- (c) to conduct a preliminary assessment of allegations of Retaliation to determine if:
- (i) the complainant engaged in a Protected Activity;
- (ii) the action alleged to be retaliatory or 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 or threat alleged to be retaliatory.
- 7.2 The Ethics Office will promptly send the complainant an acknowledgement of receipt of the complaint and seek to complete its preliminary assessment within 30 days of receiving all information requested concerning the request for Protection against Retaliation submitted. If the Ethics Office does not formally consider the request within said 30 days, the complainant may then refer the matter in writing to the Chairperson of the Ethics Panel Nations2. of the United
- 7.3 If the Director of the Ethics Office is of the opinion that there may be a potential conflict of interest associated with the Director’s review of a particular complaint, or in order to avoid even the appearance of any undue pressure or influence, the Director may refer the complaint to the Chairperson of the Ethics Panel of the United Nations for advice and guidance regarding selection of an alternate body to conduct said review. The referral.4 Director shall also immediately inform the UNDP Administrator of such
- 7.4 If the Director of the Ethics Office determines that the documentation and evidence reviewed supports a prima facie case of Retaliation or threat of Retaliation, the Director will refer the matter in writing to OAI for investigation and will immediately notify the complainant in writing. OAI will seek to complete its investigation and submit its Investigation Report to the Ethics Office within 120 days of such referral.
- 7.5 Where, in the opinion of the Director of the Ethics Office, there may be a conflict of interest or other extenuating circumstances in relation to the conduct of the investigation by OAI, the Ethics Office may recommend to the Administrator that the complaint be referred to an alternate body to conduct the investigation. If so referred, upon the conclusion of the investigation, the investigator shall issue a final Investigation Report to the Ethics Office.
- 7.6 The investigation will gather evidence to provide to the Ethics Office to aid in its independent evaluation of whether Retaliation actually took place or was threatened. However, the burden of proof shall rest with the Administration, which must prove by clear and convincing evidence that it would have taken the same action absent the Protected Activity. As such, the present Policy is without prejudice to the legitimate application of UN and UNDP regulations, rules and administrative procedures, including those governing evaluation of performance and non-extension or termination of appointment, employment or contract.
- 7.7 Both during the preliminary review stage and pending the completion of the investigation after a prima facie finding, the Ethics Office may make recommendations to the local management and/or the Administrator for interim measures to be taken to safeguard the interests of the complainant, including but not limited to, temporary suspension of implementation of the allegedly retaliatory action and/or, in consultation with the complainant, temporary reassignment of the complainant or placement of the complainant on special leave with pay. Temporary reassignment or placement on special leave with pay can only be recommended where the complainant is a UNDP staff member. In cases involving an individual who is not a staff member of UNDP (e.g., contractor) remedies may be limited to those available in that person’s particular contractual arrangement with UNDP.
- 7.8 Once the Ethics Office has received the Investigation Report, it will: