complexity of the
matter. An extension may be exceptionally granted by the Director, OLPS, if the staff
member makes a written request, giving cogent reasons why he or she is unable to
6
7
Upon request, OAPR can provide assistance to the Country Office with respect to technical investigation issues
and OLPS can provide advice on any legal issues that may develop.
For further guidance on how to secure evidence, see the UNDP Investigation Guidelines. The burden is on the
Administration to prove that the delay in informing the staff member that he/she is under investigation was
justified by the need to secure the evidence.
comply with the deadline. Further extensions will not normally be granted. If no
response is submitted within the time limit, the matter shall nevertheless proceed. The
staff member may request the Director, OLPS, to be granted access to files, which
he/she claims to be relevant to his/her response.
7.
SUSPENSION PENDING INVESTIGATION AND DISCIPLINARY ACTION
7.1 As a general principle, suspension may be contemplated in cases where:
 the conduct in question might pose a threat to other staff members or to the
organization’s interest,
 there is a risk of evidence being tampered with or concealed, or
 redeployment of the staff member is not feasible.
7.2 Recommendations for suspension at either stage of the investigation (preliminary and
formal) shall be addressed to the Director, OLPS. On the basis of the evidence presented,
the Director, OLPS, shall recommend to the Assistant Administrator, BOM, whether the
suspension is warranted. The Resident Representatives in country offices, the heads of
office/unit/section/department/bureau in headquarters and other locations, 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.
7.3 If the Assistant Administrator, BOM, authorizes suspension, the staff member shall be
informed in writing of the reason for the suspension, of its probable duration and of its
conditions (see paragraph 7.5 below) and shall immediately surrender his/her grounds pass.
7.4 Suspension under Staff Rule 110.2 (a)8 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,
OLPS, to support a further suspension, the Assistant Administrator, BOM, may extend the
suspension for a further defined period.
7.5 A staff member on suspension shall not be allowed to enter the Organization’s premises
without first obtaining clear permission in writing from the competent official. Such entry
shall be under escort and in connection with the staff member’s defense 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. Should the suspended staff
member request or, under exceptional circumstances, be requested to leave the duty station,
he/she shall provide contact details to be reachable during the investigation.
8.
PROCEDURES FOLLOWING INVESTIGATION
On the basis of a review of the Investigation Report and the staff member’s response, the
Director, OLPS, shall take the following actions:
8
See also Staff Rules 210.2 and 310.1 (b).
8.1 Exoneration of Misconduct:
8.1.1
If the Director, OLPS is satisfied that there are no grounds warranting disciplinary
action, he or she shall:
 inform the staff member and the Resident Representative, head of
office/unit/section/department/bureau, or the Executive Director of the organization
to which the staff member is assigned;
 if the staff member was suspended, inform the Assistant Administrator, BOM, that
the matter is closed and recommend canceling the suspension and full integration of
the staff member;
 if the conduct depicted in the report and the circumstances of the case have shown
sub-standard performance and/or poor judgement on the part of the staff member,
recommend to the Resident Representative, head of office/unit/section/
department/bureau or other responsible officer concerned, to issue a letter of
reprimand and include the investigation report (or extracts therefrom) in the annual
Results and Competency Assessment (RCA) of the staff member;
 request that documents related to the investigation be expunged from the staff
member’s official status file, except those referred to in the preceding paragraph.
8.2 Charges of Misconduct:
8.2.1
If the Director, OLPS is satisfied that the facts indicate that unsatisfactory conduct
occurred, he or she shall recommend to the Assistant Administrator, BOM, that the staff
member be formally charged with misconduct and have the case referred to the
Disciplinary Committee, if appropriate.
8.2.2
The staff member shall be notified 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 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/her defense (see paragraph 11.2.1 below), and informed on how to obtain the
assistance of the Panel of Counsel.
8.2.3
A copy of the charges letter shall be given for information 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.
8.3 Timeframe
8.3.1
9.
To the extent possible, the period between the time at which the staff member is notified
that he/she is the target of an investigation, and the time at which he/she is advised of
either the exoneration of misconduct or the charges proffered against him/her may not
exceed six months.
DISCIPLINARY PROCEEDINGS
If the Director, OLPS, considers that the staff member’s response to the charges is
unsatisfactory and that disciplinary measures should be taken against the staff member (for
the list of disciplinary measures, see paragraph 9.1.6 below), he or she may recommend
one of the three following options:
9.1 Submission of the case to the Disciplinary Committee
9.1.1
In such a case, the Assistant Administrator, BOM, shall inform the staff member in
writing that the matter is being referred to the UNDP/UNFPA/UNOPS Disciplinary
Committee under the terms of Staff Rule 110.5 for advice as to whether the staff
member is guilty of the charges proffered against him/her and what disciplinary
measures, if any, would be appropriate. The Disciplinary Committee acts as an advisory
body to the Administrator.
9.1.2
The Director, OLPS, shall file the case and 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, OLPS.
9.1.3
The UNDP/UNFPA/UNOPS Disciplinary Committee is established at the 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 substitute an
alternate procedure that meets the requirements of due process in accordance with Staff
Rule 110.5(b)9 and shall operate under the guidance of the Chairperson of the DC.
9.1.4
In the composition of the Disciplinary Committee, due consideration shall be given to
avoid any conflict of interest; the members of the Board shall not have been implicated
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.
9.1.5
The Rules of Procedure of the Disciplinary Committee are set out in Annex I to the
present document.
9.1.6
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:

Written censure;

Loss of one or more steps in grade;

Deferment, for a specified period, of eligibility for within-grade increment;

Suspension without pay;

Fine;

Demotion;

Separation from service, with or without notice or compensation in lieu thereof;
9
See also Staff Rules 210.1 and 310.1 (c).

Summary dismissal.
These disciplinary measures also apply to holders of 200-series letters of appointment.
Annex II to the present document specifies the concrete effects of each of the abovementioned measures. It should be stressed that under Staff Rule 110.3 (b), written or
oral reprimand by a supervisor, recovery of moneys owed to the organization and
suspension pending investigation and completion of the disciplinary proceedings (see
paragraph 7 above), are not considered to be disciplinary measures.
As to holders of 300-series letters of appointment, the following disciplinary measures
may be taken pursuant to Staff Rule 310.1 (e):

Written censure;

Suspension without pay;

Fine;

Separation from service, with or without notice or compensation in lieu thereof;

Summary dismissal.
9.2 Waiver of Disciplinary Proceedings
9.2.1
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 Disciplinary Committee proceedings 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.
9.2.2
If the staff member has requested or accepted to waive his/her right to the review of the
case by the Disciplinary Committee, he/she is then informed of the disciplinary measure
which is contemplated. If no agreement is reached as to the disciplinary measure within
a given timeframe, the case is submitted to the Disciplinary Committee.
9.2.3
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.
9.3 Summary Dismissal
9.3.1
Where the conduct reported is clearly incompatible with the continued service of the
staff with the Organization, and has been sufficiently corroborated in the investigation
report and/or admitted by the staff member, or has led to a conviction by a national
court of justice, the Director, OLPS, may recommend to the Administrator that the staff
member be summarily dismissed.
1.1.1.1
10. REVIEW AND FINAL APPEAL
10.1 Appeal following a Review by the Disciplinary Committee
10.1.1
10.2
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/her application for a final appeal directly to the United Nations Administrative
Tribunal (UNAT). The procedure and time limits to do so are outlined in the statute of
the Administrative Tribunal, a copy of which may be obtained from the Executive
Secretary of the United Nations Administrative Tribunal at United Nations
Headquarters, Room N. DC-2 0400, telephone: 212-963-3067, fax: 212-963-3685.
Appeal against Summary Dismissal
10.2.1
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 Administrator to submit the case to the Disciplinary Committee for review. Such a
request shall not have the effect of suspending the measure.
10.2.2
After receiving the advice of the Disciplinary Committee, the Administrator shall
decide as soon as possible what action to take in respect thereof.
11. MISCELLANEOUS
11.1 Organization’s Responsibility
11.1.1
In enforcing this prescriptive content, the Organization shall act consistently and
undertake the investigative and disciplinary action required without regard to the
suspected wrongdoer’s length of service, position/title, or relationship with UNDP.
11.2 Panel of Counsel
11.2.1
A staff member who wishes to obtain the assistance of a member of the Panel of
Counsel, may request information from the Coordinator of the Panel of Counsel at
United Nations Headquarters, Room No. S-B1-01, telephone: 212-963-3954, fax: 212963-0252, website www.un.org/staff/panelofcounsel . In the alternative, if a staff
member chooses to secure counsel from outside the ranks of the Panel of Counsel it will
be at his or her own expense (see Staff Rule 110.4(a)10).
11.3 Responsibility for Loss of Property or Assets
11.3.1
10
11
Under Staff Rule 112.311, “Any staff member may be required to reimburse the United
See also Staff Rule 310.1 (d).
See also Staff Rules 212.2 and 312.2.
Nations either partially or in full for any financial loss suffered by the United Nations as
a result of the staff member’s negligence or of his or her having violated any regulation,
rule or administrative instruction.”
11.4 Referral to Local/Outside Courts
11.4.1
Any decision taken under this document is without prejudice to the Organization’s right
to pursue a legal proceeding in local/outside courts for recovery or prosecution of
criminal offense. Such decision is taken under exceptional circumstances with the
