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Annual Report 2013Office of the Ombudsman

Managing grievances and motivating staffin a High-Performing Work Environment

How the Office of the Ombudsmanand Mediator Functions


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• An Ombudsman is a designated neutral and impartial conflict resolution practitioner whose primary function is to provide confidential, in-dependent and informal assistance to staff on grievances and complaints related to human resources and workplace issues. The Office facilitates dispute or conflict resolution among staff and between staff and management through mediation and conciliation and sup-plements the formal staff recourse systems for conflict resolution, such as the Staff Appeals Committee and the Administrative Tribunal.

• The objective of the Office of the Ombuds-man, when a complainant visits, is to work with him/her to explore ways and options he/she is comfortable with pursuing to arrive at a solution to the problem. The options might in-clude referral to another organization unit that can better assist the staff.

• All conversations with the Office are held in strict confidentiality unless authorized by the complainant to do otherwise for the purpose of resolving the issues raised. The only excep-tion, which is determined at the sole discretion of the Ombudsman, is where “there appears to be imminent risk of serious harm.” For that reason, the Office keeps no records on behalf of the Bank and proceeds to destroy all docu-ments that may contain information identifying enquirers as soon as the case is closed.

• The Office does not serve as an advocate for any person in a dispute within the organiza-tion; however it advocates for fair processes and their fair administration.

• As an early warning agent, the Office of the Ombudsman while adhering to tenets of

confidentiality and neutrality provides unfilte-red and independent upward feedback to Ma-nagement on case trends, patterns, systemic issues, policies and practices observed and ascertained in the organization. This feedback enables Management to introduce timely pre-ventive or corrective measures that forestall unnecessary adversarial recourses, help to improve the general workplace environment and introduce necessary systemic changes.

• Thus although it is outside of the normal power structure of the Bank, the Office has no decision-making powers, and neither formulates nor changes policies; the Office through its feedback and recommendations causes Management to make improvements in human resource policies, procedures and practices. Thus the Office works closely with Human Resources Department, Staff Coun-cil and Ethics Office to promote harmonious work environment across the Bank.

• The services of the Office are available to all staff past and present, irrespective of profes-sional stratum, gender, geographic origin and type of contract. Interaction with the Ombuds-man is voluntary and not imposed.

• The Office of the Ombudsman also pursues continuing education and training to remain current and maintain the standards of practice of the profession and fosters communication about the role of the Office to all those served by the Office.

• The Office administers the Values Promotion Champions (VPC) program which enables field office staff to have preliminary conflict mana-gement services from their selected peers.


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Staff RequestMeeting

Intake

Discussion

Coaching Conciliation Mediation

Satisfied

YES

NO

Case Closed

InformationCounseling

May 2013

Own Pursue Referral

Staff RequestVPC Meeting

VPC Log

Discussion

Counseling

Satisfied

YES NO

Case Closed

Information

May 2013 Own Pursue Referral

VPC CASE PROCESSING

OMBU CASE PROCESSING

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2013 Annual ReportOffice of the Ombudsman

Managing grievances and motivating staffin a High-Performing Work Environment

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Abbreviations

APCU Staff Appeals CommitteeCHRM Human Resources ManagementCIMM Corporate Information Management &

MethodsCOLA Cost of Living AllowanceCOEO Ethics OfficeCPO Country Program OfficerCSVP Corporate Services vice Presidency CCW Conflict Competency WeekDA Disbursement AssistantDZFO Algeria Field OfficeEL Executive LevelFM Field MissionERCU External Relations & Communication UnitGAFO Gabon Field OfficeGECL General Counsel and Legal ServicesGS General ServicesHR Human ResourcesHQ HeadquartersIOA International Ombudsmen AssociationKPI Key Performance IndicatorEARC East African Resource CenterAOFO Angola Field OfficeGHFO Ghana Field OfficeROSA Official Representation of Abidjan Head

OfficeZMFO Zambia Field OfficeROSA Official Representation of Abidjan Head

Office Côte d’IvoireMAFO Morocco Field Office

MLFO Mali Field OfficeMZFO Mozambique Field OfficeNGFO Nigeria Field OfficeNR Non-RegionalOMBU Office of the Ombudsman& MediatorPECOD Permanent Committee on

Decentralization PL Professional LevelR RegionalRR Resident RepresentativeRWFO Rwanda Field OfficeSCO Staff Counsel SECU Security UnitSMCC Senior Management Coordination

CommitteeSNFO Senegal Field OfficeTRA Temporary Relocation AgencyTRIB Administrative TribunalTOR Terms of ReferenceTZFO Tanzania Field OfficeUGFO Uganda Field OfficeUNARIO United Nations and Related International

OrganizationsVPC Values Promotion ChampionsYPP Young Professional ProgramSARC South African Resource CenterETFO Ethiopia Field OfficeMGFO Madagascar Field OfficeLRFO Liberia Field OfficeTGFO Togo Field OfficeZWFO Zimbabwe Field Office

Table of Contents

Table of Contents

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Table of Contents

How the Office of the Ombudsman & Mediator Functions 1

A Word from the Ombudsman & Mediator 7

Analysis of main activities carried out in 2013 10A- Conciliation and Mediation Services to Visitors 10 Case and Visitor Trends, Types and Outcomes 10

B- Values Promotion Champions Program 14 Performance, Confronted Issues, Challenges and Future Action Points 14

C- Internal Networking, Outreach, Problem-Solving &Team-Building Activities 16 Internal Networking, 16 Outreach, Problem-Solving & Team-Building 17

D- External Networking 20

E- Training and Skills Development 22

F- Systemic Issues for Upward Feedback 24 Conduct & Abuse of Power 24 Career Development & Job Security 24 Performance Evaluation 25 Compensation & Benefits 25 Policy Implementation 26 Decentralization 26 Return to Abidjan 27

Conclusions and Way Forward 30

Photo of OMBU Team & Contact details for OMBU 31

ANNEXES

1. Staff Rule 103.00 32

2. Terms of Reference of the Ombudsman 34

3. TOR of the VPCs 36

4. List of the VPCs with their photos 38

5. Standards of Practice of the International Ombudsman Association 41

6. Sample Memorandum of Agreement for Mediation 44

7. Sample Request for Conciliation /Mediation 45

8. OMBU Exit Interview Sheet 46

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A Word from the Ombudsman & Mediator


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Dear All,

In accordance with our Terms of Reference (see Annex 2) we are pleased to share with you the 9th

Annual Report of the Office of the Ombudsman and Mediator. The report covers the period Janua-ry to December 2013. As required it ‘describes in general terms the issues dealt with and the outco-me of the Ombudsman intervention”. Upon publi-cation it will be available to staff and Management.

The theme chosen for the 2013 Annual Report is Managing Grievances and Motivating staff in a High Performing Work Environment”. This theme was chosen because it is an apt embodiment of the nature of Ombudsman work and the corpo-rate environment under which we operated during the year. Although yearly challenges vary, at no gi-ven year has our organization been faced with the pursuit of big ticket initiatives and agendas as in 2013. In addition to the normal annual operatio-nal and non-operational activities, Replenishment Exercises of the ADF 13, Accelerated Decentrali-zation of operations to field offices, Return to Abi-djan and Preparations for the 50th Anniversary ce-lebrations took place in parallel with the finalization of the Ten Year Strategy for the period 2013-2022.

The year was also characterized by the fine-tuning of the Organization Structure which led to creation of new Departments, merging of others, reconfi-guration of some, reassignment of responsibilities of others, changes in the reporting lines of some, restructuring and streamlining of important De-partments such as CHRM and CIMM and change in OMBU reporting line from PRST to FVP/COO. These organizational dynamics, a manifestation of a highly performing organization confirmed by two Development Impact Award Honors bes-towed by the US Treasury and an establishment of “our own Presidential awards to promote and reward excellence, innovation and results in Bank operations, did not take place seamlessly. Indeed these corporate undertakings, accomplishments and achievements were not attained in perfect har-mony. Naturally, there were individual and group collateral grievances and mishaps manifested in negative feelings and pre-occupations that were


brought to our attention. We were able to resolve majority of the issues and the rest in collaboration with other offices of the internal recourse system.

Specific to Return to Abidjan, the establishment of full time task teams combined with clear top management statement empowering and char-ging staff members to be individually and collec-tively responsible for smooth and successful im-plementation of the exercise as well as business continuity lightened the potential burden on our Office. All we had to do was ensure that concerns were channeled directly or indirectly to the set-up structures to be addressed. Moreover, it required partnering with the task teams as resource per-sons in the 2013 Conflict Competency Week, one of our important outreach and learning events of the year.

In general, our messages of personal conflict management and competency, self-motivation, building trust and personal contribution towards promoting respectful and productive workplace were channeled to colleagues when approached directly by complainants, through our Newslet-ters, Outreach and Problem-Solving missions as well as CHRM Induction sessions for newcomers, newly nominated Resident Representatives and Country Program Officers (CPOs).

We also used our training privilege, knowledge-sha-ring, techniques and skills enhancement sessions for the Values Promotion Champions (VPCs) to ensure that field offices are not left out. Specifi-cally, during the year we conducted an induction cum training of Eight (8) newly elected Values Pro-motion Champions to enable them be effective in their respective roles. The training which was sponsored by CHRM took place in Tunis from 15-17 July 2013. To reduce cost and ensure enrich-ment of the program, in-house resource persons from COEO, SCO, CHRM, APCU and IACD were used. We hope to have contributed towards nur-turing a more harmonious and productive work atmosphere in the Bank.

Turning to our performance in quantitative terms, a total of 167 caseloads representing approxi-

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mately 7% per staff at post were handled. This showed a 33% decrease of the absolute number of caseloads handled and compares with 10.9% per staff at post both registered last year mainly due to reduced outreach missions as we focused attention on ATR and the Return to the Headquar-ters. It is worth explaining here that the number of complaints registered particularly from field offices tend to increase because of the opportunity pro-vided to meet larger number of staff during pro-blem-solving trips.

The caseloads breakdown showed dominance of: FO cases compared to ATR; PL staff cases com-pared to GS; Regional compared to Non-Regional staff; and Male compared to Female categories of staff. On case types, grievances on Conduct & Abuse of Authority as well as Career Development & Job Security were the largest. In terms of out-

comes, 96% of all the cases handled were closed within an average of 4 weeks against OMBU es-tablished KPI of 95% for that duration. Depending on their complexity a few cases exceeded the four weeks however the majority took less time.

The OMBU Team also maintained its external networking relations with other members of the International Ombudsmen Association, the UNA-RIO and the World Bank and used those events to hone its skills imbibing and emulating good stan-dards of practice in conciliation, mediation, ma-naging the Office and handling visitors. The entire Ombuds team participated in the CSVP sponso-red Change Management Training offered by the PROSCI team in preparation of the Bank Return to Abidjan.

We would like to underscore and express grati-tude here for the valuable attention and support received by the Office in the course of the year from the President and the First Vice President/Chief Operating Officer provided through our pe-riodic reports.

In conclusion, we hope to count on the same support from Senior Management, our partnering Offices in the Internal Recourse Mechanism and most importantly you to focus attention on your grievances, concerns as well as your suggestions to improve on Bank policy and systemic gaps as we engage in the implementation of the 2014 work program in Tunis and in Abidjan.

Yours sincerely,

Amabel Orraca-Ndiaye (Mrs)

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Analysis of main activities carried out in 2013Section A: Conciliation and Mediation Services to Visitors


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Case and visitor trends,types and outcomes

The total number of caseloads (complaints) handled by the Office in 2013 from January to December

was 167, a 33% decrease of from the previous year mainly due to the fewer Outreach and Problem-Sol-ving missions to field offices that tend to expose lar-ger number of grievances. Specific to ATR, the many avenues and well-coordinated Bank-wide efforts in dealing with staff immediate and major concerns with respect to the Return to the Headquarters offered bet-ter options for staff to resolve their concerns besides our Office. The trend recording for the five-year period under consideration can be visualized in Fig 1 below.

Fig. 1:2009-2013 Trend Caseloads

Nomber of cases

2009 2010 2011 2012 2013

100 155 252 16791

The larger portion (64%) of total cases origina-ting from field (FO) offices reflects the results of: (i) Outreach, Problem-Solving &Sensitization mis-sions (FM) that enabled staff to come forward to receive advice on personnel matters, register employment related grievances and to express professional concerns; (ii) through the interven-tion of the Values Promotion Champions (VPC)s; and (iii) a few long-distance case management via telephone, video, Skype (not shown in Chart). In this respect, the effort made by certain Country Directors, Regional Directors, Resident Repre-sentatives and the Values Promotion Champion (VPC) program to ensure broad access of staff to the informal recourse services offered through the Office of the Ombudsman and Mediator, like the previous year, was commendable.

