1. Senior Leadership Programme Conduct & Discipline Sylvain Roy Senior Policy Advisor Conduct and Discipline Unit 2016 - New York

2. 2 Brief History  Allegations in West Africa 2002-2003  SG’s Bulletin – ST/SGB/2003/13  Allegations in the DRC 2004-2005  Prince Zeid’s report to C-34 – 2005  Zeid’s report endorsed by GA – 2005  Establishment of Conduct and Discipline Teams – 2005  Commitment reaffirmed in S/RES/1820, in 2008 and in S/RES/1888 in 2009

3. 3 CDU Mandate - HQ  Advise senior management in HQ/field missions  Monitor application and compliance with UN standards of conduct  Maintains oversight and follow-up on allegations of misconduct at HQ level  Media relations  Develop policies and strategies on prevention, enforcement and remedial action

4. 4 CDT Mandate - Field  Provide policy guidance and technical advice to the mission’s senior leadership  Ensure coherence in application of standards and broad dissemination, including training  Receive complaints, track and review investigation (no investigative role)  Awareness raising and public information  Liaise with investigation entities

5. 5 Conduct and Discipline Teams Conduct and Discipline Teams CDT personnel are deployed in larger peacekeeping missions CDT personnel also provide support to smaller peacekeeping and special political missions through regional arrangements The Middle-East and Mediterranean (UNIFIL) The Middle-East and Mediterranean (UNIFIL) Asia (KJSO) Asia (KJSO) West Africa (MINUSMA) West Africa (MINUSMA)

6. 6 Core Values and important concepts  Core Values Integrity, professionalism and respect for diversity Integrity, professionalism and respect for diversity  Duty of Care  Zero tolerance on sexual exploitation and abuse  Accountability of managers and commanders towards maintaining the highest standards of conduct

7. 7 UN Strategy Three pronged strategy  Prevention Awareness raising (internal and external), Awareness raising (internal and external), Training (pre-deployment and in mission) Training (pre-deployment and in mission) Risks assessments and preventive measures – Curfew, Off Limits Risks assessments and preventive measures – Curfew, Off Limits Welfare and Recreation Welfare and Recreation  Enforcement Establish complaints mechanism (accessible and efficient) Establish complaints mechanism (accessible and efficient) Assessment of complaints Assessment of complaints Investigative capacity – OIOS/TCC/Mission Investigative capacity – OIOS/TCC/Mission Follow-up on accountability measures and administrative action by the UN Follow-up on accountability measures and administrative action by the UN  Remedial Action Support and assistance to victims of sexual exploitation and abuse Support and assistance to victims of sexual exploitation and abuse Paternity and child support Paternity and child support

8. 8 Definition of misconduct Definition of misconduct  Failure by a staff member to: Comply with his/her obligations under UN Charter, Staff Regulations & Rules, or other administrative issuances Comply with his/her obligations under UN Charter, Staff Regulations & Rules, or other administrative issuances Observe Standards of Conduct expected of an international civil servant Observe Standards of Conduct expected of an international civil servant  Similar standards of conduct are made binding on all categories of UN personnel (Civilian, uniformed personnel and UN contracted personnel)

9. 9 Definition of Sexual Exploitation and Abuse Definition of Sexual Exploitation and Abuse  Sexual Exploitation and Abuse constitute serious misconduct for all UN personnel ST/SGB/2003/13 Uniform standards Uniform standards Sexual exploitation: Actual or attempted abuse of a person’s vulnerability, differential power or trust for sexual purposes, including profiting monetarily, socially or politically from the exploitation Sexual exploitation: Actual or attempted abuse of a person’s vulnerability, differential power or trust for sexual purposes, including profiting monetarily, socially or politically from the exploitation Sexual Abuse: Actual or threatened physical intrusion of a sexual nature, by force or under unequal or coercive conditions Sexual Abuse: Actual or threatened physical intrusion of a sexual nature, by force or under unequal or coercive conditions

10. 10 Consequences of Misconduct  Negative impact on image and credibility of mission and Organization  Affects mandate implementation  Violation of national or international law and foster climate of impunity  Affects security and personal safety and health  Creates need for victim assistance

11. 11 Reporting of misconduct  UN personnel have duty to report suspected misconduct and to cooperate with UN authorized investigations Protection from retaliation granted for reporting misconduct or cooperating in investigation Protection from retaliation granted for reporting misconduct or cooperating in investigation