concurrence of UN Office of Legal Affairs (UN/OLA) since it involves a question of
privileges and immunities.
11.5 Publication of Disciplinary Decisions
11.5.1
In the interests of transparency, the Administrator shall inform the UNDP/UNFPA
Executive Board of disciplinary decisions taken in the course of the preceding year, and
publishe an annual circular to all staff of cases of unsatisfactory conduct that have been
investigated and led to disciplinary sanctions.
ANNEX I: RULES OF PROCEDURE FOR UNDP/UNFPA/UNOPS DISCIPLINARY
COMMITTEE
1.
ORGANIZATION
1.1 Composition
1.1.1
The Disciplinary Committee (DC) shall be comprised of a Chairperson, one Alternate
Chairperson and a Panel of Members. The Administrator shall appoint, upon
recommendation of the Consultative Group on Staff Matters (CGSM), a Panel of at
least twenty (20) Members and designate a Panel member to act as the Chairperson and
Alternate Chairperson who shall deputize whenever the Chairperson is unavailable.
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
The Chairperson, the Alternate Chairperson and 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 Chairperson directs the work and operation of the DC. He/she manages the docket
and sets priority for the disposition of the cases in consultation with the Office of the
Administrator or the Executive Directors.
1.2.2
When a case is examined by a Panel, the Chairperson of the Panel shall be responsible
for the conduct of the proceedings and the hearings, including applying and interpreting
the rulings of the Panel, in consultation with the Panel Members and with the Secretary.
1.2.3
The Chairperson may convene periodic plenary sessions of the DC.
1.3 Internal Administration of the DC
1.3.1
Plenary sessions may be convened by the Chairperson for the purpose of considering
general matters with regard to the internal administration and operation of the DC
(excluding the cases’ review).
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.
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 Administrator 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 Office of the Administrator,
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 annual report to OLPS 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
2.1.2
In accordance with Staff Rule 110.4, a case may be referred to the DC by either referral
of (1) the Director of OLPS or (2) a staff member who has been summarily dismissed,
as follows:
(1)
The Director of OLPS 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
paragraph 8.2 of the prescriptive content or, if no response is received, within one
month of the expiry of the deadline for receipt of the said response.
(2)
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/her,
request that this decision be reviewed by the DC.
The written referral to the DC shall comprise:
(1)
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;
(2)
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 Director of OLPS or the (former) staff member
concerned) a copy of it, 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 (a), the Secretary shall request him/her to provide explanation for the delay
and forward his/her reply to the Director, OLPS 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.
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 Secretary 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 Administrator may amend or withdraw the
charges.
2.2 Constitution of a Panel
2.2.1
When the referral and the reply to the referral have been submitted, the Secretary shall
immediately inform the Chairperson of the DC who shall then constitute a Panel from
among the Members of the DC for consideration of the case. The Panel shall be
comprised of the Chairperson (or his/her Alternate) 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, due consideration shall be given to
avoid any conflict of interest; the members of the Board 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.
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 such cases the Alternate
Chairperson shall decide.
2.3 Consideration of the Case
2.3.1
Pursuant to Staff Rule 110.7 (b) “[p]roceedings 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
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.
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 from 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.
2.5 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 a
showing that their testimonies will be relevant.
2.5.2 Normally the Panel shall secure testimonies by written interrogatory. 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 The Panel may exceptionally decide that the (former) staff member concerned, witness or
expert be interviewed, in which case 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) 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 one working day prior to the hearing.
2.5.4 A witness shall be questioned only on matters of which he/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 be
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 telephonic 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/she shall direct that all the
persons involved in the proceedings observe strict confidentiality. S/he shall then
enumerate the charges against the (former) staff member concerned and set the time
frame for the hearing.
(b) The Panel shall then direct its questions to the (former) staff member concerned or
witnesses/experts they have called to appear. In order to secure the best possible
information during these interviews it is advisable that the Panel put its questions
and/or issues to be queried in writing and sent to the individual concerned (with copy
to the parties) at least one working day prior to the scheduled hearing.
(c) Both parties shall be given the opportunity to question or cross-examine the
individuals interviewed by the Panel.
2.7
The Report of the Disciplinary Committee
2.7.1 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
Administrator within four weeks from submission of the case (i.e. submission of the
referral and the reply to the referral). The official version of the report shall be in English.
2.7.2 The report should contain:
(a) The charges and allegations 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;
(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 Administrator as to what disciplinary
measure, if any, should be applied (see Annex II);
(i) Dissenting or separate opinion, if any.
2.7.3 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 112.312
12
See also Staff Rules 212.2 and 312.2.
2.7.4 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
Travel Expenses and Visas
2.8.1 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 arrange the necessary logistics and cover the travel cost.
ANNEX II: EFFECTS OF IMPLEMENTATION OF DISCIPLINARY MEASURES
1. Written Censure

A written censure is a letter from the Administrator 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/her permanent record13.

A written censure shall 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/she will 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/she is placed at the lowest step on the salary scale for his/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 increment means that the staff member’s step is
frozen for a stated period of time. When the time period elapses, the period of service
accrued between the last salary increment and the date of implementation of the
disciplinary decision is credited towards the next increment. Unlike the loss of steps-ingrade, the anniversary date of the increment remains unchanged.

A deferment shall be taken into account when assessing whether a staff member’s
performance has been satisfactory during the period in question.
4. Suspension without pay
13
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.

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/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/her annual remuneration. The fine is either paid directly by the staff
member or deducted from his/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/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 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 whether a staff member’s
performance has been satisfactory 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:

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 is not
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 Administrator 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/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 III to the Staff Rules.

Subject to the conditions of eligibility, a staff member separated from service is entitled
to repatriation grant.
8. Summary dismissal

Summary dismissal means immediate separation from service without a termination
notice to be given to the staff member.

Furthermore, a staff member summarily dismissed is not entitled to any termination
indemnity pursuant to Annex III to the Staff Rules, nor to repatriation grant pursuant to
Staff Rule 109.5 (c)(iii).