Report of the Office of the Ombudsman for United Nations Funds and Programmes (UNDP/UNFPA/UNICEF/UNOPS/UN WOMEN)

1 January - 31 December 2011

Working together to find solutions

Contents

Introduction ...... 2

I. Overview of the work of the Office from 1 January to 31 December 2011 ...... 4 A. Overview of cases ...... 4 B. Field visits ...... 4 C. UN Women – the first year and the joint experience ...... 5

II. Observations and recommendations concerning the major causes of conflict in the workplace reported to the Office of the Ombudsman for United Nations Funds and Programmes ...... 6 A. Managing with a human face ...... 6 B. Misconduct and lack of accountability ...... 10 C. Performance appraisal and management ...... 11 1. Performance-appraisal mechanisms ...... 11 2. Performance-appraisal concerns ...... 12 3. Supervisory effectiveness and performance ...... 14 D. Career management ...... 15 1. Recruitment ...... 15 2. Staff rotation and time-in-post requirements ...... 17 3. Restructuring and change-management practices ...... 18 4. One-time review process ...... 19 5. Occupational health ...... 19 6. Quality of human resource operations and services ...... 20 7. Management of benefits and entitlements ...... 21 E. United Nations Volunteers ...... 22 F. Global staff surveys ...... 23

III. Looking ahead ...... 24

!V. Annex 1. Recommendations ...... 25 Annex 2. Voices ...... 29 Annex 3. Issue definitions ...... 30

Working together to find solutions 1 Introduction

he period 1 January 2011 to 31 December New developments during 2011 included (a) the 2011 marked the first full year in service of extension of the Office services to UN Women, the Ombudsmen 1 for the Funds and which became the fifth agency to be covered by Programmes, Ms. Mame Diagne and Mr. the team and (b) a substantial rise in the number of T Helmut Buss. The motto of the Office of cases – 515 cases, a 21 per cent increase over the Ombudsman for United Nations Funds and Pro - 2010. Limited human and financial resources grammes, “working together to find solutions’’, aptly required heightened dedication and active collabo - describes the solution-oriented man ner in which the ration of the entire office team. Furthermore, in Office approached the opportunities and challenges seeking to improve the services, the Office intro - during this period. The Office is entering its ninth duced a new feedback mechanism to measure per - year of operation and it does so with increased orga - formance. Although it is still in its early stages, it is nizational support and recognition for promoting the anticipated that this process will bring new oppor - enhancement of the qual - tunities and challenges as the information is Intervention by the Office ity of life in the workplace. reviewed to draw lessons to be learned, reaffirm best Through team-build - practices, and address any outstanding concerns. of the Ombudsman does ing, coaching exercises The cases received during the reporting period and workshops held dur - revealed that the function of the Ombudsman is not and cannot replace ing the reporting period, increasingly focusing on addressing the absence of managerial accountability. the Ombudsmen carried managerial responsibility or effective procedures as a out various activities means of addressing conflict in the workplace. This is aimed at enhancing senior management’s awareness even more apparent in cases of workplace bullying, of the importance of people management, particu - harassment and abuse of authority. The absence of larly during change processes. The Office promoted managerial responsibility and adequate procedures to 1 Use of the term “ombudsman”. Originally a Swedish word mediation and facilitated discussions as an approach address bullying behaviour increases the dependence used to describe a trusted to addressing workplace issues such as abusive on informal mechanisms such as the Ombudsman to intermediary, the word entered the English language in 1872. behaviour and serious interpersonal differences. The deal with violence in the workplace. The challenging In recent years, a number of Ombudsmen found that by directly and actively question is whether the Office of the Ombudsman is variations of the term have been used to make it gender engaging larger audiences, e.g., bureaux, regional the only place to address bullying, harassment and neutral, such as “ombudsper - son”, “ombud” and “ombuds”. and country offices, the lessons were more readily abuse of authority or whether other organizational The United Nations usage, embraced and the entire staff felt personally measures can also be effective. following the language of General Assembly resolutions, empowered and encouraged. In this regard, it is important to recall the differ - is “ombudsman”, the plural of which in United Nations usage The Office increased its outreach activities, par - ence in functions, on the one hand, of the Office of is “ombudsmen”. ticipation in regional management meetings, and its the Ombudsman of the Funds and Programmes, 2 The Office web pages on the presence on the intranet sites 2 of the Funds and which operates in an informal, confidential manner to intranet sites may be found at: https://intranet.undp.org/unit/ Programmes. As a result, there is increased aware - facilitate staff and management to resolve their work - office/ombud/default.aspx for staff of UNDP, UNFPA, ness of the services and the work of the Office. The place disputes themselves, that is, fulfilling the role of UNOPS and UN Women. broader dissemination of the annual report for 2010 an organizational ombudsman, and, on the other Staff from UNICEF can view the page on this link: (both in hard copy and electronically) in English, hand, those of a classical ombudsman, whose role is http://www.intranet.unicef. French and Spanish has resulted in greater visibility to protect citizens against abuse and publicize find - org/iconhome.nsf/Site%20 Pages/Page18. for the Office. ings and recommendations. While United Nations

. 2 Working together to find solutions ombudsmen share some of the functions of the clas - need to pay closer attention to the damaging effects sical ombudsman model – a hybrid role, as noted by and to the financial, human and reputational costs the Redesign Panel – in that both are neutral, confi - of an often self-fulfilling dential and independent, there are some fundamental management and business The absence of differences. Most importantly, part of the role of the logic. These elements risk classical ombudsman is the formal investigation of standing in the way of real managerial responsibility complaints concerning administrative acts or deci - results in advancing the sions of government agencies. This is not the role of United Nations mission and adequate procedures an organizational ombudsman, who has the mandate and ideals, which are the to fact find informally but cannot carry out formal reason most colleagues to address bullying investigations. As a result, the conclusions of an orga - chose to work for the behaviour increases the nizational ombudsman do not constitute administra - Organization. It is essen - tive decisions and cannot form the basis for tial that courage, vision, dependence on informal administrative action. Nevertheless, employees creativity, common sense, increasingly request the Office to look into the con - integrity and trust in expe - mechanisms such as the duct of an abusive colleague or the process of deci - rience and skills regain Ombudsman to deal with sion-making on the part of management even when value. This also means that it is clear that any action taken by the Office cannot technical experts must violence in the workplace. lead to formal redress. Intervention by the Office of have higher recognition the Ombudsman does not and cannot replace mana - and career opportunities in their respective fields. gerial accountability. The implications of misconduct Phrases such as business-process re-engineering, and the lack of accountability are considered in cost-benefit analysis, evaluation, risk analysis, greater depth in section II.B. of the present report. change management, measurement, quality control, The Office continues to observe a trend in which performance, have become part of daily life at work management and business logic seem to take over in the Funds and Programmes. The effects of these control of the work environment at the expense of activities consume a considerable amount of time of enabling staff to make a difference in the lives of the the Office of the Ombudsman every day. While people the United Nations is working for. Senior many in positions of authority claim that such man - management claims that the workforce is the organi - agement tools make work more efficient and lead to zation’s most valuable asset. This claim does not better quality results, the Office of the Ombudsman sound very convincing, however, in an environment suggests that the jury is still out. that gives higher priority to rules and control mecha - The Office of the Ombudsman does not suggest nisms (closely knit and implemented by managers and a sudden exit from management and business logic, consultants) than trust in the judgment, common recognizing that these tools have become an integral sense, experience, skills and integrity of the people part of public administration and stakeholder sup - doing the job. The Office listens daily to colleagues port. However, the senior management of the UN who suffer from side effects of that business logic, be Funds and Programmes, as employers of choice, they stress, exhaustion, or de-motivation. should pay closer attention to the damaging effects The senior management of the United Nations and costs of management and business logic that are Funds and Programmes, as employers of choice, often self-serving and self-fulfilling.

Working together to find solutions 3 Chapter I Overview of the work of the Office from 1January to 31 December 2011

A. Overview of cases Figure 1. Cases received from 1 January to 31 December 2011 The Office of the Ombudsman for the Funds and UNOPS 3 20 Programmes dealt with a total of 515 cases in the OTHER 4% period under review. This represents a 21 per cent 6 UN 1% WOMEN increase in volume from 2010. A major contributing 21 factor to the increase in cases was the Office’s out - 4% reach activities, which led to a greater awareness of UNICEF 116 the services offered. Figure 1 shows a breakdown of 23% the numbers of cases by organization. Two main categories accounted for a large part UNFPA UNDP of the issues brought to the attention of the Office 68 284 of the Ombudsman: (a) evaluative relationships – 13% 56% 28 per cent and (b) job- and career-related issues – 28 per cent. The latter category has risen consider - ably over the years relative to all other categories. The key issues relating to both these categories are discussed in section II.C. and II.D. respectively Note: Other includes cases from other UN agencies. B. Field visits

In response to conflicts brought to their attention, Figure 2. All cases, 2011, country offices the Ombudsmen visited a total of 12 countries in vs. headquarters four regions. They organized several town hall meetings about the work of the Office of the Ombudsman attended by staff and management. In addition, the Ombudsmen conducted training ses - HQ sions on conflict resolution for country teams of the 132 3 Human resource departments report the numbers of staff organizations served. The Ombudsmen were 26% as of May 2012 as follows: encouraged by proactive measures taken by employ - UNDP: 8,184; UNFPA: CO 2,304; UNICEF: 11,382; ees and management alike in some country offices UNOPS: 866; and UN 383 Women: 502. These numbers to promote alternate dispute resolution and fairness 74% do not include the total num - in the workplace. Figure 2 shows a breakdown of ber of non-staff personnel (consultants, service contract cases that the Office received at headquarters and holders, interns, United those they received from country offices. Nations volunteers) whom the Office of the Ombudsman also serve. Non-staff account for 17 per cent of the cases handled by the Office of the Ombudsman during the reporting period.

4 Working together to find solutions C. UN Women: the first year and the joint experience

On 2 December 2011, the Ombudsmen had the privilege of addressing the staff of UN Women in one of the first town-hall meetings that took place in that organization. Created in July 2010, UN Women brought together four different organiza - tions to deliver jointly on programmes relating to women empowerment and gender equality. The Office of the Ombudsman for United Nations Funds and Programmes is itself inter-agency in nature and can therefore draw upon its experience in harmonizing practices, logistics and cultures in the workplace. In this spirit, it looks forward to pro - viding services to UN Women as the organization moves forward.

Working together to find solutions 5 Chapter II Observations and recommendations concerning the major causes of conflict in the workplace reported to the Office of the Ombudsman for United Nations Funds and Programmes

A. Managing with a human face affecting entire offices. Figure 3 shows a breakdown of cases that dealt with organizational, leadership The responsibilities of managing and leading an and management issues. The figure demonstrates international workforce are complex and demand - that the majority of cases in this category concerned ing. The Ombudsmen are pleased to report that the quality of leadership and management. they have met many managers in the United The Ombudsmen commend the Funds and Nations Funds and Programmes who achieve great Programmes for their response to the need for success and whose staff respond with equal dedica - training to equip managers to operate effectively tion to fulfilling the mandate of their organizations. and successfully in the modern office. In particular, Nevertheless, a number of cases have come to the the resident coordinator assessment programme and attention of the Office of the Ombudsman where, coaching opportunities for those who assume the for a variety of reasons, managers have not been able highest degree of leadership and management in the to discharge their duties and responsibilities in an organizations are particularly relevant. Workshops, effective, acceptable manner. The results have online courses and mandatory online certification – ranged from severe interpersonal problems involv - for example, in the areas of gender, mediation and ing perhaps two or three people, to a near break - ethics – also play an essential role in meeting the down of communications and mutual respect challenges and raising self-awareness of personal

Figure 3. Organizational, leadership and management

Leadership and management 29%

Abuse of authority/positional power 26%

Organizational climate/morale 25%

Restructuring and relocation 7%

Organizational communication 5%

Organizational culture 3%

Other 3%

Change management 2%

0% 5% 10% 15% 20% 25% 30% 35%

6 Working together to find solutions management styles, which is critical for anyone the office, surrounded in cocoon fashion by a few seeking to manage with a human face. trusted allies. The Ombudsmen have noted a num - Successful leaders and managers in the United ber of effects of this. Most importantly, teamwork Nations are able to combine the requisite knowl - becomes less efficient edge of the regulations and rules of the system, because the great majority It is only through working rapid and effective responses to the pressing needs of staff members feel aban - of the international agenda and effective leadership doned and soon form the as a team that an office with a human face. That is to say, they treat the opinion that they are not members of the team with respect not only for indi - among the elite favourites. can achieve the most vidual attributes that have an impact on workplace Next, individuals feel that impressive results for the relationships but also for the standards of the inter - they can no longer engage national civil service. It is most important to in effective dialogue with people and communities remember that it is only through working as a team management because their the Funds and Programmes that an office can achieve the most impressive views seem to be automat - results for the people and communities the Funds ically discarded. In addi - are serving and for which and Programmes are serving and for which the tion, trust breaks down and Member States pledge public money. staff form a negative the Member States In those offices where standards of respect, effi - impression of the manager, pledge public money. ciency and effectiveness fall short of what is expect - an impression that is very ed from the United Nations, the Ombudsmen have difficult to overcome when remedial action is need - noted a number of contributory factors. ed to restore balance and efficiency in the office. First, the head of the office or the manager may Figure 4 shows the complex elements involved in in many ways have become isolated from most of building trust in the workplace.

Figure 4. Characteristics of trust

Positives

Application Choice Organization Trust Yourself Intelligence Openness Predictability Desperation Open, Respectful s Time r Enforced Rules Personal Integrity Communication e Collaboration v

i Transparency r Visionary Expertise Inclusive

D Shared Values Confidence Shared Events Consistency “Walk the Talk”

Organizational Personal Internal Climate State Capability Behaviours

Fragmentation/ Ambition Inability to Cynicism Communicate Silo Insecurity Disingenuous Miscommuni- Pressure Desire for Power Superficial s cation r No penalties Subscription e Selfishness

y for incivil Stupidity Favouritism o

r behavior Vulnerability

t Professional Prejudice s

e Stress Incompetence

D Hidden Agendas

Negatives

Adapted from Leadership and Trust Consortium project (www.toscagroup.com)

Working together to find solutions 7 Second, the Ombudsmen have found that when ization. The Ombudsmen have found in all the managers isolate themselves, general communica - regions they have visited in the reporting period tion in the office can take on the aspect of imperi - that staff of the Funds and Programmes enjoy a ous commands and ultimatums. The word comes sense of belonging to an organization whose charter from on high and the expectation is that staff will and mission guarantee equality of treatment. It is obey. This is far from the work ambience established when these principles are violated that staff feel a by those managers who seek out the views and input sense of disappointment, even outrage, that their of their staff on a collaborative basis. Striking exam - managers have contravened basic tenets. At such ples come from the United Nations country teams: times, they have turned to the Office of the the Ombudsmen have received complaints from Ombudsman seeking redress. members of the team – who are themselves heads of The Ombudsmen recognize that assuming a agency in the country – that the Resident Coordi - position of authority in the Funds and Programmes nator behaves more like a resident supervisor. is no easy task, especially in a new duty station. Instead of giving equal time to the members of the There is a temptation to become very friendly with team for professional, informed discussion on a few staff members at the expense of other staff. In emerging or ongoing projects and plans, the Resi - some cases, a staff member may offer personal serv - dent Coordinator may act in what other team mem - ices – assistance with housing, buying a car, finding bers perceive as a rude, perfunctory manner, pushing domestic help – to ease the transition of the new an agenda that may favour manager. Unfortunately, there are cases where a staff one agency or reflect a member may expect professional recognition (pro - Good management personal agenda. motion, special treatment) in return for personal makes all the difference A further aspect of the services. In the experience of the Ombudsmen, it is problems caused by advisable for a new manager or head of office to between, on the one hand, authoritarian leadership make sure from the outset to treat all staff with the and management isola - same respect and to avoid any signs of favouritism. the staff understanding the tion concerns decisions In some cases where a personal bond, or at least the process and accepting that have to be made in appearance of a personal bond, has developed very accordance with United quickly (perhaps the new manager was lonely and the tough decisions – Nations regulations or was trying to make friends, with no ulterior policy directives from motive), a feeling of betrayal may ensue when the however reluctantly – and, agency headquarters. In time comes to draw a line between personal and on the other hand, openly those cases where there is professional obligations. The Ombudsmen have continuous, open dialogue found that this can give rise to almost intractable rejecting the decision and at all levels in the office, problems in the office that can affect a large part of the decisions are shared, the workforce. Far from recommending a cold, escalating the issue. thus dispersing any notion impersonal approach, the Ombudsmen wish to that the manager has signal that those leaders who manage with a human acted on a whim. This approach is vital in situations face succeed in maintaining respectful, cordial and where budgetary constraints require that posts be effective relationships and do so in the most cut and projects discontinued. In the experience of challenging duty stations. the Ombudsmen, good management makes all the Managing with a human face also entails profes - difference between, on the one hand, the staff sional respect for the whole person. The understanding the process and accepting the tough Ombudsmen received a number of complaints in decisions – however reluctantly – and, on the other the reporting period regarding sexual harassment hand, openly rejecting the decision and escalating or inappropriate behaviour. Clearly, allegations of the issue. sexual harassment are subject to formal investiga - Open dialogue and an office environment where tion as a form of misconduct. Nevertheless, as all members of the team can readily express their advised by the current policies on harassment in the opinions with due respect are factors that also help Funds and Programmes, staff may consult an everyone to acknowledge and understand the fact ombudsman to talk things over and examine that the United Nations is a highly regulated organ - options in a safe environment. On some occasions,

8 Working together to find solutions it is possible for the Office of the Ombudsman to with the privilege of serving the United Nations point to some options of action that may be help - comes the responsibility to adhere to the code of con - ful. For example, a staff member may be pressured duct for the international civil service. This would to engage in sexual activity to guarantee a good provide a different, proactive aspect from that of the evaluation – or to prevent a poor one. In these periodic reports on disciplinary action taken by the cases, it can be very helpful for the staff member to organization. Such reminders, covering different know how to deal with unethical and illegal aspects – mutual respect in the workplace, equitable demands in strict accordance with organizational treatment, and ethical behaviour – would build on policies and to be able to seek advice in a confiden - the sense of vocation that motivates the overwhelm - tial setting. In other situations brought to the ing majority of staff members. attention of the Office, there may be a physical The organization could also arrange for town- relationship between the manager or head of the hall meetings, mandatory leadership and manage - office and an employee. While it can be argued that ment training, workshops, retreats, brown-bag consenting adults may engage in any form of legal lunches to cover one aspect at a time of the successes relationship they choose, a liaison between a man - of managing with a human face while analysing the ager and a staff member within that manager’s line obstacles that prevent it. of authority can have very damaging consequences The Executive Heads could send a clear signal to for many people in the office. For example, the abrasive managers that their behaviour must change Ombudsmen have been notified of situations and require that the administration make more where a staff member who is in a personal liaison pro active use of the Global Staff Survey to address with a manager has attempted to wield in the office inappropriate managerial behaviour power gained from the liaison. The result is resent - On the recommendation of the Ombudsmen, ment from those staff members who suffer from the administration could arrange for a management this sharing of power, which can be used to settle review that would bring to light the complaints old scores or to reorder authority in the office. received by the Office of the Ombudsman. It is Unfortunately, in situations of this kind, staff are important to note here that when an ombudsman very rarely willing to contemplate any action going signals, from confidential information, that a serious beyond a confidential conversation with an situation is pervading an office, s/he always does so ombudsman. This is far from satisfactory: the indi - in a way that will protect the identity of those who vidual visitor may identify options to deal with the have been courageous enough to speak out. situation but the general atmosphere in the office remains unchanged. It is sometimes possible for the What can the Ombudsman do? Ombudsmen to recommend that a management There are a number of approaches the Ombudsman review be undertaken in view of the complaints uses, depending on the complexity and seriousness received by the Office; however, managers who of the case, the number of staff involved and the engage in quid pro quo arrangements may have willingness of staff to engage in action beyond that taken elaborate precautions to protect themselves of speaking to an ombudsman. For example, if the while behaving unethically. These measures include Office receives complaints from a large (sometimes the threat of retaliation, which can be extremely overwhelming) number of staff in an office, the powerful in an organization whose employees Ombudsman may decide that an onsite visit should depend on their work not only as a livelihood but take place as soon as possible. On arrival, the also on the visa that allows them and their families Ombudsman will hold a general meeting of all staff to remain in the country. and management to explain the work of the Office and to invite staff to consult with the Ombudsman What can the Organization do? in strict confidentiality. The Ombudsman gathers Managers and staff at various levels have recom - information (and it is has always been the case that mended to the Ombudsmen ways in which senior staff come willingly and in large numbers to speak management may help in this area. For example, it with the Ombudsman)that gives an overall picture could be very effective if from time to time the Exec - of the difficulties facing the work unit and makes it utive Heads send global messages not only of encour - possible to present options for a way forward. This agement for achievements but also reminders that may be in the form of an action plan or it may be a

