United Nations A/70/*** Distr.: General 16 February 2016 Original: English General Assembly Seventieth session Agenda item 139 Human resources management Special measures for protection from sexual exploitation and sexual abuse Report of the Secretary-General Summary Pursuant to General Assembly resolution 57/306, the present report provides data on allegations of sexual exploitation and abuse in the United Nations system for the period from 1 January to 31 December 2015 and information on measures being taken to strengthen the Organization's response to sexual exploitation and abuse in the areas of prevention, enforcement and remedial action. A/70/** I. Introduction 1. The Secretary-General remains distressed by continuing instances of sexual exploitation and abuse but resolute in ensuring ever more effective means to prevent and address the profound betrayal through such acts by United Nations personnel against the people they are charged with protecting. During the course of 2015, the Secretary-General took determined action to implement the strengthened programme of action described in his last report on sexual exploitation and sexual abuse (A/69/779), which was welcomed by the General Assembly on 25 June 2015 (A/RES/69/307). 2. In 2015, the world shared a feeling of outrage in learning of allegations of sexual violence by foreign and United Nations forces serving in the Central African Republic. While outside the scope of the present report, the Secretary-General appointed an independent panel to review these allegations, and the outcome of that review will inform the efforts of the United Nations. 3. The present report provides data on allegations of sexual exploitation and abuse in the United Nations system received in 2015 and on the status of investigations into those allegations, as well as an update on the enhanced measures being taken to implement the Secretary-General's zero-tolerance policy and new initiatives, building on work done to date, to address gaps and emerging issues. In addition, information is included further to the Report of the External Independent Review of the United Nations Response to Allegations of Sexual Exploitation and Abuse and Other Serious Crimes by Members of Foreign Military Forces Not under United Nations Command in the Central African Republic. II. Reports of sexual exploitation and abuse in 2015 4. The number of new allegations of sexual exploitation or sexual abuse received from the departments and offices of the Secretariat and agencies, funds and programmes of the United Nations system totalled 99 in 2015 compared with 80 allegations1 in 2014. This regrettably marks an increase in the number of new allegations, signifying that more needs to be done to reduce the number of allegations, and more importantly, the number of victims affected by sexual exploitation and abuse perpetrated by United Nations personnel. Allegations reported against United Nations staff members and related personnel other than those deployed in peacekeeping operations and special political missions supported by the Department of Field Support 5. In 2015, 30 allegations of sexual exploitation and abuse were made against United Nations staff members and related personnel other than those deployed in peacekeeping operations and special political missions as indicated below. (a) The Office of the United Nations High Commissioner for Refugees reported 14 allegations by staff members. Six of the cases were found to be unsubstantiated or not supported by enough evidence, one was substantiated and the perpetrators' contract termination and seven cases are under investigation. __________________ 1 One allegation was added to the number of allegations recorded for 2014, as a matter initially reported as a violation of local laws by a member of a military contingent in MONUSCO, ultimately proved to involve the sexual exploitation of an adult. 2/38 A/70/** (b) The United Nations Development Programme (UNDP) reported three allegations. One case was substantiated and is under review by management for disciplinary action. The investigations of the two other cases are ongoing. (c) The United Nations Office for Project Services reported three allegations against related personnel. Two cases were found to be unsubstantiated and one is under investigation. (d) The United Nations Relief and Works Agency for Palestine Refugees in the Near East reported seven allegations against staff members. Three cases were found to be unsubstantiated and were closed. The remaining cases are under investigation. (e) The United Nations Entity for Gender Equality and the Empowerment of Women (UN Women) reported one allegation, which was found to be unsubstantiated and closed. (f) The World Food Programme reported two allegations against staff members. One case was found to be substantiated, and the staff member's contract terminated. The other case is under investigation. Annex I provides information on the nature of allegations reported in 2015. Annex II contains information on the status of the investigations into the allegations. Allegations reported against personnel deployed in peacekeeping operations and special political missions supported by the Department 6. In 2015, 69 allegations of sexual exploitation2 and abuse were reported in nine current and one closed peacekeeping missions. Of those allegations, 15 involved staff members or United Nations Volunteers; 38 involved members of military contingents or United Nations military observers; and 16 involved United Nations police officers, members of formed police units and government-provided personnel.3 Of the 17 completed investigations as of 31 January 2016, seven allegations were substantiated and ten allegations were unsubstantiated. Information on allegations received in 2015 is provided in annex III to V.. 7. As indicated in the last report of the Secretary-General on Special measures for the protection from sexual exploitation and sexual abuse,4 the present report includes additional information for each allegation received in 2015. Known nationalities of __________________ Two more allegations were recorded by the Office of Internal Oversight Services, one for the United Nations Assistance Mission for Iraq (UNAMI) involved the sexual assault of a United Nations personnel by another, and second one, for UNISFA, involved sexual harassment by a United Nations personnel in a supervisor position requesting sexual favours from United Nations personnel under his supervision. 3 Government-provided personnel include justice and correction expert deployed as experts on mission and counted as police personnel due to absence of this specific category of personnel for the reporting capabilities of the Misconduct Tracking System. 4 A/69/779 2 3/38 A/70/** military and police personnel are provided where allegations were referred for investigations. Information is provided on the duration of, and interim measures taken, during investigations; where paternity was established; and where a matter was referred for criminal accountability. Additional information is also provided on the nature of the allegations received, the findings of investigations and on accountability measures. 8. Of the allegations recorded in 2015, 38 allegations (55 per cent) were received from two peacekeeping missions. The remaining 31 allegations came from eight peacekeeping missions: (a) 22 allegations from the United Nations Integrated Stabilization Mission in the Central African Republic (MINUSCA), and 16 from the United Nations Organization Stabilization Mission in the Democratic Republic of the Congo (MONUSCO). (b) A total of 26 allegations from four peacekeeping missions: nine allegations from the United Nations Stabilization Mission in Haiti (MINUSTAH), six allegations each from the United Nations Mission in Liberia (UNMIL) and the United Nations Operation in Côte d'Ivoire (UNOCI) and five allegations from the United Nations Multidimensional Integrated Stabilization Mission in Mali (MINUSMA). This second group accounted for 38 per cent of the total number of allegations. (c) Four allegations were received from three peacekeeping missions, with two allegations from the African Union/United Nations Hybrid operation in Darfur (UNAMID) and one each from the United Nations Interim Security Force for Abyei (UNISFA) and the United Nations Peacekeeping Force in Cyprus (UNFICYP). (d) One allegation was recorded for the now closed United Nations Integrated Mission in Timor-Leste (UNMIT). 9. For 2015, of the 69 allegations received, information for 38 allegations was sufficient to identify 41 adults, while another 19 allegations involved 22 minors, as alleged or confirmed victims. For 12 allegations, the information is insufficient to determine the actual number of potential adult or minor victims. 10. During the reporting period, 38 (55 per cent) of the total number of allegations involved the most egregious forms of sexual exploitation and abuse, with 23 allegations of sexual activities with minors (33 per cent) and 15 allegations of non-consensual sex with persons aged 18 or older (22 per cent). Those allegations originated in eight peacekeeping missions: MINUSCA (15 of 22), MONUSCO (10 of 16), UNMIL and UNOCI (each four of six), UNAMID (two of two), the single allegation for UNFICYP, MINUSMA (one of five) and MINUSTAH (one of nine). All allegations referring to sexual activities with minors are classified as sexual abuse. 11. Paternity claims were associated with 15 allegations, eight of which were of sexual exploitation and originated in MINUSTAH (six), MONUSCO (two) and MINUSMA (one), whereas six paternity claims involved reported instances of sexual abuse and originated in MONUSCO (four) and MINUSCA (two). 12. With regard to investigations into the allegations received in 2015: 4/38 A/70/** (a) 32 allegations involving at least 49 contingent personnel were referred to troop-contributing countries for investigation. In 24 instances, the Member States elected to investigate the matter on their own or in coordination with the United Nations. In eight instances, investigations were undertaken by the United Nations in the absence of a reply, or the Member State having declined to investigate; (b) 27 were referred for investigation by the United Nations: 13 allegations involving the same number of civilian personnel, 12 allegations involving at least 14 police personnel (either United Nations police officers deployed individually or members of formed police units), one allegation involving a government-provided justice personnel and one allegation involving a United Nations military observer; (c) The investigation into one allegation involving a United Nations police officer was initiated directly by a police-contributing country; (d) Six allegations were reviewed by the United Nations and either found not to be credible enough to warrant investigation or were still being reviewed at the end of the reporting period; (e) Information concerning three allegations was recorded by the Office of Internal Oversight Services but deemed insufficient to allow for further investigation. 13. As at 31 January 2016, investigations into 17 allegations received in 2015 were completed. These include the investigations conducted by troop-contributing countries, alone or in cooperation with the Office of Internal Oversight Services, into six allegations (one substantiated, one substantiated for one subject and unsubstantiated for two subjects and four unsubstantiated) and investigations conducted by the United Nations into 11 allegations (five substantiated and six unsubstantiated). One more investigation conducted by a troop-contributing country was completed but additional information is being requested concerning investigation findings. In addition, investigations conducted by the United Nations into three allegations could not be completed and were referred to one police-contributing country involved for completion. The results of investigations concerning 43 allegations, including the latter three, remain pending. 14. During the reporting period, information was received concerning the results of pending investigations from 2014 and earlier; with nine substantiated allegations and 16 unsubstantiated allegations for 2014; three substantiated allegations and 11 unsubstantiated allegations for 2013; and one unsubstantiated allegation for 2011. Investigations remain to be completed by troop-contributing countries for three allegations recorded in 2013 and three allegations recorded in 2014. One allegation from 2014 remains pending completion of an investigation by MONUSCO. 15. Interim measures were taken following the start of investigations, for allegations received in 2015; payments were suspended for 12 military contingent personnel, three police personnel and one government-provided personnel. 13 military and police personnel were repatriated once their presence in a mission was no longer required for the completion of investigations. Other interim measures have included requesting that personnel be assigned to desk duties or confined to barracks. 5/38 A/70/** 16. Based on the results of completed investigations substantiating allegations in 2015, the Department of Field Support requested the Office of Human Resources Management to take action against civilian personnel in connection with one allegation of sexual abuse recorded in 2013 for the United Nations Mission in Kosovo, which resulted in the dismissal of the individual. The former staff member was prosecuted in Kosovo and sentenced to five years in prison. The Department of Field Support was informed, in 2015, of the dismissal of a staff member from the United Nations Regional Service Centre in Entebbe, for an allegation of sexual exploitation received in 2012. 17. In 2015, the Department of Field Support requested that the United Nations Development Programme take action against a United Nations Volunteer in connection with one allegation of sexual exploitation received in 2015 for MINUSTAH, resulting in the dismissal of the individual. The Department of Field Support was informed, in 2015, of the dismissal of a Volunteer stemming from an allegation received in 2014, establishing that the individual had sexually exploited ten women and abused a minor while in MONUSCO. 18. The Office of Legal Affairs referred cases to Member States pursuant to General Assembly resolution 69/114 requesting the Secretary-General to bring credible allegations that reveal that a crime may have been committed by United Nations officials or experts on mission to the attention of the States against whose nationals such allegations are made. The case of the Volunteer from MONUSCO, mentioned above, was the subject of a referral to the State of nationality of the former Volunteer. Referrals to States of nationality were made for three more allegations received before 2015, each involving the sexual abuse of a minor: the first involved a United Nations Police Officer at MONUSCO; the second a national staff member at MONUSCO; and the third related to a national staff member at UNMIL. The Office of Legal Affairs requests information on the measures taken by States of nationality following these referrals. Finally, one national staff member left the employment of the United Nations before the disciplinary process could be completed, but the individual, a former national staff member at MONUSCO, was prosecuted, imprisoned and fined in the Democratic Republic of Congo for the sexual exploitation of a woman. 19. During 2015, troop- and police-contributing countries were informed that ten military personnel and three police personnel would be repatriated on disciplinary grounds and barred from participating in missions in the future, as a result of investigation substantiating 12 allegations received in 2015 or earlier. 