During the year, the origin of complaints received as can be deduced from figs 3-5 showed domi-nance of: Male compared to Female; Regional versus Non-Regional and PL compared to GS.

In light of the foregoing, it is not surprising that only 36% of caseloads handled by the Office ori-ginated from ATR.

Fig 2:TRA versus Field Offices

FM, 39%

FO = VPC+ FM 64%

ATR, 36%VPC, 25%

Fig 3:2013 Caseloads by Gender

Fig 4:2013 Caseloads Geographic Origin

56% 44%

F M

NRR

91% 9%

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The largest segment of the cases/complaints during the year as shown in Fig 6 were matters related to Conduct and Abuse of Power (42%) followed by Career Development and Job Security

(35%). Matters having to do with Policy Practices (10%); Performance Evaluation (7%); and Compensation and Benefits (5%) were equally important.

Fig 5:2013 Caseloads by Grade

Fig. 6:2013 Caseload Breakdown

57% 43%

PL GS

35%

7%1%

5%10%

42%

Career

Conduct & Abuse

Policy

Benefits

Separation

Performance Eval.

The caseload trend in Fig: 7 reveals the share of issues on Conduct and Abuse of Authority and Career Development and Job Security es-calating in 2013 from that of 2011. It should be

pointed out that all the cases required conci-liation coupled with counseling and at times referral to more appropriate offices for consi-deration.

Fig. 7:Trends in Caseload types (2009-2013)

0 20 40 60 80

2009

2011

2012

2013

SEPARATION

PERFORMANCE EVALUATION

POLICY PRACTICES

CONDUCT AND ABUSE OF POWER

CARREER DEVELOPMENT & JOB SECURITY

BENEFITS & COMPENSATION

(No of cases)

2010

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Outcomes

About 96 % of these total cases 167 as at 31 December 2013, were closed with consent of complainants and only 6 cases (4%) carried over to 2014, exceeding the 95% KPI introduced in 2010. (Ref. Fig 8).The average duration of a case was 4 weeks. Although a few cases exceeded that average in view of their complexity, the majority took much less time to bring toclosure.

Fig. 8:2013 Caseload Outcome

96% 4%

Closed On-going

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Section B: Values Promotion Champion(VPC) program


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Performance and Contribution to Conflict Management

The VPC program entered its fifth year having gained recognition by most field office staff

as a resource for managing work-related grie-vances and conflict. As seen in fig 2 earlier, the VPCs resolved 25% of total number of cases re-gistered in the year, the highest percentage score since the creation of the initiative. This year, eight (8) new VPCs were elected out of which three for newly created FOs (LRFO, TGFO & BFFO) and one for EARC, former KEFO. On the whole, majority of VPCs have become familiar with their roles and contribute towards nurturing harmo-nious and more respectful work environment in the field offices. Their major challenge continues to be their ability to combine the heavy worklo-ads with this additional responsibility.

Renewal of VPCs

The selection process of eight (8) of new VPCs was carried in replacement of those who had completed their term, or relocated to other field offices and ATR or to fill up positions in newly ope-rational field offices.

VPC Training and Capacity Building

The Office organized from 15-17 July 2013 in Tunis, an induction cum training for the 8 newly elected VPCs. The sessions were facilitated joint-ly by OMBU, Ethics Office, APCU, IACD, CHRM and Staff Council and focused on providing basic conflict management techniques as well as ela-borating on Bank HR Policies and Ethical Prin-ciples for effectiveness and quality performance in the field offices.


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Section C: Internal networking, outreach,problem-solving & team-building activities


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Internal Networking

The President

Until the change in the organization structure that took effect on 1 November, monthly and

periodic reports of the Ombudsman and Media-tor continued to be submitted to the President, bringing to fore systemic issues and trends in staff concerns and grievances channeled through the Office. The President was responsive and provi-ded feedback when deemed necessary to issues brought to his attention.

First Vice President/Chief Operating Officer (COO)

Under the fine-tuning of the organizational struc-ture of 1 November the Office was transferred from the PRST Complex to that of the First Vice President and Chief Operating Officer. Thus in ad-dition to periodic reports the Ombudsman used opportunities offered by bilateral meetings with the FVP/COO as well as instituted forth-night complex management meeting to gain insights into operational and corporate challenges and ac-complishments.

Operations I Country & Regional Policy Vice-President (ORVP)

The ORVP Vice-President delivered the Opening remarks of the First Vice President/COO the 2013 Conflict Competency Week (CCW). He affirmed management endorsement of the primary focus of the CCW on motivating staff to sustain business continuity and high performance. These, he indi-cated, were crucial as the Bank strived to meet its challenges of a successful return of the Headquar-ters to Abidjan; to ensure high dividends from the Bank accelerated decentralization agenda; and to maximize the use of the ADF 13 resources. He also emphasized the importance of staff rededica-tion and renewed commitment for effective opera-tionalization of the Ten-Year Strategy (2013-2022) and better service delivery to client countries. He therefore called on staff to seize the opportunity offered by the week-long event to gain knowledge,

skills, experience and reflect on personal motiva-tion triggers to enhance performance.

Corporate Services vice Presidency (CSVP)

The Vice President of Corporate Services closed the 2013 CCW on behalf of Senior Management and used the occasion inter-alia to call on staff and their families to use set-up structures and informa-tion sessions on the Return to Abidjan to ease, channel fears and concerns as well as sugges-tions that will ensure total success of the exercise. Furthermore, she teased out aspects Employment Value Proposition in the Bank Peoples Strategy on retention of high performing staff, enhancement of staff value and motivation to opt for the Bank as an employer of Choice. She also cited the newly created Department of Integrity and Ethics as one of management effort to investigate allegations on harassment, retaliation, wanton disregard of poli-cies and processes and procedures that tended to be the source of frustrations of many. Finally, she called participants to adopt attitudes and ac-tions that would impact positively on their collea-gues and organization units.

CHRM

OMBU participated actively in CHRM Induction and Orientation sessions for newly recruited staff and nominated Resident Representatives. The sessions were used to explain the functions of the different offices of the internal recourse mecha-nism; and elaborate on the services of the Om-budsman and Mediator as means to minimize the cost of conflict to the Bank. OMBU collabo-rated with CHRM Business Partners and focus group on the revision of the performance mana-gement system/ culture of the Bank. The OMBU attended a briefing session on the proposed light Staff Survey organized by CHRM on the 19th of July concerning the internalization of staff enga-gement process. The immediate outcomes were the creation of a Task Force in which the OMBU was incorporated as a member. In return CHRM sponsored the induction cum training of eight newly elected VPCs and was an active partner in the 2013 Conflict Competency Week. The Office

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also served in an informal forum established un-der chairmanship of CHRM uniting offices in the internal justice system. The Hearing Committee as it was referred convened several times to coor-dinate and improve the quality of implementation of HR related policies and guidelines including the revision of the Staff Rules. The ultimate goal of the Committee was to strengthen internal governance and reduce the cost of conflict to the Bank.

Staff Council (SCO)

The Chairperson of SCO participated as a re-source person in the induction cum training ses-sion of the newly elected VPCs. Her intervention focused on the mandate of the staff council and prospective collaboration between VPCs and SCO focal points to address staff concerns in the field office. In addition the SCO chair facilitated the first day session of the 2013 Conflict Compe-tency Week based on the topic “Employment Va-lue Proposition: Staff Motivation is Staff Engage-ment” by CHRM. At the International Staff Council Association conference hosted by SCO in Tunis, OMBU prepared a presentation on the Bank inter-nal Recourse Mechanism.

Staff Integrity and Ethics Office (SIEO)

The Ethics Officer and team (then COEO) played an active part as resource persons during the in-duction and training of the newly nominated VPCs that took place on 15-17 July 2013. Their lectu-rette was on “The Role of Ethics in Staff Related Employment Grievances”. In addition, the Director of the newly upgraded SIEO joined the resource team of the 2013 Conflict Competency Week where he facilitated the session on “Identifying the Basis of Motivation through Transactional Analy-sis” ably delivered by the Clinical Psychologist of the Bank Medical Center (SACS).

The Administrative Tribunal (TRIB)

The Executive Secretary and staff of the Admi-nistrative Tribunal took an active part in the 2013 Conflict Competency Week. Specifically the Exe-cutive Secretary chaired and facilitated the dis-cussion session on the “Return to Headquarters

in Abidjan – Opportunities and Challenges” – de-livered by the Return to the Headquarters Team. The Ombudsmen also attended in observer capa-city, the 22nd Judicial Session of the Tribunal that took place in Tunis from 6-13 November 2013. It was an opportunity to identify any administrative and or procedural lapses undermining the case and discern alternative precautionary actions via less costly informal recourse mechanism for simi-lar cases in future.

Integrity and Anti-Corruption Department (IACD)

In the course of the year, the Office participated in select complex meetings. The Ombudsman& Mediator also participated in the 14th Conference of International Investigators (CII) 2013 hosted by IACD on 18-20 December 2013. She facilitated sessions on “Investigating Harassment Policies and Practice” delivered by panelist Investigators from WHO, UNIDO and UNICEF. The sessions en-abled participants to have better understanding of application of harassment policies in the four mul-tilateral organizations including that of the Bank to draw parallels and differences; exchange expe-riences and good practice in the implementation of harassment policies.

Induction & Pre-posting SessionsDuring the year, OMBU participated in six (6) CHRM Inductions and Orientation Sessions where a total of 177 newly recruited staff, where a total of 187 newly recruited staff were sensitized on the significance of sustaining a respectful and conflict competent workplace. OMBU goals in this res-pect was to : (a) elucidate the ombudsman and mediation functions as an avenue for informally resolving employment related grievances; (b) cla-rify the role of the Values Promotion Champions (VPCs) in the Field Offices; and (c) underscore the merits of competent conflict management in terms of time and cost savings to the Bank. New staff members were also encouraged to assume individual and collective responsibility for mana-ging personal conflict and use the informal re-course facility availed to them.

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Outreach, Problem-Solving Sessions & Team Building

In accordance with approved 2013 work program, the Office undertook Outreach and Problem-sol-ving missions to field offices in Burkina Faso, Li-beria, Togo and Zambia. At the TRA, it reached out to CHRM, the focus being on team-building and close collaboration with the new manage-ment team. The Outreach and Problem-solving sessions were designed to help staff build more cohesive and energized teams to implement the respective work programs. It was also to reinforce the role of the VPCs and nurture staff individual and collective involvement in sustaining a res-pectful, harmonious and productive work atmos-phere. Skills and techniques were shared in some cases to enable staff manage personal and group conflicts. Work-related grievances bordering on policy breaches and non-adherence of guidelines and procedures formed part of the upward feed-back briefing to the President.

Specifically, the Office received invitations from SARC Regional Director and ETFO Resident Re-presentative to participate in retreats organized in Pretoria and Addis Ababa respectively. The theme of SARC retreat was on Delivering Results, Indi-vidual and Collective Responsibilities in Ensuring Success of the Bank Decentralization Strategy; while that of ETFO was on the theme Commu-nication with Clientele and How to Reinforce the Bank Culture to Achieve the ETFO Mandate. Du-ring these sessions the OMBU made presenta-tions on effective communication with the clientele

and within the offices. It was an occasion to reflect on how staff could develop conflict competent re-lations amongst themselves to better serve the continent.

Conflict Competency Week (CCW)

The 2013 Conflict Competency Week took place successfully in Tunis from 28 October to 1 No-vember 2013 based on the theme “Motivating Staff in a High Demanding Work Environment”. About 150 participants from the ATR in person and Field Offices via video conference took part in the event. Internal resource persons from OMBU, CHRM, Medical center, CGSP and the Return to Abidjan team were joined by two Joint-Om-budsmen from the United Nations Funds and Programs to present the daily topics of the week. The topics were: (a) the Employment Value Pro-position: Staff Motivation is Staff Engagement; (b) Identifying the Basis of Motivation through Transactional Analysis; (c) Innovative ideas and tools for Building Trust and Leadership; (d) Mo-del of Motivating Staff to deliver quality and timely projects; and (e) Opportunities and Challenges of the Return to the Headquarters agenda. The approach adopted was to impart knowledge and skills. Senior Management statements made du-ring the opening and closing sessions endorsed the activities of the week and emphasized the importance accorded to nurturing respectful and high performing work place that allows all staff to thrive professionally. On the whole, participant feedback was positive and suggestions to repeat certain sessions to attain a wider spectrum of staff in future.

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Section D: External Networking


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The Office maintained its contacts with the In-ternational Ombudsmen Association (IOA) and

collaboration with the United Nations and Related International Organizations (UNARIO). At the IOA, the two Ombudsmen represented the Bank in different committees including the International, Legal and Legislative, Professional Ethics, Stan-dards of Practice and Best Practices. Specifically in the International Committee, the Office served as one of the Coordinators of the IOA Scholarship program and the task group for promoting the organization ombudsman profession in other re-

gions outside North America. The alliances with these two bodies enabled the Office not only to acquire but to uphold International Standard of Practices in the ombudsman and mediation func-tions.

In addition the Office was actively involved in the Annual Forum of Peers and other Multilateral Fi-nancial Institutions held on the 13 June 2013 in Washington DC. The theme of the gathering was “The Innovative Role of Peer Review in Resolving Employment Disputes”.

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Section E: Training and skills development


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In line with the Ombudsman and Mediator tenets of practice and as per 2013 personal development objectives, the Ombudsmen and support team pursued individual skills enhancement sessions internal and external to the Bank. These knowledge and skills enhancement sessions added value to the quality of service from OMBU offered to staff.

They also reinforced the capability of the Office to meet challenges presented by the Accelerated Decentralization, Return to Abidjan as well as preempt adaptation within the context of the Bank Long-term Strategy for 2013-2022.


Eight (8) newly selected VPCs from LRFO, ZWFO, EARC, DZFO, TGFO, UGFO, SDFO and AOFO were also provided with induction cum training from 15-17 July 2013 in Tunis. The sessions were sponsored by CHRM and facilitated in collabora-tion with APCU, COEO, IACD, SCO and CHRM. The training was designed to empower the VPCs by teaching them basic conflict management techniques and equipping them with crucial HR policy document that should come in handy in the field office. They were also mentored to practice according to the norms of informality, confidentia-lity, impartiality and independence while respec-ting the boundaries reserved for VPCs.

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Section F: Systemic issues and upward feedback


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Conduct and Abuse of Power

Staff grievances relating to conduct and abuse of authority continued as in the past to dominate ca-seloads handled in 2013. Thus as can be deduced from fig.6 and fig.7 earlier, in 2013 and 2012 this category represented respectively 42 % and 37% of total caseloads, the highest shares, a significant 5 % increase over a year. The types of comport-ments complained about under this category can be grouped as follows:

Harassment

By design of function certain positions such as combined Administrative and Finance functions in certain field offices gave extra-ordinary powers to certain staff. This additional responsibility added pressure and had adverse repercussion on their service delivery and strained their interpersonal rela-tions with their colleagues. Certain staff particularly new ones claimed to have received minimum or no clear guidance concerning tasks, delivery expecta-tions or outcomes under their work programs from their supervisors. This left them at a loss and frus-trated as their contributions were found often unac-ceptable and they perceived other colleagues under different supervisors thrive professionally and appear more motivated. Fiery e-mail exchanges between managers and supervisees and between peers on matters best handled face-to-face or by telephone also escalated certain conflictual relations causing enormous stress to parties. Some staff complained of changes being made in their work programs or reassignments to other positions without their consultations leaving them stressed and frustrated guessing the motive behind such changes espe-cially if there had never been prior criticism of their performance or output. In one instance a staff des-cribed the supervisory authority as “hardworking, organized, and gives rapid responses to messages; also rigorous and has high capacity to work and de-liver but has no human touch. Collaborators will do even more if they were motivated”.

Respectful Treatment

Certain managers complained of insubordination and aggressive behavior from supervised staff and


show of minimum respect of authority and actions taken within their purview. They complained of certain staff wanting to do as they pleased wit-hout any checks and accountability and tendency to resort to the internal justice system on issues that could have been resolved bilaterally using facts at hand. Such comportment often eroded trust between supervisors and supervisees and had negative effect on the implementation of the work program. A couple of staff complained of supervisors and peers intruding their professional space by snooping their desks, cupboards in their absence, acts they deemed disrespectful and vio-lation of their privacy. Some deemed it disrespect-ful when their communication to supervisors went unacknowledged or annotated with ‘seen’ with no clear indication of required follow- up actions while others had a sense of ‘retaliation’ whenever they brought contract related matters to the attention of Management.

Group complaints were registered from a couple of field offices where it was felt that international staff used language with condescending under-tones to the national staff; and in another instance there was animosity among the local staff parti-cularly in the absence of Resident Representative and CPO “as everyone wanted to be boss”.

Solution

Amongst the initiatives CHRM have put in place is the involvement of Business Partners in pro-fessional communication between certain staff and their supervisors. Organization units should be encouraged to discuss some of these dis-respectful comportments at retreats and team building sessions and adopt frequent training sessions in compassionate and non-violent communications.

Career Development and Job Security

Tight Advancement and Promotion opportunities

Most of the issues raised concerned systemic issues. Complaints of frustrations were made

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about situations where certain staff remained in an Acting capacity in a position for a long time, they were later invited to interview for the position but where not offered the job. There were others who complained that they acted in a position but when the positions where advertised they were not shortlisted to be interviewed. A couple of cases recorded exposed staff claim of being in-formed of their being found recruitable for higher positions after the interview process yet when the offer was rejected by previous selected candidate (external) they were not considered for the offer. Instead, the position was re-advertised with no tangible explanation thus creating doubts about the transparency in creating opportunities for pro-motion of internal candidates. Others expressed great disappointment for not being considered for in situ promotion after having received “Superior” performance rating for several years. In this res-pect, certain staff of GS 8 and PL 3 categories felt the most victimized as they felt there was no clear avenue for their professional advancement even if they excelled in their respective performances.

Contract Renewal

Some staff expressed concern that the duration of contracts are being shortened to as little as one year and at times accompanied by a “Needs Im-provement” rating. This was seen as double puni-shment and lacking appropriate policy.

Solution

The Ombudsman in dealing with these issues with Senior Management proposed that first perhaps some vacancies be filled through promotions and not the usual competition particularly in circums-tances when one has acted for a while and has received favorable performance evaluations. Fur-thermore, that in the event positions are advertised for open competition and the acting staff have ex-pressed interest for consideration, they should be accorded opportunity to compete for those posts. These discussions are on-going. With respect to the Contracts, OMBU has advised against such ‘renewals’ and continued to undertake informal discussions with management to find a lasting so-lution to such matters.

Performance Evaluation

On the whole, complaints relating to badly-conducted performance evaluation were minimized this year representing 7% of total caseloads handled, due to guidance and in-terventions of HR business partners in certain cases to ensure the process conformed to the procedure. However, one of the systemic issues that arose from the PE exercise was the deve-lopment of a Performance Improvement Plan (PIP). Staff concerned contended that their PIPs were prepared to find solution to their conduct or interpersonal relations with their supervisors or peers with a possibility of the exercise resulting in sanctions or disciplinary actions not to meet set performance objectives and deliverables agreed upon.