Working together to find solutions 9 realization that something needs to be done that dating, hostile or offensive work environment are will require united action. prohibited in all organizations. Nevertheless, free - The Ombudsman may also engage the individual ing the workplace from such violent behaviour senior manager or managers perceived to be con - requires more action from the organization than tributing to the conflict in a dialogue where options policy formulation. It requires that leadership take can be examined and where the crucial role of office responsibility to hold those who engage in harass - leadership can be confidentially and effectively ex- ment and abuse of authority accountable for their plored. Managers often welcome the opportunity to behaviour. Indeed, the Office of the Ombudsman is look at themselves constructively in the non-threat - often surprised to read annual reports on discipli - ening environment that the Ombudsman creates. nary measures for misconduct only to find that It may be that a staff member feels threatened by there are few or no cases involving staff members the manager and is unwilling to go further than to who have been reprimanded for harassment and speak with the Ombudsman out of fear of retalia - abuse of authority. Furthermore, organizational tion. Here, the Ombudsman can coach the staff reluctance to hold some of its staff accountable for member into understanding that there are ways in inappropriate behaviour has a disastrous effect on dealing with the situation without confrontation or mechanisms that are designed to protect against escalation. This can be a very difficult, protracted retaliation. Staff have little confidence that the process for the staff member and one that requires organization will protect them from retaliation if skill and patience on the part of the Ombudsman. they report such behaviour. Throughout these processes, the Ombudsmen The Office of the Ombudsman has further show that they are objective and independent. They observed that staff are becoming more outspoken also show that they are not an advocate for either about reporting misconduct informally. When the party in the dispute but that they do work to help to Office brings the report of misconduct to the atten - bring about resolution in an equitable manner. tion of senior management, the response is usually that management cannot intervene if a formal com - B. Misconduct and lack of accountability plaint has not been instituted. The procedures and policies that organizations have to deal with mis - The values that are enshrined in the United Nations conduct do not allow the administration to inter - charter: fundamental human rights, social justice, vene unless a formal complaint has been made. It the dignity and worth of the human person and should also be pointed out that bullying, although respect for the equal rights of men and women of not specifically mentioned in harassment and abuse nations great and small should apply not only to of authority policies, is more prevalent than sexual the Member States but also to employees who are harassment in the organizations served. It is one of contracted to serve on behalf the most serious forms of inappropriate behaviour Freeing the workplace of the United Nations. The in which people can engage without much risk of concept of integrity pro- being held accountable. During the reporting peri - from such violent moted by the charter of the od, many staff complained to the Ombudsmen behaviour requires United Nations embraces about bullying in the form of verbal abuse, includ - all aspects of behaviour, ing threatening, intimidating and humiliating more action from including behaviour in the behaviour. This behaviour often emanated from workplace. supervisors and senior management. The organiza - the organization than Misconduct is reported tions are often reluctant to confront abusive man - policy formulation. through various established agers as more often than not they are considered mechanisms. The organiza - indispensable because of their reputation for good tions to which the Office of the Ombudsman pro - programme delivery. Inertia on the part of senior vides services have legal frameworks that prohibit management in situations where misconduct is behaviour such as harassment, sexual harassment informally reported has devastating results: unad - and abuse of authority. Words, gestures, or actions dressed misconduct often causes low morale, that tend to annoy, alarm, abuse, demean, intimi - reduced productivity, high attrition and high pre - date, belittle, or cause personal humiliation or senteeism. Bullying in particular can cause depres - embarrassment to another or that cause an intimi - sion and stress disorders and has a severe impact not

10 Working together to find solutions only on employees but on their children and family, addressed through informal mechanisms. There is no sometimes resulting in suicidal thoughts, which clear-cut answer and every case must be reviewed on some staff have mentioned to the Ombudsmen. its own merits. In any event, the involvement of the Ombudsman is more effective and has a higher prob - What can the Organization do? ability of success if the Office is contacted during the It is costlier to leave misconduct unaddressed than it early stages of a disagreement. is to explore solutions to address the misconduct in The Office continues to offer itself as a tool to the first place. A toxic work environment brings out help staff and management who are dealing with the worst in employees and has high implications difficult personalities in the workplace, for example, for the reputation of the organizations. Addressing by coaching abrasive managers to adopt a more misconduct such as bullying relies heavily on strong appropriate style. In doing so, it draws from its leadership. When the Funds and Programmes experience of instances where systemic solutions recruit leaders, they should emphasize not only the have been found to deal successfully with harassers need for technical abilities but should also require and bullies in the workplace. The Office continues evidence of understanding, tolerance and integrity to be a resource to incorporate system-wide change in the workplace. to eradicate violence in the workplace. The organizations should act promptly when there are valid reasons to suspect that harassment C. Performance appraisal and and abuse of authority, including bullying, are tak - management ing place in an office even when formal complaints have not been made. In this context, the organiza - 1. Performance-appraisal mechanisms tions should consider bullying as a form of harass - ment requiring specific measures of protection. All the Funds and Programmes have performance- The organizations should do more to ensure that appraisal mechanisms through which all staff are those who report inappropriate behaviour are pro - appraised on an annual basis with some attention tected from retaliation. They should also address mis - paid to work plans, measurement of results, and conduct in a systemic way. For example, the Office identification of training needs. In some instances, has observed that bullying, harassment and abuse of there is acknowledgement for a focus on career pro - authority by a manager are usually not isolated inci - gression. Organizations also have provisions for dents in one particular office. It is highly likely that staff to rebut the findings of the appraisal in cases of an abusive manager has repeated the same pattern of serious disagreement. There is, however, little or no conduct in all assigned duty stations. The organiza - standardization of procedures and policies. Thanks tions should put in place programmes that specifi - to the organizational similarities between the Funds cal ly address misconduct in the workplace with and Programmes, there are opportunities for close special emphasis on the root causes of bullying. collaboration to improve the policies and proce - Leaders can support such programmes through men - dures used for appraisal. While the individual char - torship opportunities and by demonstrating behav - acteristics of each organization must be taken into iour that inspires other colleagues. consideration, certain areas lend themselves to joint The organizations should put systems in place action, for example: rebuttal mechanisms, pilot for the active, periodic monitoring of sick-leave projects for new systems, use of technology, and for - data, which will allow them to identify potentially mulation of training plans. risky situations arising from inappropriate manage - Appraisal instruments are developed, used for a rial behaviour. They should then follow up on time and then reformed, usually over a three- to their findings with visits to offices with high absen - five-year period. This is costly in staff time and teeism due to sick leave in order to ascertain effort both on the part of human resources units, whether the work environment is affected by man - who oversee the development, and on the part of agerial misconduct. staff, who have to learn the new procedures. While it is commendable that the organizations seek to What can the Ombudsman do? improve their appraisal efforts either through sim - The question is whether behaviour such as bullying, plification or by use of new technology, there is harassment and abuse of authority can be adequately often not enough attention paid to ensure that the

Working together to find solutions 11 process is managed properly. If there is insuffi- with the rebuttal panel (or whichever mechanism is cient managerial and logistical support for a new used) to check on the status of the rebuttal and performance-appraisal mechanism, neither staff nor report back to the staff member. management will take it seriously and any positive results may be minimized. 2. Performance-appraisal concerns It is apparent from cases during the year that staff members have little awareness of what to do Staff concerns regarding performance appraisal when there is serious disagreement on performance have made up a significant part of evaluative rela - appraisal. Often they do not even know that they tionship issues since the establishment of the Office can rebut the findings of the performance appraisal. of the Ombudsman. The Ombudsmen continued to By the time the assistance of the Ombudsman is deal with this type of case in 2011. During the sought, it may be too late to intervene. There is even reporting period, 31 per cent of the cases with confusion about whether or not to sign the per - which the Office dealt involved respect and treat - formance appraisal when there is disagreement. ment in the workplace. Once again, the Office heard that performance-evaluation mechanisms are What can the Organization do? often used as an instrument to subject staff to No system change can work if people who operate harassment, belittling and isolation. A full break - it do not change. In this case, an organizational cul - down of the issues within the evaluative relationship ture of feedback is needed as a requirement for category is provided in figure 5. effective performance appraisal. Organizations should increase the use of internet-based tools to Figure 5. Evaluative relationship issues obtain continuous feedback from staff on perform - ance-appraisal processes and mechanisms. Reputation 2% Team climate In view of the costs of revamping performance- and morale appraisal systems, justification is important. The first 8% concern should be whether the change embodies real improvement or whether it is change for the sake of Performance appraisal change. Any new system should focus on simplifica - Respect/ treatment and grading tion and it is critical that new systems not be intro - 31% 14% duced too often. It is equally critical that all staff understand the Interpersonal di!erences new system. The Office of the Ombudsman receives Performance 16% staff members who are completely unaware of their management and feedback rights in cases of disagreement over ratings or 20% appraisal statements. A trial period and thorough ori - entation are absolutely necessary. Communication 9%

What can the Ombudsman do? The Ombudsman can offer informal coaching to both staff member and supervisor in cases of dis - Closely related to the process of performance agreement to ensure that both are fully aware that appraisal is feedback on performance. This remains the appraisal can be completed and signed even if a persistent problem and in many cases still seems to both parties do not agree with some parts of the be neither timely nor thoughtful. Staff members appraisal. While the Ombudsman cannot intervene still complain that they thought that they were directly, the staff member can be informed of the doing a good job only to hear at the very end of the right to rebut and advice can be offered to ensure reporting period that the supervisor is dissatisfied. that this is done in a timely fashion. Tips on prepar - Feedback should not be a one-time event but some - ing an appropriate rebuttal can be offered in an thing that happens regularly during an assignment. informal manner without compromising the Several cases during 2011 had elements of inappro - process. When the rebuttal process is unduly long, it priate behaviour where managers refused to speak to is within the mandate of the Ombudsman to check the supervisee let alone give timely feedback for the

12 Working together to find solutions performance appraisal. At this point, the appraisal members have little awareness of what to do when process is akin to harassment, bullying or abuse of there is serious disagreement on the performance authority. Supervisors or managers may lay the appraisal and the contract is about to expire. By the groundwork for this kind of behaviour by isolating time the assistance of the Ombudsman is sought, it the staff member, humiliating the staff member in may be too late to intervene. meetings or other office situations and exhibiting other sorts of undermining behaviour. This can What can the Organization do? result in having a ripple effect throughout the office, The Funds and Programmes should reinforce their causing fear and a drop in productivity even on the efforts to strengthen the performance-evaluation part of other staff members. process as a career-management tool. Supervisors The performance-appraisal process is also used must use it not only to when steps are being taken not to renew the staff motivate underperformers member’s contract. What is perceived as poor per - but also to recognize and If there are performance formance is not sufficient for non-renewal of a con - increase greater profes - issues, then the staff tract, particularly when news of it comes as a sional achievement in the surprise at the very end of the contractual period. workplace. member should be made Such cases demonstrate very clearly why regular Clear instructions and feedback is essential. If there are performance orientation on rebuttal aware of them as soon as issues, then the staff member should be made aware procedures should be possible, with an opportunity of them as soon as possible, with an opportunity to widely disseminated to improve. This process can be as simple as establish - staff. It is not enough to to improve. ing a monitoring timetable with specific tasks or share this information at further training to be undertaken. Documented evi - the end of the performance-appraisal cycle. Staff dence over time is required to establish grounds not should familiarize themselves not only with the per - to renew a contract based on underperformance. formance-appraisal mechanisms but also with the Formal rebuttals can be used effectively when practices and steps involved when there are serious there is unresolved disagreement over the contents disagreements on performance appraisal. of the appraisal document. In this context, staff The Executive Heads should hold supervisors members must remain aware that if they disagree accountable for completing the performance- with the supervisor’s appraisal, it is not enough sim - evaluation process and should institute monitoring ply to write some non-specific comments at the systems to ensure that performance-evaluation time of signing off on their appraisals: this is the mechanisms are not being used as in instrument to only opportunity for a staff member to go on record harass staff. with his/her account of the situation. In spite of the general streamlining of the rebuttal procedures in What can the Ombudsman do? the Funds and Programmes, there is an indication Without the creation for proper procedures to deal that many staff members remain unaware that this with abusive managers, there is little that the Office is a right or, in some cases, that they do not know of the Ombudsman can do to stop the practice of that the process exists. There is also confusion about using performance management as a tool for harass - whether or not to sign the performance appraisal ment. The Office is a safe place for managers and when there is disagreement. In smaller offices, staff alike to share confidentially experience of there is a concern that the panel – or whatever harassment and to obtain coaching on how to deal mechanism is used to handle rebuttals – may not be with abusive situations. neutral. Indeed, sometimes the manager who has The Office has mediated in a number of cases given the appraisal in question might also be a where the conflict arose from differences between member of the rebuttal process. supervisees and supervisors over performance Rebuttals can also be difficult to carry out when appraisal, providing both parties the opportunity to they come near the end of the contract: the manag - express their own comments and arguments in the er may not respond in a timely fashion, which puts presence of a neutral third person. In the course of the staff member at a distinct disadvantage. It is discussion in most of these cases, new points and apparent from such cases during the year that staff issues were discovered that the parties had not pre -

Working together to find solutions 13 viously raised but which proved relevant in seeking of its judgement UNDT/2011/007 that, “there is an a solution. As a result, agreement was reached emerging jurisprudential thinking that when a through mediation and, in some cases, the com - contract is not renewed or terminated reasons must ments and even scores of the performance appraisals be given to the concerned staff member so that he or were modified. she is in a position to take any actions as he or she deems fit”. 3. Supervisory effectiveness It is, therefore, essential for the staff member and and performance the administration to be aware of well-documented evidence of bad performance. When contracts are The Office has addressed a number of disputes aris - not renewed on account of unsatisfactory perform - ing from poor supervisory and management skills. ance, it is incumbent on the organization to follow Staff often request assistance on how to deal with due process. managers who have poor supervisory skills or who are not able to convey proper leadership in the What can the Organization do? workplace. Some staff have complained that their Dramatic changes in performance do not normally performance has been unfairly criticized by new occur when a new supervisor assumes duty. When a supervisors whereas they had always performed well difference is observed between former, documented in the past. good performance and present apparent perform - In such instances, the staff members do not ance, the new supervisor should make a special accept that the supervisor is being fair in the assess - effort to understand why there is a discrepancy. It is ment when there is clear evidence of previous good useful to check with the former supervisor and to performance. This creates mistrust in the work - make sure that effective communication channels place, especially when new managers supervise are in place between the supervisor and the super - long-serving staff members with years of experience visee. If the new supervisor has different expecta - in the same office. However, sudden negative per - tions, they must be made clear to the supervisee. formance assessments do not necessarily mean that The organization should always be concerned the supervisor has poor managerial skills. In some and investigate why a long-serving staff member instances, the Ombudsmen have discovered that with satisfactory performance has been downgrad - the staff member had had poor performance for a ed, especially when there has been a change of long time prior to the new supervisor’s assessment. supervisor or a reorganization of the office. There This is not always apparent from the performance should be more emphasis on accountability not to evaluation itself owing to vagueness and lack of give vague, dishonest feedback and to manage honest feedback from the previous supervisor. The unsatisfactory performance effectively. staff member has essentially been parked in that Performance evaluations should be completed in particular office because of a lack of will on the part a timely manner and always before the end of a staff of the supervisor and the organization as a whole to member’s contract to ensure that the administrative deal with the staff member in an honest, transpar - process is fair and to allow time for a rebuttal if ent way. needed and to apply for new positions. In addition, the Office has observed that in cases of poor performance, supervisors sometimes let staff What can the Ombudsman do? contracts lapse with no further explanation being The Ombudsman can listen to all parties concerned given to staff other than the fact that staff have no and facilitate dialogue between the new supervisor expectancy for renewal. Sometimes contracts lapse and his or her supervisee. before a final performance evaluation has taken The Office can also coach a staff member facing place. There may be no expectancy of renewal but, as performance problems in ways to communicate noted above, it is good practice and makes business clearly in a non-aggressive manner to help to resolve sense for management to communicate openly with the conflict. In these situations, the Ombudsman staff, particularly in cases of poor performance. It is sometimes has to remind staff that the assistance important to note in this context that the United they receive from the Office may not yield the Nations Dispute Tribunal has ruled in paragraph 28 results that they want.

14 Working together to find solutions D. Career management cession planning, reorganization and change- man - agement processes. Other elements that have an The link between career management and organiza - impact on career manage - tional efficiency is not a new concept. Optimal ment include the quality of Optimal organizational organizational performance is increasingly depend - human resources and oper - ent on an efficiency-driven workforce that is profes - ations services, the one- performance is increasingly sionally fulfilled. Thus, career management is of time review process and its paramount importance to the individual staff mem - impact, restructuring and dependent on an efficiency- ber as well as to the organization. Managing careers succession arrangements. driven workforce that is has become even more critical in view of the gener - Unless all these aspects of al trend away from long-term appointments and the career management are professionally fulfilled. different, sometimes inconsistent, career-manage - handled in a comprehen - ment policies across organizations. It is more usual sive, accountable and transparent manner, guided by to hire staff for shorter-term, specific assignments appropriate policies and procedures, there will be without the expectation of a career in the Funds and serious repercussions and threats to the viability of Programmes. There is an absence of effective the organizations. career-management policies in the form of ongoing During the reporting period, 26 per cent of cases dialogue between the administration and staff brought to the attention of the Office concerned job members on their future in the organizational and career-related issues. A breakdown of the issues workforce, a lack of learning opportunities and little within the job- and career-related category is pro - support in identifying alternative employment out - vided in figure 6. side the organization. All this causes uncertainty and creates disgruntled, unhappy staff, leading to 1. Recruitment low morale, lack of motivation, reduced productivi - ty and in some cases departure. Finally, the organi - The Ombudsmen welcome the attempts that all zations will not be seen as employers of choice and organizations are making to ensure that recruitment will not attract talent. for a position in the United Nations is a transparent, Overall career management is affected by many rigorous and equitable process. Nevertheless, it has important components of organizational policy and come to the notice of the Office that there continue practice, including recruitment, vacancy manage - to be lapses in adhering to the high standards expect - ment, staff rotation, time in post, tours of duty, suc - ed of the United Nations. In some cases, shortlisting,

Figure 6. Job- and career-related issues

Job application/selection and recruitment processes 26% Career progression and opportunities 19% Terms and conditions of contract 13% Non-renewal of contract 13% Termination 5% Rotation and duration of assignment 3% Abolition of post 5% Post classification and description 5% Involuntary transfer/change of assignment 4% Career development 3% Loan/secondment/transfer 2% Special leave 1% Retirement process 1%

0% 5% 10% 15% 20% 25% 30%

Working together to find solutions 15 or even longlisting, does not always screen out appli - sion that the United Nations is an impregnable cants who do not possess the educational qualifica - fortress, the Ombudsmen have offered brief, con - tions, skills and competencies set out in the vacancy structive options to such candidates. announcement while screening out candidates who do possess those qualities. What can the Organization do? There is some variation across the organizations The Funds and Programmes do revise their regarding the interview process. The Ombudsmen approaches to recruitment on a regular basis. believe that an effective recruitment process should However, it may be productive to share experience take into account a candidate’s proven professional with a view towards harmonizing recruitment pro - record, the recommendations of supervisors and cedures further, especially in view of the system- other references, and performance during the inter - wide adherence to competency-based interviews. view. The weight given to each of these components The approaches to vacancy announcements (which seems to vary. An effective screening process will pro - are not always clear), shortlisting and longlisting, duce a roster of candidates for interview who meet and the interview process, for example, require stan - the professional and technical requirements. The dardization of procedures. Thereafter, it is essential interview will enable panellists to recommend the to follow the procedures in force to the letter other - candidate who performs best in that setting. In this wise staff – and external candidates – will lose faith. scenario, the Ombudsmen understand the rationale In order to ensure that the recruitment process behind a competency-based interview. However, it is results in the hiring of a suitable and appropriate difficult to understand why the interview sometimes candidate, it is essential that interviews be conduct - carries so much weight. The Office has received com - ed: organizations must insist that interviews are plaints from staff members who have failed to secure conducted for every vacancy. In addition, personali - a new position and have received feedback not only ty assessments should be used more systematically that they did not do well on the interview but also by human resource managers to obtain a complete that the successful candidate was selected on the basis profile of the candidate. This would allow for a of performance in the interview. When there is a comprehensive assessment of the candidate. convergence of disturbing factors regarding shortlist - The organizations should provide constructive ing, the interview process and final-selection criteria, feedback on the interview process for every candi - some staff members have understandably raised con - date, successful or unsuccessful who requests it. cerns about the ways in which recruitment is some - It has been the practice in some organizations to times carried out. offer staff members coaching for competency-based In addition to the points above, the Ombudsmen interviews. While acknowledging the value of infor - frequently hear that a post has been earmarked for a mation disseminated on United Nations competen - preferred candidate before the recruitment process cies, the Ombudsmen view this as somewhat begins. It is not unusual for staff members to try to problematic: are there special techniques that can be ascertain whether a vacancy is real in the sense that a taught for an interview that have no professional transparent process will ensue. The Ombudsmen relevance beyond the interview? What happens if appreciate that a staff member with a proven record some staff members have benefited from training may be a very attractive candidate for a post; never - and some have not? Does this create an unfair theless, in the United Nations, recruitment must fol - advantage for those who have? How can the organ - low the prescribed route, thus ensuring a fair chance ization guarantee equality of opportunity? Have the for all candidates to compete equally. members of the interview panel received adequate External candidates have also contacted the training for such an important task? How are the Office of the Ombudsman to register concerns and members selected and should the supervisor be on complaints about the recruitment process. While the the interview panel? (Organizations have wavered services of the Office are, strictly speaking, offered on this, with some requiring the presence of the only to staff members and former staff members, the supervisor and others categorically not allowing it.) Ombudsmen understand the frustration that some The Ombudsmen raise these questions from staff external candidates experience in not being able to members in the hope that the organizations will access any further information after their candidacy take them into consideration in the design and has not been successful. Rather than give the impres - application of interviews.

16 Working together to find solutions What can the Ombudsman do? their initial recruitment has caused conflict, especial - The Ombudsman has been able to assist in seeking ly when staff want to apply for other positions or clarification regarding the recruitment process, move to another duty station after two-to-three years including requests for feedback from unsuccessful of service. The organization refuses to consider them candidates. The latter are sometimes reluctant to for other position, citing the rule of required time in approach human resource specialists and the post or tour of duty at the location. There is a lack of Ombudsman is able to dispel any fear that requests clarity and information given on the implementation for information may have negative effects. In some of time-in-post requirements in some organizations. instances, staff are able to move ahead in the job Staff are put in a situation where they wish that they search after articulating their concerns to the had been unequivocally informed of the requirements Ombudsman, who may be able to provide options to move duty stations prior to accepting their posi - that have not occurred to the staff member. The tions and not after they have accepted the new post. Ombudsman recommends open dialogue with a In such situations, it is important to recall a well- representative of the human resource units when - established principle of equity – it is unfair to appor - ever this is possible. tion equal treatment to people whose situations are Experience has shown that the Ombudsman can not equal. The application of policy should take provide a platform to reflect with the visitor on cognizance of varied situational contexts. For exam - opportunities for career-path changes opportunities ple, the decision to uniformly extend the time in post both within the organization and outside. for all duty stations ignores the fundamental reason why there There is a need 2. Staff rotation and time-in-post are different time-in-post requirements requirements for different cate - for proactive career gories of duty stations. Hardship management. The Office of the Ombudsman has received a num - levels vary depending on the ber of grievances pertaining to post rotation and duty station. Applying the same rule uniformly across time-in-post requirements. Some of the Funds and the board increases time spent in a hardship duty sta - Programmes have a rotation policy that sets out the tion disproportionately. This results in a time-in-post framework of periodic transfers and reassignment of requirement for a D/E duty station (most difficult) for international staff. These organizations have a well- a period that exceeds even the extended time in post designed rotation exercise. However, the Ombuds- for an A-C station (least difficult). In short, an extra men have observed a piecemeal approach to the year in a hardship duty station cannot be equated to implementation of the rotation exercise. For example, an extra year in a less hardship duty station. it seems that organizations do not have alternatives The rationale for time-in-post requirements is to for staff who are unsuccessful in obtaining another ensure mutual benefit to both the staff and the position during the rotation exercise. The rotation organization. It has been shown that diminishing system costs money and takes time. Very often, the returns begin after two years in D/E duty stations. country offices participating in the rotation exercise The importance of this factor seems to have been invest money to bring top candidates for face-to-face undervalued in favour of financial considerations in interviews by paying all travel costs, investing huge the new arrangements. The drive to reduce costs amounts of time on the selection process and identi - appears to have overridden the importance of staff fying and selecting the right candidate. They later career development and retention. discover that everything has to be cancelled because the current incumbent of the post, who is also partic - What can the Organization do? ipating in the rotation exercise, could not identify a There is a need for proactive career management. suitable post available for that particular rotation and The Funds and Programmes should have a better therefore the post cannot be vacated. The organiza - strategy of rotation that addresses not only the tion has not been proactive in helping the current successful candidates but also those who are not incumbent, who has reached the maximum time in successful in being placed. Candidates should be post, to expolore all options for a career move. made aware in the early stages of the rotation exer - The lack of clear, open communication about cise of the options that are available to them in case tours of duty to newly recruited staff at the time of they are unsuccessful at obtaining a position.

Working together to find solutions 17 The Funds and Programmes should inform and demotivated and unproductive. In the current eco - indicate in the letter of offer information about the nomic crisis and competitive work environment, time-in-post and tour-of-duty requirements of the it is important for the Funds and Programmes to country office. In addition, the organizations should quickly address the early warning signs of include information in the vacancy announcement “turtling” within their leaders, exemplified by on the position’s location and provide a copy of the unproductive behaviour such as: (a) tendency to policy on staff rotation and what it entails for the micromanage the team; (b) using inflexible top- candidate so that the selected candidate can have down communication; (c) not dealing with conflict the full information and consider the offer prior to or refusing to deliver bad news and give direct feed - accepting the post. back; and (d) conveniently not hearing or dismiss - More generally, it is important that the Funds ing constructive feedback. and Programmes place a high priority on setting up Due diligence should be observed by the admin - effective career management units, structures and istration in order to ensure that staff are properly mechanisms. informed of the various steps involved in the change-management process. In addition, options What can the Ombudsman do? available to staff must be clearly communicated Although the Ombudsman cannot intervene once a before the process begins. The Office of the final recruitment decision has been taken, the Office Ombudsman has worked on cases from staff mem - is available to explore options with displaced staff bers whose posts have either been abolished or that have been unsuccessful in obtaining a position. frozen owing to budgetary constraints. Staff indi - The Office may also assist staff members in obtain - cate that they were not informed in advance of the ing feedback about their candidature and prospects. type of separation arrangements that are available to An important aspect of the coaching role of the them after unsuccessfully participating in a restruc - Ombudsman in this area is to help staff members to turing exercise. Furthermore, some organizations explore the whole range of career options. have delayed publishing revised guidelines and pro - cedures on restructuring, thus increasing the level of 3. Restructuring and change-management uncertainty for staff members. practices What can the Organization do? Restructuring and change-management practices Senior management must inform staff who will require thoughtful planning, sensitive implementa - be affected by organizational change of the reason tion and an engaged leadership with the involve - for the change in order to build trust, ownership and ment of all staff that are cooperation in the process. Managers’ confidence in affected by the proposed their own leadership often motivates positive Some leaders have a change. The Office of the actions and, conversely, lack of confidence results in tendency to become Ombudsman has noticed a reluctance to consult and engage staff in the plan - that during periods of ning and implementation of change-management inaccessible, even change, some leaders have processes. Having a conversation where a staff a tendency to become member feels heard may help to prevent escalation disengage emotionally, inaccessible, even disen - of conflict and will render it less likely that staff feel gage emotionally, which that they were treated unfairly. which can create can create uncertainty, Organizations should equip staff with the uncertainty, stress and stress and mistrust in the knowledge that they require to prepare themselves workplace. Managers are for change. This will predispose staff to accepting mistrust in the workplace. “turtling”, acting like tur - change rather than rejecting it. Management tles in a defensive mood. should arrange for staff whose employment has Their hesitance slows them down and they disen - been adversely affected by restructuring and change gage emotionally. As a result, the credibility of the to meet in person with their direct supervisors and change-management process and the reputa-tion human resource officers at least three months prior of the organization as a whole are adversely affect - to the end of their contract to discuss the separa - ed with staff ultimately becoming disengaged, tion process.

18 Working together to find solutions What can the Ombudsman do? What can the Organization do? The Office of the Ombudsman can draw on its All organizations must ensure that staff who have experience in assisting organizations to cope with not been awarded permanent appointments but change and share best practices on how to overcome appear to be eligible are given feedback on why they fear and resistance to change. have been denied a per - The Office can raise awareness about people manent appointment. In management in periods of change and restructur - addition, efforts should be Feedback given to eligible ing by assisting organizations to design training made to communicate the staff who were not awarded programmes and workshops that emphasize leader - results of the one-time ship skills and appropriate behaviour in the work - review process to all eligi - a continuing appointment place. The Office provides a confidential, neutral ble staff at the same time. space for leaders and managers to explore avenues This would avoid percep - was insufficient. on how they can better their management styles tions of discrimination or and practices. unfairness where the majority of eligible staff in a country office receive the results of their request and 4. One-time review process some wait for longer periods, a situation that fuels gossip and conjecture. The Office of the Ombudsman has addressed a number of issues relating to the one-time review What can the Ombudsman do? process. This process, mandated by the General The Ombudsmen have brought these concerns Assembly, allows staff who have fulfilled certain to the attention of management and have facilitated specified criteria to qualify for a continuing dialogue between staff and management on this appointment. All the Funds and Programmes have issue with the objective of shedding light on what embarked on reviewing eligible candidates and can seem a highly individualized process. have kept all staff informed as to the progress of the review. In general, the eligibility of staff members 5. Occupational health for consideration for permanent contracts was con - ducted in a systematic and fair manner; however, The Office of the Ombudsman has observed high the Ombudsmen have ascertained that in some levels of stress, depression and sick leave among the cases, feedback given to eligible staff who were not Funds and Programmes workforce resulting from awarded a continuing appointment was insuffi - abuse of power, harassment (including bullying), cient. These staff members felt left out and lack of respect and inappropriate behaviour in the discriminated against. Although communication workplace. was sent indicating that they had been unsuccess - Organizations need to develop and increase their ful, sometimes after much time had elapsed from participation in wellbeing programmes, which can the initial request, reasons behind the decision only bring a return on their investment. Getting not to award them continuing appointment were managers to understand the correlation between not shared. healthier employees and corporate gain would cre - The Office has been involved in cases where a ate a favourable climate for such initiatives. The failure to rectify past administrative discrepancies has comprehensive testing that is a part of efficient affected the eligibility of some staff members for per - occupational-healthcare practice ensures that manent appointments. This primarily concerns staff employees have the physical and mental capacity whose contracts are administered by one organiza - required to perform their duties successfully. tion but who work and perform core functions in The severity of stress has increased to such an another. In most cases, permanent appointments extent that some employees who have been subject - were not awarded even though the staff members ed to abusive behaviour for long periods have had otherwise met all the criteria for the award of a per - thoughts of suicide and violence, causing them huge manent appointment. These staff members therefore emotional problems. The recent Joint Inspection have the impression that they have not been equi - Unit report on the management of sick leave in tably treated by the organization. the United Nations system (JIU/REP/2012/2) concludes that “maintaining a healthy working

Working together to find solutions 19 environment is a sine qua non for reducing absen - ment of human resources. In its previous reports, the teeism (sick leave)’’. Office of the Ombudsman has consistently high - lighted the need for a strong, professional human What can the Organization do? resource workforce. Nevertheless, during the report - It is important for the organization to provide coun - ing period the Office has been approached by staff selling and coaching services for staff. This would dealing with less-than-satisfactory service from the help to promote a healthier work environment and staff of human resource offices, particularly regarding improve the quality of relations among staff. the interpretation or application of rules and regula - Consistent monitoring of sick-leave requests and tions. In most cases, staff members have complained active promotion of the use of flexible working of an inflexible approach that does not obtain results, arrangements are some of the ways that the organi - inhibits workflow and causes conflict in the work - zation can ensure a healthier workplace. Human place. The Office has received grievances about the resource departments should strengthen their col - lack of coherence and knowledge, especially pertain - laboration with the Medical Services in order to ing to issues such as break-in-service requirements, allow for better monitor - rental subsidies, disability and application of the one- Organizations need ing of health or stress lev - time review process. els in the workplace. For Other human resource factors that came to the to develop and increase example, the Funds and notice of the Office concern the lack of adequate Programmes are required succession planning. Audit experts deem loss of their participation in to ensure that staff com - institutional memory as the greatest internal threat ply with the requirement to an organization since it causes more damage to wellbeing programmes, of a mandatory medical operations than any other potential risk. For exam - which can only bring a check-up every two years. ple, in some organizations, positions in the human Compliance with this resource departments, including those at the senior return on their investment. mandatory requirement level, remain vacant for a long time. The result is not only benefits staff but that the services provided by those departments are also allows the organization to have an overall view slow or unresponsive and have a negative impact on of the state of occupational health in the workplace operations. and take preventive action against possible harmful Accountability frameworks are sometimes practices. Furthermore, in its decision on healthcare unclear, especially in situations where staff have and its management in the United Nations system their contracts administered by one entity but are (CEB/2009/HLCM/32), the Chief Executives employed by another entity. In these situations, Board adopted an occupational safety and health human resource departments are responsible for policy that supports a pro-active approach in devel - administering the staff member’s contracts and oping policies and practices in this regard. entitlements but they cannot make managerial decisions. When there is dual responsibility for What can the Ombudsman do? the management of employment, authoritative The Ombudsman can offer a safe, confidential action may be delayed, with the staff member space for staff to air their grievances; nevertheless, in directed back and forth between the human matters that concern high levels of stress and resource department and the employing agency depression, the Ombudsman will recommend that before a decision is reached. In highly stressful situ - staff seek professional attention. ations such as medical evacuation or re-structuring, for example, such behaviour can have drastic conse - 6. Quality of human resource operations quences. A breakdown of the issues within the and services services and administration category as provided in figure 7 demonstrate that interpretation and The role of the human resource manager is pivotal application of the rules by service providers such as to strong leadership and fostering equitable practices human resources is a major factor causing conflict in within an organization. Management should put a the workplace. high priority on the efficient and effective manage -

20 Working together to find solutions What can the Organization do? need to take place in order to professionalize the When there are disputes about the disbursement of type of services that are offered by human resource entitlements and management of benefits, it is departments important that human resource professionals convey to staff a comprehensive understanding of the rules 7. Management of benefits and entitlements and policies. This must be done not only through a proper citing of the rules but also through sharing The Funds and Programmes offer a number of ben - the reason behind why the rule does or does not efits and entitlements to staff. Staff often need apply. Mere repetition of the rule or citation of the assistance in navigating policy is not enough. the system of entitlements Audit experts deem loss Timely, deliberate, implementation of adequate, and benefits and look to effective succession arrangements should be a top human resource profes - of institutional memory management and human resources priority. In this sionals for guidance and context, the identification, development and reten - support. In most cases, as the greatest internal tion of talent is of extreme importance. staff members receive this threat to an organization Where staff members are employed by one agency assistance and are able to but administered by another, clear roles and respon - plan accordingly. How - since it causes more sibilities on the management of staff employment ever, the Ombudsmen need to be delineated and circulated to staff at the have received cases where damage to operations than beginning of their assignment. Staff need to know staff lodge claims of any other potential risk. who will be accountable for decision-making in the incompetence and lack of administration of their benefits and entitlements. responsiveness from human resource professionals, particularly to do with compensation and benefits What can the Ombudsman do? claims in areas such as separation entitlements, In situations where there is a communication break - management of entitlements by various entities, down, especially with regard to resolving disputes rental subsidies and entitlements for retirees. and misunderstanding concerning employment, the Many staff facing separation have contacted the Office of the Ombudsman supports efforts to Office requesting a breakdown of what their bene - obtain clarity through channelling staff within the fits and entitlements will be, which indicates an system and facilitating dialogue between parties. In organizational need to clarify what is due when a their periodic meetings with the Executives Heads, staff member separates from the organization, espe - the Ombudsmen highlight systemic changes that cially since staff members separate in a variety of

Figure 7. Services and/or Administration

Interpretation or application of rules 51%

Responsiveness/ timeliness 22%

Quality of services 18%

Behavior of service provider(s) 5%

Other 4%

0% 10% 20% 30% 40% 50% 60%

Working together to find solutions 21 ways. For example, a number of staff members have The organization should have an integrated contacted the Office requesting more information approach for managing staff entitlements, especial - on the implications of going on disability. When ly if it requires information from other relevant disability is an option for separation, it is important entities such as the Medical Services or the Pension that staff members receive precise information from Fund. the relevant human resource focal point on how it Organizations should include in their orientation will affect their particular situation. For this kind of or induction package at country-office level the max - information, staff members are often informed by imum subsidy payable per category and level of staff human resources that they should go to the Pension for renting a house. This would avoid misunder - Fund. However helpful the information the Pension standing and difficulties where, because of lack of Fund provides may be, it does not give a staff mem - clear and accurate information at an early stage, new ber the fuller picture of how disability will affect staff members are faced with an obligation to pay other benefits such as health and separation entitle - more than they had in all good faith budgeted for. ments. This is the kind of information that can be When organizations undergo structural change, provided only by human resources. they should define clear accountabilities for the man - The Office has noticed what seems to be a lack agement of entitlements affecting both active staff of coordination among various entities for the man - and those who have retired f rom the organization. agement of staff benefits and entitlements. There These elements should be incorporated into the busi - needs to be a coordinated approach among different ness strategy to mitigate conflict and litigation. entities for sharing information about staff entitle - ments. For example, many visitors have come to the What can the Ombudsman do? Office because of a dearth of communication The Office of the Ombudsman may assist staff in regarding health insurance and medical entitle - obtaining information from human resources and ments benefits. These entitlements are managed by channelling the staff member within the system. various focal points, namely human resources, med - The Office can also facilitate dialogue on issues ical services and sometimes the health insurance that are causing misunderstanding or conflict in the company. It is sometimes confusing for staff to disbursement and or management of benefits and understand the specific mandate of each, especially entitlements. in a crisis. There needs to be managed, coordinated communication and approaches for managing enti - E. United Nations Volunteers tlements in such situations. Some visitors have complained about being mis - The year 2011 marked the tenth anniversary of the informed about rental subsidies. While information International Year of the Volunteer. During the year, is available on the website that enables staff to calcu - the Ombudsmen were privileged to visit UNV head - late the amount of their subsidy, there is no informa - quarters in Bonn. The Ombudsmen were encouraged tion indicating that there is a cap on the total subsidy to learn of the many reform initiatives planned to a staff member can receive for rent. improve the conditions of service of volunteers. As organizations become more creative at finding Throughout the years, the Office of the ways to cut costs using different mechanisms such as Ombudsman has noticed that there is a tendency to mergers and delivering as one, they should find pro - treat United Nations volunteers as second class cit - visions to ensure that all entitlements are honoured, izens and to draw on volunteers as cheap labour. including those of retired staff. The Ombudsman has This has a negative effect in the workplace resulting observed that the concerns of retired staff members, in double standards in the treatment of volunteers. such as after-service health insurance (ASHI), are United Nations volunteers contribute to achiev - often overlooked with the result that they may no ing the goals and objectives of programmes and to longer benefit from adequate medical coverage. building local capacity in their country of assign - ment. Most volunteers join UNV because of a What can the Organization do? strong allegiance to the spirit of voluntarism. In order to reduce the potential of conflict, human Sometimes this element is questioned by the organ - resource offices should indicate to staff all options ization they serve, especially if some people make that are available on separation. the transition from volunteer to staff. This has

22 Working together to find solutions resulted in stringent checks and balances being well managed and that there is a lack of follow-up. introduced, particularly in peacekeeping operations. The results are not used to address the issues that There are some challenges in ensuring that are generated in the survey and become very often volunteers do not serve too long in duty stations, repetitive. This situation generates a lack of trust especially in hardship duty stations. from staff and undermines the organization’s credi - bility. Furthermore, the Ombudsman continues to What can the Organization do? receive information that in some offices there is In order to ensure that due process is observed, the coercion to record only positive remarks and grades Office of the Ombudsman would like to encourage in the GSS. Experience has shown that this form of UNV to harmonize the regulatory framework for intimidation is always an attempt to conceal poor recruitment. Lack of clarity due to various practices management practices. and rules has led to confusion and frustration for some volunteers. It would be helpful to accelerate What can the Organization do? the revision of the conditions of service for United The organization is accountable for bad people Nations volunteers. management. Concrete action should be taken as a result of the survey. Damaging results should be What can the Ombudsman do? addressed. Although United Nations volunteers do not possess The Funds and Programmes should build into staff contracts, the services of the Office of the their induction programmes a culture of managing Ombudsman are available to them to address work - employees with a human face. place concerns. It is important to ensure that the surveys are conducted at regular intervals. Any postponement F. Global staff surveys of a survey can easily undermine its effectiveness.

The Global Staff Survey (GSS) is an excellent What can the Ombudsman do? source of information on organizational climate and The Office of the Ombudsman can be used as a trends. The Ombudsman recognizes the efforts sounding board to alert the organization and address organizations make to obtain feedback from staff, the concerns that are being raised about the use of the and some organizations seem to have an effective feedback received in the GSS. They should address system to follow up on the issues raised in the sur - those issues in view of maintaining a harmonious vey. Nevertheless, the Office of the Ombudsman work environment where staff can feel safe from bul - observes that in some instances GSS results are not lying and any form of workplace harassment.

Working together to find solutions 23 Chapter III Looking ahead

The cost of conflict However, the Office is well aware of its limited The Office will strengthen its efforts to illustrate the capacity and the roles and responsibilities of other link between enhanced workforce engagement and stakeholders, including staff associations, supervi - well-being on the one hand and organizational finan - sors, human resources staff and peer-support mech - cial performance and productivity on the other. This anisms. Against this backdrop, the Ombudsmen effort will include the use of existing risk-manage - have revisited the potential of the Respectful ment frameworks as vehicles to generate the data Workplace Advisor (RWA) programme. This pro - needed for a more informed and comprehensive gramme targets and trains peer-nominated staff assessment of the impact of organizational conflict. members to be responsible for monitoring the In an environment of continued fiscal challenges, workplace for threats to, and opportunities for the Office of the Ombudsman will continue to ensuring, a respectful work environment free from review how to deliver ombudsman services in a more unethical behaviour, disrespect for diversity, and cost-efficient way. In this context, the Office will abusive authority. The Office will review its capaci - expand its use of web-based outreach and learning ty-building programme, including a strategy to activities to limit travel costs while acknowledging introduce RWA programmes in the Funds and the continued need for face-to-face interventions. Programmes. The development of a strategy will be done in close consultation with stakeholders and Assessing the services of the Office of will clearly delineate roles and responsibilities to the Ombudsman for United Nations Funds avoid duplication of tasks. and Programmes Building on recommendations of the Ombuds - The Office will develop better mechanisms to measure men, some Funds and Programmes have started to the quality and efficiency of its services. The absence of strengthen periodic consultation among the various terms of reference for UNOMS and thus the absence stakeholders involved in conflict management. of benchmarks for perform - The Office will focus on building such consultation Building the capacity to ance measurement have and coordination mechanisms in all Funds and delayed plans to conduct an Programmes covered by the Office as an integral manage workplace conflict external and independent tool in building comprehensive conflict-manage - building will continue to be a review of the work of the ment systems. Office. In 2011, the Office strategic focus of the Office. tested feedback forms as one Mediation in the workplace tool to measure the efficiency The Office of the Ombudsman is encouraged by of its services. It is envisaged that in consultation with the interest in the use of mediation as a tool to the Funds and Programmes covered by the Office, a resolve disputes. While there is much higher poten - strategy will be developed to allow for both a review of tial for its use, the mediations conducted by the the work of the Office and an assessment of the status Office in 2011 have increased senior-management of conflict management in the organizations covered. understanding and support for mediation as a cost- and time-efficient tool for conflict resolution. The Capacity-building for conflict management Office will build on this support and strengthen its Building the capacity to manage workplace conflict promotion of the use of mediation. will continue to be a strategic focus of the Office.