12. 12 Reporting Process  All complaints and information on possible misconduct (for all categories of personnel) is channeled to CDT Possible direct reporting to OIOS Possible direct reporting to OIOS  CDT reviews and assess information to determine if allegations of misconduct  CDT recommends notification and investigation in accordance with applicable procedures Informs HOM through COS (heads of components informed as appropriate) Informs HOM through COS (heads of components informed as appropriate)  CDT/CDU is responsible for tracking and follow- up to investigation of allegations

13. 13 Investigation Process  Investigation by OIOS Sole UN entity responsible for investigations of serious misconduct including sexual exploitation and abuse Sole UN entity responsible for investigations of serious misconduct including sexual exploitation and abuse Will investigate some matters and refer other for investigation by field missionsWill investigate some matters and refer other for investigation by field missions Category I and Category II allegations of misconduct Category I and Category II allegations of misconduct  Investigations by Missions entities Force Provost Marshall, Special Investigation Unit of Security Section, UN Police Investigation Unit Force Provost Marshall, Special Investigation Unit of Security Section, UN Police Investigation Unit OHRM or DFS (discrimination, harassment, sexual harassment and abuse of authority) OHRM or DFS (discrimination, harassment, sexual harassment and abuse of authority)  Investigations by Member States Member States have the primary responsibility to investigate allegations against members of military contingents Member States have the primary responsibility to investigate allegations against members of military contingents

14. 14 Disciplinary Process  Civilian personnel Disciplinary measures taken by the United Nations Disciplinary measures taken by the United Nations Actions under terms of contracts for contracted personnel Actions under terms of contracts for contracted personnel HOM makes recommendation (endorsed by DFS) on referral to OHRM for disciplinary process or recommend administrative action HOM makes recommendation (endorsed by DFS) on referral to OHRM for disciplinary process or recommend administrative action  Experts on Mission: Military Observers and UNPOL (including FPU) Disciplinary measures are taken by national authorities Disciplinary measures are taken by national authorities Repatriation on disciplinary grounds, as an administrative measure, and barring from future PKO Repatriation on disciplinary grounds, as an administrative measure, and barring from future PKO  Members of military contingent and MSO Disciplinary measures are taken by national authorities Disciplinary measures are taken by national authorities Repatriation on disciplinary grounds, as an administrative measure, and barring from future PKO Repatriation on disciplinary grounds, as an administrative measure, and barring from future PKO

15. Criminal accountability  UN staff and experts and mission can be prosecuted in the host state  Referral for criminal accountability to states of nationality  Members of military contingents are immune from prosecution in the host state but sending state will be requested to prosecute 15

16. Limits to the Mission’s authority  Initiating disciplinary actions against civilian personnel rests solely with the ASG/OHRM  Interim measures for civilian personnel (administrative leave) rests with USG/DFS or USG/DM  Repatriation of uniformed personnel can only be decided by DPKO/DFS, on recommendation from the HOM TCC/PCC may however repatriate unilaterally TCC/PCC may however repatriate unilaterally  Functional immunity and criminal accountability is overseen by OLA 16

17. Facts and Figures   SEA complaints   Others

18. 18 Your Role Prevention  Set the tone – All eyes are on you  Keep abreast of allegations, rumors, complaints  Engage with managers and commanders to request information on state of conduct and discipline in component  Ensure awareness of mission personnel including by insisting that induction training, as well as specific SEA training, are conducted on arrival in mission  Take preventative measures (e.g. curfews, off-limits locations, patrols)  Ensure that welfare and recreation is provided for  Advocacy for upholding standards of conduct

19. 19 Your Role Enforcement   Ensure and verify that complaints reporting mechanisms are in place and effective   Duty to report (senior managers and all personnel)   Apart from immediate preservation of evidence, ensure that additional investigations are only conducted with guidance from OIOS or CDT   If mission are mandated to conduct investigations, ensure that they are carried out in a timely manner

20. 20 Your Role Remedial Action  Ensure that emergency and longer-term medical, psycho-social and legal support is provided to victims  Ensure that host community is informed of follow-up action concerning allegations they have reported

21. 21 Your challenges  Dealing with issues of performance and management before they escalate to misconduct  Ensuring effective complaint reporting mechanisms  Providing timely and qualitative follow-up to complaints  Implementing the Comprehensive Strategy for Victims’ Assistance  Dealing with the media and external communication to preserve the image of the UN/mission.

22. To assist senior leadership  Policy on Accountability for conduct and discipline in field missions (July 2015)  Accountability Framework  SEA Task Force and other measures 22

23. 23 Clear message from senior leadership  Leaders also have to set the tone – be a role model  Importance of maintaining the highest standards of conduct  Share in the commitment to the Secretary- General’s zero-tolerance policy  Emphasize managerial and command responsibilities

24. 24 Thank you ! Questions and Answers