Chapter 10 – Conduct and Discipline

The principle

To hold our own personnel to the highest standard of conduct, and to vigorously and transparently investigate and prosecute, where appropriate and in accordance with applicable national law, or otherwise fully cooperate with the competent authority, any incidents of alleged abuse against children – including sexual exploitation and abuse – by our peacekeepers.

Why is this principle important?

As articulated in chapter 7 (Protection and Care), the ability of peacekeepers to protect children in accordance with applicable international law underpins the very credibility of peacekeeping, and of the UN itself. The consequences of failing to protect the rights of a child – or worse, the consequences of committing a violation against a child – are severe. Moreover, they not only impact the victims, but also the local community, the mission at large, as well as the reputation of the Troop and Police Contributing Country (T/PCC) involved.

The UN Charter states that all personnel must adhere to the highest standards of integrity and behaviour, and has established clear standards of conduct that apply to all personnel deployed on UN peacekeeping operations.^{Endnote 111} These standards are based on a number of key principles:

The highest standards of efficiency, competency, and integrity;
Zero-tolerance policy on sexual exploitation and abuse (SEA);^{Endnote 112}
Prohibition against the use of child labour; and,
Accountability of those in command and/or leadership who fail to enforce the standards of conduct.

Member States – particularly senior leadership in military, police, and civilian organizations – perform an especially important role in ensuring that all personnel are prepared and accountable for their conduct while deployed on UN peacekeeping operations, and that appropriate disciplinary action is taken if misconduct occurs.^{Endnote 113} Ensuring that all peacekeepers are held to the highest standards of conduct is critical to protecting local populations, maintaining operational effectiveness and credibility, and ultimately, upholding the basic tenets of peacekeeping.

How can this principle be implemented?

Review and strengthen national codes of conduct for peacekeepers in accordance with UN standards and in light of international child protection norms and obligations: Member States should review and amend their national codes of conduct to underscore that all personnel must act professionally, with integrity and discipline, at all times. National codes of conduct should reflect the standards outlined by the UN – including with regards to the prohibition on child labour and the zero tolerance policy on SEA – and must be underpinned by appropriate national and international legal frameworks.

Conduct regular training for peacekeepers on the standards of conduct: Member States should provide regular training and education to ensure peacekeeping personnel understand and are able to uphold the standards of conduct. This includes ensuring a comprehensive understanding of basic concepts like SEA, expected behaviours, and requirements for reporting misconduct. While understanding that the role of law is also vital, encouraging individuals to internalize the values that laws represent is a more durable way of promoting adherence to standards of conduct.^{Endnote 114} Member States should ensure training is consistent with the training guidance offered by the UN’s Conduct and Discipline Unit (CDU).

Conduct screening of personnel for previous misconduct prior to their selection for deployment to a UN peacekeeping operation: Member States should ensure that peacekeepers have not previously been involved in any violation of international humanitarian law (IHL) or international human rights law (IHRL), been repatriated from a peacekeeping operation on serious disciplinary grounds due to the mistreatment of local populations, or been barred from participation in UN peacekeeping operations in connection with an act of serious misconduct. Member States should also consider requiring peacekeepers to sign a personal declaration committing to abide by the requisite standards of conduct in advance of deploying on a UN peacekeeping operation.

Support practical and confidential reporting mechanisms of allegations of misconduct by peacekeepers against children: All UN personnel have a duty to report suspected misconduct, particularly if any concerns involve children or possible SEA. Failure to report may constitute an act of misconduct in itself. Member States should therefore ensure that national contingents are aware of the proper pathways for the reporting of alleged misconduct. This includes, for example, to UN Conduct and Discipline Teams (CDT) or other mission entities, to the Office for Internal Oversight Services, or to the UN CDU. In addition, Member States should strengthen confidential reporting mechanisms within national contingents.

Support investigations of allegations of misconduct: When allegations of misconduct are made, the UN and Member States must together ensure that such claims are investigated, and that appropriate action is taken if allegations are substantiated. The UN CDU and CDTs provide overall direction for conduct and discipline issues in peacekeeping operations, formulate policies, develop training activities, and ensure oversight of the handling of allegations of misconduct, but Member States have responsibilities in the following ways:

Collect and secure evidence to support investigations of allegations of misconduct by peacekeepers against children: Member States should ensure that evidence to support investigations of alleged misconduct is collected and kept secure at all times.
Deploy National Investigation Officers (NIOs): Member States are expected to deploy NIOs as part of national contingents deployed to a UN peacekeeping operation. Efforts should be made to appoint both women and men as NIOs, and they should be trained on how to carry out investigations involving children.
Conduct impartial and independent investigations of allegations of misconduct by peacekeepers against children.

Hold personnel financially, administratively, and/or legally accountable when allegations of misconduct by peacekeepers against children are substantiated: Member States are responsible for ensuring that their personnel are held financially, administratively, and/or legally accountable when allegations of misconduct are substantiated. This includes disciplinary actions – like the suspension of pay, removal from post, and a ban on future participation in peacekeeping operations – or other judicial actions like criminal or civil accountability.^{Endnote 115} Member States are encouraged to prosecute personnel accused of alleged misconduct or criminal offences in the course of peacekeeping duties, and to inform the UN of what actions have been taken in cases involving their personnel. In addition, Member States should identify national focal points to address paternity claims and child support obligations arising from cases of SEA.

Keep detailed and confidential records of allegations of misconduct by peacekeepers against children: Member States should keep detailed records of allegations of misconduct, as well as the subsequent disciplinary actions that were undertaken, in order to support transparency and accountability.

Recognize peacekeepers who have demonstrated high standards of conduct that contribute to the protection of children: Member States should recognize peacekeepers who have demonstrated high standards of conduct, or who have taken appropriate actions that contribute to the overall protection of children.

Support child victims of all forms of misconduct, including SEA: Victims of misconduct are entitled to safe and confidential assistance. Victims must be treated with dignity and respect, and directed to the nearest UN office, the CDT, the Field Victims’ Rights Advocate, or the Protection from Sexual Exploitation and Abuse (PSEA) Focal Point. Where immediate medical assistance is needed, victims should be referred to the nearest medical centre. Special consideration should be given to child victims.

Examples and resources

UN CDU: A variety of guidance documents and resources related to proper conduct in UN field missions are available through the UN CDU’s website.^{Endnote 116}

“The Ten Rules: Code of Personal Conduct for Blue Helmets”: Since 1998, UN personnel have been provided with pocket cards outlining 10 key rules for ethical conduct. These rules, as well as the UN Standards of Conduct, can be used by Member States to develop an appropriate national code of conduct for their personnel.^{Endnote 117}

“Sexual Exploitation and Abuse – Know the Rules: There is No Excuse!”: Developed by the UN, this poster outlines the standards of conduct for peacekeepers, such as treating local populations with respect and dignity at all times. It also details the prohibitions for peacekeepers, as well as the consequences for failing to act in accordance with these rules.^{Endnote 118}

Implementation checklist

To implement this principle, Member States should undertake the following:

Review and strengthen national codes of conduct for peacekeepers in accordance with UN standards and in light of international child protection norms and obligations.
Conduct regular training for peacekeepers on standards of conduct.
Conduct screening of personnel for previous misconduct prior to their selection for deployment to a UN peacekeeping operation.
Support practical and confidential reporting mechanisms of allegations of misconduct by peacekeepers against children.
Support investigations of allegations of misconduct:
- Collect and secure evidence to support investigations of allegations of misconduct by peacekeepers against children;
- Deploy National Investigation Officers (NIOs); and,
- Conduct impartial and independent investigations of allegations of misconduct by peacekeepers against children.
Hold personnel financially, administratively, and/or legally accountable when allegations of misconduct by peacekeepers against children are substantiated.
Keep detailed and confidential records of allegations of misconduct by peacekeepers against children.
Recognize peacekeepers who have demonstrated high standards of conduct that contribute to the protection of children.
Support child victims of all forms of misconduct, including sexual exploitation and abuse (SEA).

Endnotes

Endnote 111

There are numerous policy documents that outline the standards of conduct for civilian and uniformed UN personnel. For more information see UN, “UN Standards of Conduct: Documents,” accessed 11 December 2018.

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Endnote 112

In April 2003, the UN General Assembly adopted a resolution (A/RES/57/306) requesting the UN Secretary-General to take measures to prevent sexual exploitation and abuse (SEA) in humanitarian and peacekeeping operations, and to respond rapidly when allegations come to light. The prohibition of sexual exploitation (e.g. zero-tolerance policy) was outlined later that year in the UN Secretary-General’s Bulletin “Special Measures for Protection from Sexual Exploitation and Sexual Abuse” (ST/SGB/2003/13). More information on what constitutes SEA is contained in the glossary of this implementation guidance. See UN General Assembly, Resolution 57/306, Investigation into Sexual Exploitation of Refugees by Aid Workers in West Africa, A/RES/57/465 (22 May 2003); and UN Secretary-General, Bulletin 2003/13, Special Measures for Protection from Sexual Exploitation and Sexual Abuse, ST/SGB/2003/13 (9 October 2003).

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Endnote 113

Immunities and privileges exist that protect Member States’ personnel from legal processes as a result of actions undertaken in their official capacity, thereby enabling personnel to perform key tasks while deployed on UN peacekeeping operations. However, this functional immunity must not be used to create a vacuum of accountability. The UN Secretary-General can lift immunities and privileges in the interests of the UN, or to ensure justice. See UN General Assembly, Convention on the Privileges and Immunities of the United Nations (13 February 1946), accessed 21 March 2019.

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Endnote 114

See International Committee of the Red Cross, The Roots of Restraint in War (Geneva: ICRC, 2018).

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Endnote 115

Since July 2015, payments to uniformed personnel alleged to have been involved in SEA are suspended until the investigation is completed or until the individual is repatriated from the mission. Suspended payments are withheld in cases that have been substantiated through an investigation, and transferred to the Trust Fund in Support of Victims of Sexual Exploitation and Abuse. In unsubstantiated cases, the suspended payments are released and paid in full. See UN, “Accountability,” accessed 10 December 2018.

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Endnote 116