24 Working together to find solutions Annex 1 Recommendations

Managing with a human face will protect the identity of those who have been 1 From time to time the Executive Heads should courageous enough to speak out. messages not only of encouragement for achievements but also gentle reminders that Misconduct and lack of accountability with the privilege of serving the United Nations 5. Addressing misconduct such as bullying relies comes the responsibility to adhere to the code of heavily on strong leadership. When the Funds conduct for the international civil service. This and Programmes recruit leaders, they should would provide a different, proactive aspect from emphasize not only the need for technical that of the periodic reports on disciplinary action abilities but should also require evidence of taken by the organization. Such reminders, cov - understanding, tolerance and integrity in the ering different aspects – mutual respect in the workplace. workplace, equitable treatment, and ethical behaviour – would build on the sense of vocation 6. The organizations should act promptly when that motivates the overwhelming majority of there are valid reasons to suspect that harass - staff members. ment and abuse of authority, including bully - ing, are taking place in an office even when 2. The organization could also arrange for town- formal complaints have not been made. In this hall meetings, mandatory leadership and man - context, the organizations should consider bul - agement training, workshops, retreats, brown- lying as a form of harassment requiring specif - bag lunches to cover one aspect at a time of the ic measures of protection. successes of managing with a human face while analysing the obstacles that prevent it. 7. The organizations should put in place pro - grammes that specifically address misconduct 3. The Executive Heads could send a clear signal in the workplace with special emphasis on the to abrasive managers that their behaviour must root causes of bullying. Leaders can support change and require that the administration such programmes through mentorship oppor - make more pro-active use of the Global Staff tunities and by demonstrating behaviour that Survey to address inappropriate managerial inspire other colleagues. behaviour. 8. The organizations should put systems in place 4. On the recommendation of the Ombudsmen, for the active, periodic monitoring of sick-leave the administration could arrange for a manage - data, which will allow them to identify poten - ment review that would bring to light the tially risky situations arising from inappropriate complaints received by the Office of the managerial behaviour. They should then follow Ombudsman. It is important to note here that up on their findings with visits to offices with when an ombudsman signals, from confidential high absenteeism due to sick leave in order to information, that a serious situation is pervad - ascertain whether the work environment is ing an office, s/he always does so in a way that affected by managerial misconduct.

Working together to find solutions 25 Performance appraisal mechanisms 14. The organization should always be concerned and concerns and investigate why a long-serving staff mem - 9. Organizations should increase the use of inter - ber with satisfactory performance has been net-based tools to obtain continuous feedback downgraded, especially when there has been a from staff on performance-appraisal processes change of supervisor or a reorganization of the and mechanisms. office. There should be more emphasis on Any new system should focus on simplifi - accountability not to give vague, dishonest cation and it is critical that new systems not be feedback and to manage unsatisfactory per - introduced too often. It is equally critical that formance effectively. all staff understand the new system. A trial period and thorough orientation are absolutely 15. Performance evaluations should be completed necessary. in a timely manner and always before the end of a staff member’s contract to ensure that 10. The Funds and Programmes should reinforce the administrative process is fair and to allow their efforts to strengthen the performance- time for a rebuttal if needed and to apply for evaluation process as a career-management new positions. tool. Supervisors must use it not only to moti - vate underperformers but also to recognize and Recruitment increase greater professional achievement in the 16. The Funds and Programmes do revise their workplace. approaches to recruitment on a regular basis. However, it may be productive to share experi - 11. Clear instructions and orientation on rebuttal ence with a view towards harmonizing recruit - procedures should be widely disseminated to ment procedures further, especially in view of staff. It is not enough to share this information the system-wide adherence to competency- at the end of the performance-appraisal cycle. based interviews. The approaches to vacancy Staff should familiarize themselves not only announcements (which are not always clear), with the performance-appraisal mechanisms shortlisting and longlisting, and the interview but also with the practices and steps involved process, for example, require standardization of when there are serious disagreements on per - procedures. Thereafter, it is essential to follow formance appraisal. the procedures in force to the letter otherwise staff – and external candidates – will lose faith. 12. The Executive Heads should hold supervisors accountable for completing the performance- 17. Organizations must insist that interviews are evaluation process and should institute monitor - conducted for every vacancy. In addition, per - ing systems to ensure that performance- sonality assessments should be used more sys - evaluation mechanisms are not being used as in tematically by human resource managers to instrument to harass staff. obtain a complete profile of the candidate. This would allow for a comprehensive assessment of Supervisory effectiveness and performance the candidate. 13. When a difference is observed between former, documented good performance and present 18. The organizations should provide constructive apparent performance, the new supervisor feedback on the interview process for every should make a special effort to understand candidate, successful or unsuccessful who why there is a discrepancy. It is useful to check requests it. with the former supervisor and to make sure that effective communication channels are 19. It has been the practice in some organizations in place between the supervisor and the to offer staff members coaching for competen - supervisee. If the new supervisor has different cy-based interviews. While acknowledging the expectations, they must be made clear to the value of information disseminated on United supervisee. Nations competencies, the Ombudsmen view this as somewhat problematic: are there special

26 Working together to find solutions techniques that can be taught for an interview 23. Organizations should equip staff with the that have no professional relevance beyond the knowledge that they require to prepare them - interview? What happens if some staff mem - selves for change. This will predispose staff to bers have benefited from training and some accepting change rather than rejecting it. have not? Does this create an unfair advantage Management should arrange for staff whose for those who have? How can the organization employment has been adversely affected by guarantee equality of opportunity? Have the restructuring and change to meet in person members of the interview panel received ade - with their direct supervisors and human quate training for such an important task? resource officers at least three months prior to How are the members selected and should the end of their contract to discuss the separation supervisor be on the interview panel? process. (Organizations have wavered on this, with some requiring the presence of the supervisor One time review process and others categorically not allowing it.) The 24. All organizations must ensure that staff who Ombudsmen raise these questions from staff have not been awarded permanent appoint - members in the hope that the organizations ments but appear to be eligible are given feed - will take them into consideration in the design back on why they have been denied a and application of interviews. permanent appointment. In addition, efforts should be made to communicate the results of Staff rotation and time-in-post requirements the one-time review process to all eligible staff 20. Candidates should be made aware in the early at the same time. This would avoid perceptions stages of the rotation exercise of the options of discrimination or unfairness where the that are available to them in case they are majority of eligible staff in a country office unsuccessful at obtaining a position. receive the results of their request and some wait for longer periods, a situation that fuels 21. The Funds and Programmes should inform gossip and conjecture. and indicate in the letter of offer information about the time-in-post and tour-of-duty Occupational health requirements of the country office. In addition, 25. It is important for the organization to provide the organizations should include information counselling and coaching services for staff. This in the vacancy announcement on the position’s would help to promote a healthier work envi - location and provide a copy of the policy on ronment and improve the quality of relations staff rotation and what it entails for the candi - among staff. date so that the selected candidate can have the full information and consider the offer prior to 26. Consistent monitoring of sick-leave requests accepting the post. and active promotion of the use of flexible work - More generally, it is important that the ing arrangements are some of the ways that the Funds and Programmes place a high priority on organization can ensure a healthier workplace. setting up effective career management units, Human resource departments should strengthen structures and mechanisms. their collaboration with the Medical Services in order to allow for better monitoring of health or Restructuring and change-management stress levels in the workplace. For example, the practices Funds and Programmes are required to ensure 22. Senior management must inform staff who will that staff comply with the requirement of a be affected by organizational change of the rea - mandatory medical check-up every two years. son for the change in order to build trust, own - ership and cooperation in the process.. Having Quality of human resource operations a conversation where a staff member feels heard and services may help to prevent escalation of conflict and 27. When there are disputes about the disburse - will render it less likely that staff feel that they ment of entitlements and management of ben - were treated unfairly. efits, it is important that human resource

Working together to find solutions 27 professionals convey to staff a comprehensive level of staff for renting a house. This would understanding of the rules and policies. This avoid misunderstanding and difficulties where, must be done not only through a proper citing because of lack of clear and accurate informa - of the rules but also through sharing the reason tion at an early stage, new staff members are behind why the rule does or does not apply. faced with an obligation to pay more than they Mere repetition of the rule or citation of the had in all good faith budgeted for. policy is not enough. 32. When organizations undergo structural 28. Timely, deliberate, implementation of ade - change, they should define clear accountabili - quate, effective succession arrangements should ties for the management of entitlements affect - be a top management and human resources pri - ing both active staff and those who have retired ority. In this context, the identification, devel - from the organization. These elements should opment and retention of talent is of extreme be incorporated into the business strategy to importance. mitigate conflict and litigation.

29. Where staff members are employed by one United Nations Volunteers agency but administered by another, clear roles 33. In order to ensure that due process is observed, and responsibilities on the management of staff the Office of the Ombudsman would like to employment need to be delineated and circulat - encourage UNV to harmonize the regulatory ed to staff at the beginning of their assignment. framework for recruitment. Lack of clarity due Staff need to know who will be accountable for to various practices and rules has led to confu - decision-making in the administration of their sion and frustration for some volunteers. It benefits and entitlements. would be helpful to accelerate the revision of the conditions of service for United Nations Management of benefits and entitlements volunteers. 30. The organization should have an integrated approach for managing staff entitlements, Global staff surveys especially if it requires information from other 34. The organization is accountable for bad people relevant entities such as the Medical Services management. Concrete action should be taken as or the Pension Fund. In addition, in order to a result of the survey. Damaging results should be reduce the potential of conflict, human resource addressed. The Funds and Programmes should offices should indicate to staff all options that build into their induction programmes a culture are available on separation. of managing employees with a human face. It is important to ensure that the surveys 31. Organizations should include in their orienta - are conducted at regular intervals. Any post - tion or induction package at country office level ponement of a survey can easily undermine its the maximum subsidy payable per category and effectiveness.

28 Working together to find solutions Annex 2 Voices

“Thank you very much for talking with me today, “Thank you so much for all your help again, you are and a few weeks ago, about questions I had an amazing person and we are lucky to have you regarding a problematic RCA. I am grateful for the in this position as without you I believe that I time you took to clarify general RCA issues, for the wouldn't have made it. This experience was new serious consideration you gave the matter I to me and came as a surprise.” raised, for understanding a complicated situation quickly, and for your counsel. I thank you, too, for “Thank you so much for your kind and sound giving me the kind of advice that would not lead words, I will take them to heart.” to a confrontational spiral regarding the issue.” “I am writing this e-mail to express my gratitude “On behalf of my colleagues, please accept our for your support and the discussion that we just sincere thanks and appreciation for the great had regarding the required advice from my side. job and result that have been achieved in secur - I sincerely appreciate your taking the time to ing the rights of our colleagues. This case was speak to me and analyse the situation and I find pending for several years in spite of the repeat - your advice sincere and works for my benefit, ed efforts to solve it, it remained pending, until and I will blindly follow. Again, I am grateful for you put the marvelous touches to solve it and such sound advice and I am happy that I have take the corrective action to return back the chosen to request advice from your office.” rights. I am so proud of your efforts in dealing with the cases that were assigned to you during “Thank you for all of your time spent meeting our hard time, the continuous and effective sup - with me and advising me during that stressful port that you have rendered to us, which includ - time. And thank you for any effort you made in ed your visit and constant follow-ups.” relaying my message to the leaders. I will always appreciate your candour and kindness.” “Also, my big thanks for my colleagues at the Ombuds Office who were always by my side dur - “Thank you very much for your patience and for ing the last four months.” your interest in helping me. I also appreciate your encouraging words, that I am sure will be “I wanted to write to thank you for the exemplary very helpful once I pass this emotional assistance that I received resolving this issue suc - moment.” cessfully. Your colleague was a pleasure to deal with – very quick to focus in on the key problems, “L'ensemble du staff, par ma voix, remercie le contact the relevant parties and find an effective Bureau de l'Ombudsman à New York. Merci and equitable solution. Despite the circum - beaucoup! Nous serions heureux de recevoir stances, it was one of the most uplifting and pro - votre équipe.” fessional interactions I had with the UN admin- istration during my time with the organization.” “Muchas gracias por su muestra de profesionalis - mo, y haberse tomado el tiempo de escucharme.” “It seems that the road is clear and that my life can go on. I thank you so much for all your sup - port and patience with me. I will continue to improve on my competencies, communication and teamwork.”

Working together to find solutions 29 Annex 3 Issue Definitions

1. Compensation and Benefits Salary, pension, leave, health insurance, various entitlements

2. Evaluative Relationships Issues between colleagues with supervisory relationships

3. Peer and Colleague Relationships Issues between colleagues with NO supervisory relationships

Issues impacting job conditions or the career progression of the visitor: re- 4. Job and Career Progression cruitment, contract, job description/classification, training, promotion, trans - fer and rotation, separation, abolition of post and retirement processes.

5. Legal, Regulatory, Financial and Harassment, discrimination, retaliation, gender and geographic balance; Compliance investigative/disciplinary processes, waste, fraud and abuse of funds 6. Safety, Health, Wellbeing, Stress Working conditions; general wellbeing and stress; accommodation for and Work/Life disability or health conditions; issues with health, safety and security

Responsiveness, timeliness and nature of response/services from sections 7. Services/Administration providing services to staff (HR, pension fund, tax unit, etc…)

8. Organizational, Leadership and Organizational climate, morale, culture, communication; change manage - Management ment, issues with leadership in the organization and management styles

9. Values, Ethics and Standards Issues pertaining to United Nations Core values

1. Compensation and Benefits 1k. Special Operations/Hazard Entitlements 1a. Compensation: Rate of pay, salary amount, 1l. Other job salary category 1b. Payroll Administration 2. Evaluative Relationships 1c. Pension (Excluding harassment, discrimination and retaliation) 1d. Leave: Annual; sick; maternity; excluding 2a. Interpersonal Differences: Interpersonal special leaves, sabbaticals, suspension for conflict involving differences in personalities/ disciplinary reasons Suspicions of hidden motives/mistrust/ different work styles 1e. Health Insurance and Medical Entitlements (including medevac; DSA; companion 2b. Respect/Treatment: Demonstrations of ticket, etc.) inappropriate regard for people, not listening, dismissive or rude behavior, unfair or prefer- 1f. Dependent Benefits ential treatment. 1g. Taxes 2c. Reputation: Potential impact of rumors or 1h. Recruitment Entitlements (relocation grant; gossip about professional or personal matters shipment; etc.) 2d. Communication: Quality or quantity of 1i. Separation Entitlements (repatriation grant; communication shipping; sep. indemnities, etc.) 2e. Team Climate and Morale: Prevailing 1j. Travel Entitlements (ticket, DSA, hotel, norms, Behaviours or attitudes in work unit excluding medical travel)

30 Working together to find solutions 2f. Performance Management and Feedback: 4g. Resignation supervisory effectiveness in performance 4h. Termination coaching, work assignment and support; 4i. Non-renewal of Contract feedback (or lack of) given outside of regular performance appraisal 4j. Abolition of Post 2g. Performance Appraisal and Grading: 4k Career Development: Coaching/mentoring/ Disagreements with the fairness of training/lack of opportunities for skill performance. evaluation or grading development 2h. Other 4m. Retirement Process 4n. Special Leave: Approval of; return from 3. Peer and Colleague Relationships SLWOP, SLWFP, excluding suspension for (Excluding harassment, discrimination and retaliation) disciplinary reasons 3a. Interpersonal Differences: Interpersonal 4o. Loan/ Secondment/Transfer: Inter-agency conflict involving differences in personalities/ mobility; terms of loan, return from loan Suspicions of hidden motives/mistrust/ 4p. Other different work styles 3b. Respect/Treatment: Demonstrations of 5. Legal, Regulatory, Financial and inappropriate regard for people, not listening, Compliance rudeness, crudeness; unfair or preferential 5a. Criminal Activity: Threatened, planned, treatment observed; fraud 3c. Reputation: Potential impact of rumors or 5b. Waste and Abuse of Funds: Inappropriate gossip about professional or personal matters actions that abuse or waste organizational 3d. Communication: Quality or quantity of finances, facilities or equipment; property communication damage 3e. Team Climate and Morale: Prevailing 5c. Harassment (Excluding Sexual): Behaviours norms, Behaviours or attitudes in work unit that creates a hostile or intimidating work environment ;bullying/mobbing, abusive, 3f. Other threatening or coercive behavior 4. Job and Career Progression 5d. Sexual Harassment: Unwelcome sexual conduct 4a. Job Application/Selection and Recruitment Processes (recruitment and selection 5e. Discrimination (Excluding Gender): processes, facilitation of job applications, Different treatment compared with others short-listing and criteria for selection, or exclusion from some benefit on the basis disputed decisions linked to recruitment and of, for example, race, age, national origin, selection) religion, etc. 4b. Post Classification and Description 5f. Gender Discrimination: Different treatment compared with others or exclusion from some 4c. Involuntary Transfer/Change of benefit on the basis of gender Assignment: Removal from prior duties, unrequested change of work tasks 5g. Retaliation: Punitive behaviors for previous actions or comments; whistleblower 4d. Terms/Conditions of Contract: Position security/Ambiguity/Contractual limitations 5h. Investigative/Disciplinary Processes: fairness/duration/ adherence to rules and 4e. Career Progression or Opportunities: regulations during investigations and Delay/denial of promotion; lack of or/disciplinary measures. opportunities for career advancement 5j. Visa Status: Issues arising in acquiring or 4f. Rotation & Duration of Assignment: relinquishing travel or residency status for Non-completion or over-extension in a job or international staff members or their dependents location; area of rotation

Working together to find solutions 31 5k. Geographic and Gender Representation: 8c. Organizational Communication: Content, Non compliance with policy or issues arising style, timing, effects and amount; quality of from the application of policy communication about strategic issues at the 5l. Other organizational level (Distinct from 2d and 3d) 8d. Change Management: Making, responding 6. Safety, Health, Wellbeing, Stress and or adapting to organizational changes, quality Work/Life of leadership in facilitating organizational 6a. Safety: Physical safety, injury, meeting local change on a large scale. requirements for training and equipment 8e. Restructuring and Relocation: Effects of 6b. Physical Working/Living Conditions: reprofiling, organizational/unit downsizing Temperature, odors, noise, available space, relocation or reorganization lighting, cleanliness, etc 8f. Leadership and Management (Quality/ 6c. Security: Adequate lighting, metal detectors, Capacity of Management): Quality/capacity guards, limited access to building by outsiders, of management/leadership decisions; anti-terrorists measures management styles; accountability and transparency; priority setting and/or funding 6d. Work/ Life: Issues with flexible working arrangements/schedules. 8g. Abuse of Authority/Positional Power: Improper use of a position of influence, power 6e. Stress: Stress deriving from work related or authority against subordinates issues; post-traumatic stress 8h. Other 6f. Disability and Accessibility: Temporary, permanent, reasonable accommodation, 9. Values, Ethics and Standards assistive technology 9a. Core Values: Non adherence to core 6.g. Other organizational values (integrity, professionalism, respect for diversity) 7. Services/Administration 9b. Accountability and Transparency: 7a. Quality of Services: How well services were Issues with taking personal ownership for provided, accuracy or thoroughness of responsibilities and deliverables/operating in information, competence, etc compliance with organizational rules and 7b. Responsiveness/Timeliness: Response time regulations, secrecy or time to completion 9c. Personal Conduct: Issues with fulfilling 7c. Interpretation or Application of Rules: private obligations, respecting local laws and Impact of non-disciplinary decisions, using the privileges and immunities of the excluding formal admin. reviews organization 7d. Behaviour of Service Provider(s): How an 9d. Conflict of Interest: Appearing to benefit administrator or staff member spoke to or improperly or to have a third party benefit dealt with a constituent, customer, or client, improperly from certain associations, e.g., rude, inattentive, or impatient relationships or financial interests (including 7e. Other honors, gifts or remuneration, favoritism to family or friends, outside employment/ 8. Organizational, Leadership and activities; business interests…) Management 9e. Use and Protection of Information: 8a. Organizational Climate/Morale at the Using or divulging confidential information Organizational Level (Distinct from 2e and 3e) without proper authorization 8b. Organizational Culture 9f. Other - - - - -

32 Working together to find solutions Office of the Ombudsman

The Office of the Ombudsman is headed by the Ombudsmen Ms Mame Diagne and Mr. Helmut Buss assisted by Ms. Kentaro Kanyomozi, Case Manager, Ms. Nancy Ross, Administrative Asso ciate, Ms. Sharon Gordon-Smith Administrative Assistant and on-call consultants: Mr. Kojo Gyasi, Mr. James Lee, Ms. Rosemary McCreery, Mr. Eskandar Rastegar, Ms. Judit Revesz and Ms. Linda Schieber.

Top – left to right: Linda Schieber and Rosemary McCreery Below – front row left to right: Eskandar Rastegar, Mame Diagne, Helmut Buss, Sharon Gordon-Smith Back row left to right: Kentaro Kanyomozi, Kojo Gyasi, Judit Revesz, Nancy Ross, James Lee Office of the Ombudsman for United Nations Funds and Programmes UNDP, UNFPA, UNICEF, UNOPS and UN WOMEN 380 Madison Avenue, 5th Floor New York, NY 10017 Tel: 212 963 1745 Fax: 212 963 2233 [email protected] www.un.org/en/ombudsman