20. In 2015, ten responses were received from troop- or police-contributing countries on action taken, through their national accountability mechanisms, regarding substantiated allegations from 2015 or earlier: (a) For one allegation received in 2015, a response indicated that the Member State has suspended one police officer for nine days, after the individual was found to have engaged in a sexually exploitative relationship with a woman; (b) For allegations received in 2014, one military personnel was sentenced to six months in prison for engaging in sexual activities with a minor in exchange for money. One other military personnel was punished with 60 days of imprisonment for the sexual exploitation of a woman. One military personnel was subjected to administrative sanctions for engaging in sexual activities, over a period of time in 2004, and a child being born. One military 6/38 A/70/** personnel was forced into retirement for involvement in sexual activities with a minor. One more military observer received a warning, as a sanction for engaging in transactional sexual relations; (c) For allegations received between 2010 and 2013, the Department of Field Support was informed of decisions to dismiss cases in two separate instances of sexual exploitation reported for 2013 and respectively involving one military and one police personnel from two Member States. The matter involving the military personnel was dismissed given time elapsed and as it involved an attempt to solicit transactional sex. The matter involving the police officer was dismissed, as the individual retired before the completion of the disciplinary process. For allegations reported in 2011, a member of a formed police unit received the disciplinary sanction of a severe reprimand for having inappropriately touched a woman, whereas one military personnel was disciplined with administrative measures taken for frequenting an outof-bound place known for prostitution. III. Observations 21. The Secretary-General remains committed to ensuring that reported allegations are investigated fully and promptly. When allegations are substantiated through investigations, the Secretary-General will continue to take measures within his authority and to request that Member States ensure that those responsible are held accountable through disciplinary actions or criminal accountability measures when so warranted. The Secretary-General is determined to take measures to prevent misconduct and to assist complainants and victims of sexual exploitation and abuse. 22. A total of 69 allegations of sexual exploitation and abuse were reported in 2015, a marked increase from the number of allegations recorded in 2014 (52)5 and in 2013 (66). Only back in 2011 (75) and earlier were higher numbers of allegations recorded per year. This increase in the number of allegations is deeply concerning. A significant proportion can be attributed to MINUSCA though there were also increases for MONUSCO and, less so, for UNOCI and MINUSMA. 23. A significant amount of attention was placed on allegations reported for MINUSCA. While there may be a number of reasons for this increase, two sets of factors have been determined to have a particular impact. 24. The first set of factors is associated with the situation in the Central African Republic, with the high level of sexual violence associated with the conflict, extreme poverty, the displacement of vulnerable population, and women and girls forced into prostitution.. These factors can create a heightened vulnerability for sexual exploitation and abuse.. It is deplorable that United Nations personnel would take advantage of this situation, and the United Nations is committed to taking measures to eradicate this behaviour. The situation in the Central African Republic requires a holistic response, from the United Nations system and Member States, which considers accountability for acts of misconduct, including sexual exploitation and abuse, as well as programmatic action to address underlying political, security and socio-economic factors. __________________ 5 Revised from 51 (see footnote 1) 7/38 A/70/** SA indicates sexual abuse (any sexual activity with a minor or non-consensual sexual contact with an adult) SE indicates sexual exploitation [P] indicates paternity [C] indicates military contingent [MO] indicates military observer TCC indicates Troop Contributing Country UN review: Information reviewed was found not to be credible enough to warrant investigation or requires further verification For Info : Information deemed insufficient to allow for further investigation * For UN investigative entities, the duration of investigation is calculated from the date of referral to the entity to the date when DFS receives the finalised investigation report. For TCCs, the duration of the investigation is calculated from the date when the TCC has indicated it will investigate the matter to the date when DFS receives the finalised investigation report. 35/38 A/70/** UN Review For Information SA indicates sexual abuse (any sexual activity with a minor or non-consensual sexual contact with an adult) SE indicates sexual exploitation [P] indicates paternity [FPU] indicates formed police unit [POL] indicates UN police [GPP] indicates Government Provided Personnel, and in this context includes justice and corrections personnel PCC indicates Police Contributing Country 1 1 N/A 1 UN review: Information reviewed was found not to be credible enough to warrant investigation or requires further verification For Info : Information deemed insufficient to allow for further investigation * For UN investigative entities, the duration of investigation is calculated from the date of referral to the entity to the date when DFS receives the finalised investigation report. For the PCC, the duration of the investigation is calculated from the date when the PCC has indicated it will investigate the matter to the date when DFS receives the finalised investigation report. 2/38