Solution In our intervention we had often pointed out the Performance Review requirement from managers to also identify or recognize staff difficulties in wor-king relationships and provide feedback and coa-ching to improve social and interaction skills. Thus managers had the right to use PIPs with clearly defined objectives, expected comportment, per-formance benchmarks and required mutual ac-tions, all agreed with staff. However given the fre-quent confused understanding of the use of the PIP we have in liaison with CHRM Task Force on the Review of the Performance Evaluation sys-tem proposed that a clearer distinction be drawn between the use of a PIP designed to assist staff deliver on their work program objectives; and that requiring adherence to the Code of Conduct proven failure of which might lead to misconduct charges and sanctions.

Benefits and Compensation

Local Salaries Denominated in UA

Field Office staff expressed general recognition and appreciation for Board decision to denomi-nate local salaries in Units of Account (UA), an action to address diminished net income resulting

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from hyper-inflation in certain countries. Howe-ver, a group complaint was made that flagged that although the pegging to the UA eventually enabled them meet the high cost of living in the host country the long delay in implementing the Board decision combined with multiple devalua-tions of the local currency in certain cases led to rapid erosion of the purchasing power of the sa-laries. Certain field office staff hosted in countries of the CFA zone also complained of excessively high cost of living as a result of the over-valued currency.

Solution

These issues were immediately drawn to attention of Senior Management, CHRM and PECOD. The group complaint with respect to the delayed im-plementation of Board decision was resolved with affected staff receiving retroactive compensatory payments while the issue of COLA adjustment in the CFA zone has been slated for further studies.

Severe Salary Deductions

Some complaints were registered with respect to long delayed salary deductions for various contri-butory services extended to staff. The delays in recovery, often of huge amounts, had caused se-vere cash-flow problems and panic to those staff when they had to meet expenses in- between sa-lary periods.

Solution

OMBU had advised that for such large sum of de-ductions staff negotiate with the Bank for a fairer payment schedule that would give relieve to the take home pay especially when the fault of the de-lay is not attributable to the staff.

Policy Implementation The Office received some grievances once again this year with respect to delays in contract renewal and the non-renewal of contracts after successful completion of Probation Periods and Midterm Re-views. It was reported that delays in notification of renewal of contracts sometimes exceeded 6

months; and the renewed contract duration was at times shortened with no apparent explanation when staff performance had been registered as Fully Satisfactory and even Superior.

Solution

The OMBU advised that these cases that demons-trated blatant breach of Bank rules and proce-dures merited immediate Senior Management at-tention to avoid escalation to the level of the Admi-nistrative Tribunal. Meanwhile OMBU continued to advise certain complainants to work with their HR Business partners to arrive at solutions while for others we resorted to the usual shuttle diplomacy to find mutually agreeable entente.

Decentralization

Our encounters during Outreach, Sensitization and Problem-solving trips and logs submitted by the VPCs revealed the several issues as the Bank decentralization program gained momentum among which they major ones remained:

• Communication glitches between Sector Managers, Regional Experts and Resident Representatives with respect to planning of annual work program, leave, mission, and performance evaluation of certain field office staff under the dual/multiple reporting arran-gements.

• Certain positions in some field offices e.g. Secretary, Administrative Assistant, and Dis-bursement Assistant were deemed to have been overtaken by the expansion or new dimensions of Bank operational activities and increasing demands of the Offices thus necessitating revision of the Terms of Refe-rence/Job Descriptions.

• Desire for more autonomy by certain FO staff to operate within the domain of their compe-tence and resolve problems confronted;

• For certain Drivers the need to adhere to re-gular working hours and respect of overtime payments whenever due;

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• Some Field Offices requested for more sys-tematic involvement of the newly recruited staff in the CHRM Induction sessions and more profound training in the SAP at HQ to supplement those gained from E-Learning programs.

Solution

These issues were discussed with relevant orga-nizationon units including CHRM and PECOD and expected to be considered within the context of the Enhanced Decentralization Strategy. Within its budget provision CHRM assured conducting sys-tematic induction sessions for all newly recruited staff.

Return to HeadquartersConcerns by General Services (GS) staff of the high cost of housing in Abidjan. Even though the Bank has agreed to pay installation allowance equivalent to: (i) one and a half months of salary for staff with dependents; and (ii) one month of sa-lary for staff without dependents, it appeared that this category of staff, especially those who have no houses in Abidjan would likely face difficulties to find affordable housing in areas which are easy to commute to the HQ. The above allocations pro-vided by the Bank did not seem to meet with the high inflation rate on housing that has taken place in Abidjan. GS staff who have no houses would eventually have to go to further neighborhoods, with the risk of facing insecurity problems, stress due to lack or poor transportation to the HQ, low performance, consequences on their health and productivity.

Solution

In this respect, OMBU continued to encourage staff to embrace the various initiatives in place by the Bank including the interactive Return to Abi-djan site, the various town hall meetings and the coaching on change management that could help address some of their concerns.

Fears of possible redundancy and downsizing resulting from the fine-tuning of the Organization

Structure preceding the Return to the Headquar-ters were expressed by certain staff.

Solution

Those staff members were assured and informed of the absence of any Top/Senior Management declaration to that effect.

A Group complaint was registered from DIRA concerning staff who claim that unlike some of their colleagues, they did not receive any al-lowances to enable them meet the high cost of in-flation in Abidjan following their return from Tunis.

Solution

The group was encouraged to present their case officially to CHRM and seize the presence of CSVP in Abidjan at the time to clarify whether there has been any oversight or errors in the allocation be-nefits and compensation to them.

Temporary Freeze on Applications for Non-Active status: A CHRM memorandum based on instruc-tion from COSRA to this effect did generate some concern addressed to our Office. The concern was whether the ad hoc body could legitimately “suspend” provisions enshrined in the Staff Rules.

Solution

The view from OMBU was that the President of the Bank has powers to decline any application for non-active status for personal reasons due to exigencies of duties. As such enforcement by an administrative memorandum was not necessary unless it was meant as a deterrent against any obstacle to the smooth Return to the Headquar-ters and assurance of businesses continuity in the process.

In general, OMBU provided complementary ex-planations and necessary assurances to address fears and concerns expressed through the Office on the Return to Abidjan and the Accelerated De-centralization processes. This was done by allo-cating a whole day session in the 2013 Conflict Competency Week Return to the Headquarters

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(RTHQ) team to address staff on the Opportunities and Challenges of the whole exercise.

The Office also encouraged visitors/complai-nants to participate in the various Town hall mee-tings, Change Management Training sessions, Exhibitions and information sessions as well as

to channel their views and suggestions through websites and Newsletters set up for staff and their families. For those who for personal rea-sons could not return to the Headquarters they were encouraged to seize the opportunity offered through the separation packages for GS and PL categories of staff.

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Conclusions and Way Forward


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A review of OMBU 2013 work program activities in the foregoing sections of the report expose the primary focus on providing quality grievance resolution services to staff and management at reduced cost to the Bank. As such, complaints manifested in fear, stress, demoralization and other forms that sapped staff vitality and produc-tivity in the midst of preparations for its Return to the Headquarters and the Ten Year Strategic Plan were handled with outmost care. To this effect, re-lated grievances from ATR and field offices were managed in consultation with established formal structures to ensure complainant were properly informed and advised and that the informal re-course mechanism did not take any stance that would cause major derailment of the collective ef-forts being made to ensure smooth transition from Tunis to Abidjan.

In addition, we used our 2013 Conflict Compe-tency Week in partnership with selected offices in the internal recourse mechanism to provide staff not only knowledge and information, but princi-pally skills and technique that would enable them

self-motivate, build trust and aspire good lea-dership principles in order to tackle future corpo-rate challenges.

Looking forward to 2014 and onwards, our work program will be shaped by: (a) the degree of un-finished business resulting from the physical move from Tunis to Abidjan combined with staff and management adjustment issues; (ii) need to address challenges such as openness and trust, professional development, gender biases among others required for the achievement of the Peoples Strategy in support of the 10 Year Strategic Plan; and (iii) any other flags from the 2013 Staff Survey. This would imply contextualising the Ombuds-man and Mediation functions going beyond reso-lution of individual and group grievances to more intense collaboration with other stakeholders in order to mould the Bank culture to be higher trust and more conflict competent. These ideas are well articulated in our work plans in support of the Bank 10 Year Strategic Plan thus making us hopeful to make a difference with continuous management financial and moral support.


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PHOTO OF OMBU TEAM & CONTACT DETAILS

From L to RJeanette Ndongo, Administrative Assistant: (+216) 71 103 403;

Alisand Singogo, Second Ombudsman & Mediator: (+216) 71 102 141;Amabel Orraca-Ndiaye, The Bank Ombudsman & Mediator: (+216) 71 102 114;

and Mercy Ndubuisi-Okotie Secretary: (+216) 71 102 944

Contact:

Office Location: ATR A, 2nd Floor – Offices 233-237 Fax: (+216) 71 831 552Dedicated E-mail address: [email protected]

ANNEXES

ANNEXES

mailto:[email protected]

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Ombudsperson

(a) There shall be an Ombudsperson in the Bank appointed by the President, whose function shall be to facilitate conflict resolution, using media-tion and conciliation or other appropriate means for the primary objective of settling grievances on employment matters between a staff member and the Bank. The Ombudsperson shall also be res-ponsible for advising and recommending to Ma-nagement solutions to shortcomings in employ-ment policies, procedures and practices.

(b) The duties of the Ombudsperson shall be as follows:

(i) To consider employment related grievances of a staff member. “Grievance” is to be construed in a broad sense and includes matters pertaining to the administration of benefits as well as professional concerns and staff relations.

(ii) To provide informal assistance with grie-vances when consulted before they get to the Staff Appeals Committee or in circumstances where the Staff Appeals Committee decides, with the agreement of the parties, to delay its proceedings pending an effort at informal resolution by the Ombudsperson.

(iii) To prepare and submit reports on com-ments and recommendations on any shortcomings identified in employment policies, procedures and practices in the Bank. Such reports shall be submitted to Management and to the responsible Or-ganizational Unit, provided that they shall have no binding effect.

(iv) To provide advice on any personnel matter or issue referred by Management.

(v) At the request of Management, to partici-pate in the elaboration of Bank personnel rule regulations, policies or practices.

(vi) To publish an annual report on the activities of his/her office.

(c) The Ombudsperson shall report directly to the President and shall be independent of any Depart-ment or staff member. When required, the Om-budsperson shall have direct access to the Pre-sident of the Bank.

(d) In the discharge of his/her functions, the Om-budsperson may deal directly with all Heads of Departments and other supervisors as well as with all categories of staff members at the Head-quarters and in the Field Offices, and shall:

(i) have the freedom to discuss and consult with all levels of staff including the Staff Council;

(ii) have access to any staff record, which he/she believes to be relevant;

(iii) respect and ensure the confidentiality of all information and documentation made available to him/her;

(iv) maintain appropriate confidential records of all grievances and other matters han-dled by him/her in the discharge of his/her duties; and

(v) exercise independent and objective judg-ment in evaluating the grievance. In doing so, the Ombudsperson shall take into ac-count the rights and obligations existing between the Bank and the staff member and the equities of the situation.

(e) The Ombudsperson shall review documents and files, including the personnel records of a staff member and collect whatever information he/she deems relevant to the grievance and to the discharge of his/her functions.

(f) The Ombudsperson shall supplement and co-operate with in the mechanisms set in place by the Bank to improve the working conditions as well as the quality of human and professional rela-tionships at all levels in the Bank.

(g) Heads of Departments, other supervisors and all staff members shall co-operate with the Om-budsperson and shall utilize his/her services to the fullest extent possible with the sole aim of main-

Annex IRule 103.00

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taining and enhancing a healthy working environ-ment for the common benefit of the Bank and staff members.

(h) The Ombudsperson may make suggestions or recommendations, as appropriate, on Actions needed to settle the grievance. However, the sug-gestions or the recommendations, as the case may be, are not binding and final decision thereon

is the prerogative of the person to whom they are addressed.

(i) The Ombudsperson may decline, at his/her dis-cretion, to consider grievances that may be reme-died only by action affecting the staff member at large or all the members of a category of staff, or that the Ombudsperson considers have not been brought to his/her attention in a timely manner.

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PreambleThe post of Ombudsman was first established in 1992 as part of the efforts by Management to im-prove the working conditions as well as the qua-lity of human and professional relationships at all levels in the Bank. The post supplements the va-rious other mechanisms already in place, such as the Staff Council, the Disciplinary Committee, the Staff Appeals Committee and later, the Adminis-trative Tribunal.

The Ombudsman is a designated neutral and im-partial dispute resolution practitioner; his major function is to provide independent, confidential and informal assistance to all staff on grievances and complaints related to human resources and work place issues.

The office will facilitate conflict resolution between staff members and Management through the use of mediation and conciliation or other appropriate means.

Authority of the Ombudsman The Ombudsman has no formal decision making powers, but will advise and make recommenda-tions to the President and other affected Mana-gers or staff.

In exercising his duties, the Ombudsman will be independent of any official, department, office or other organizational unit of the Bank.

The Ombudsman shall have the right, on any matter pertaining to the exercise of his duties, to direct access to any staff member and manage-ment of the Bank. All staff members are expected to cooperate with the Ombudsman and to make available all information pertinent to matters he is reviewing; he shall therefore, have access to all re-cords relevant to the exercise of his duties.

Duties of the Ombudsman The principal duties and activities of the Ombuds-man shall include:

Annex IITerms of reference of the ombudsman(Extracted from CMVP circular dated 8 July 2004 on the TOR of the Ombudsman)

1. Provide staff with consultations and advice on issues or problems affecting professional mat-ters or employment conditions in the Bank. These include, but are not limited to, working conditions, job content, relationship with other staff/supervisors, performance evaluation, sala-ry review, career development, benefits admi-nistration, harassment and professional ethics; he/she may decline at his/her own discretion, to consider grievances that can be remedied only by action affecting the staff at large or all members of a category of staff, or that the Om-budsman considers have not been brought to his/her attention in a timely manner;

2. Assist in identifying solutions or options to re-solve specific issues in an impartial and equi-table manner through discussions and consul-tations with all levels of staff, and have access to any staff record or relevant Bank documents or records;

3. Prepare and submit to Senior Management and the responsible or affected organizational units, reports containing comments and recommen-dations on any shortcomings identified in hu-man resource policies, procedures and prac-tices in the Bank;

4. Provide on-going education and communica-tion about the office’s role to all potential inqui-rers as well as to the Senior Management of the Bank;

5. Prepare an annual report of the types of mat-ters handled and results achieved or accom-plishments made during the preceding year. The report shall describe in general terms the issues dealt with and the outcome of the Om-budsman’s intervention. It shall be available to staff and Management upon publication.

Confidentiality

The Ombudsman shall ensure the strict confiden-tiality of all information and documentation made available to him and maintain appropriate confi-dential records of all complaints and other mat-ters handled by him in the discharge of his duties.

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However, the ombudsman may disclose informa-tion if the person seeking assistance consents to disclosure for the purpose of the performance of the duties of the Ombudsman. He may also, at his sole discretion, break confidentiality where there appears to be imminent threat of serious harm.

Reporting relationships

The Ombudsman reports to the President and he is independent of any official or organ of the Bank.

He shall, in the discharge of his functions, also deal directly with the Vice President for Corporate Management.

Heads of Organizational Units, other supervisors and all staff members are accordingly invited and encouraged to cooperate with the Ombudsman and to utilize his services to the fullest extent pos-sible with the sole aim of maintaining and enhan-cing a healthy working environment for the attain-ment of the Bank’s objectives.

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Annex IIIA Values Promotion Champions1(VPC)

Terms of ReferenceThe African Development Bank values its hu-man resources as its most important asset. In acknowledgement of that fact, the Bank has been very active in fostering policies and programs ai-med at ensuring that respect for staff dignity pre-vail in the workplace and that the working envi-ronment is wholesome. It has therefore adopted policies and practices with the fundamental pur-pose of guaranteeing a respectful, harassment- and intimidation-free environment. It thus strives to ensure that prompt and serious attention is accorded to any form of grievance or complaint that suggests disrespect for staff dignity. In fur-therance of these policies, the Bank has set up several formal and informal channels of recourse to enable persons with such complaints to regis-ter them and seek advice and assistance. These channels include Management Review, Human Resources Department, the Staff Council, the Of-fice of the Ombudsman with the Values Promotion Champions (VPCs) Program, Ethics Office and the Administrative Tribunal. The VPCs are selected by the staff members in the respective field offices and the VPC program is managed by the Office of the Ombudsman.

Main Responsibilities of the VPCs• Serve as a confidential and safe place where

colleagues can go for support and informa-tion.

• Direct colleagues to appropriate channels in the Bank’s Internal Justice System.

• Serve as a sounding board for staff concerns in the field offices to the Ombudsman.

• Periodically sensitize staff in their respective offices on Bank Ethics and Values as well as brief new staff on the VPC role.

• Hold periodic meetings with the Field Office Representatives to discuss trends and gene-ral atmosphere in the office without divulging names or information on specific cases.

• Send quarterly and confidential logs to the Of-fice of the Ombudsman on the types of issues brought to them in a generic and protected way, divulging no names or information that would

lead to the identification of a staff member, in order to strictly secure confidentiality.

The VPCs are not expected to directly intervene in mediation, resolution or investigation.They should, at all times and in all circumstances;

• Maintain the highest levels of personal inte-grity.

• Show the example by respecting the rights and dignity of their colleagues.

• Keep discussions with colleagues absolutely confidential, even in discussion with other VPCs.

After their appointment, all VPC’s must undergo training before they begin to serve in that role. In order to avoid conflict of interest, staff performing managerial or HR responsibilities and Staff Coun-cil Officers will not be eligible for appointment as VPCs. All changes in status, grade, responsibility, or work location of a serving VPC must be re-ported promptly to the Program Administration.

Knowledge Requirements:

VPCs will be expected:· to be comprehensively familiar with Bank

Group policies and procedures, ethical values and expectations.

· to have an understanding of the dynamics of a culturally diverse environment and work-place problems.

· to be conversant with the workings and ser-vices of the Bank’s recourse channels.

· to be able to perform basic advisory functions such as skilled listening and emotion mana-gement for constructive action.

· to have a very clear understanding of their roles as VPC’s , which include how to han-dle and respond to workplace problems, and how to refer colleagues to appropriate chan-nels elsewhere in the Bank

Selection Process·Firstly, the Resident Representative or the Of-

ficering Charge of the field office sensitizes the

1 Inspired both in concept and design with courtesy of the World Bank Respectful Workplace Advisors (RWAs) Program.

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staff about the importance of the role of the VPC at the workplace, the upcoming selec-tion exercise, and advises staff to nominate in a confidential manner, individuals whom they most respect and trust to represent them as a VPC. The Resident Representative and members of the administrative and manage-ment team are not eligible for nomination.

·Secondly, the Resident Representative com-municates information about the most-nomi-nated candidate to the Office of the Ombuds-man in Tunis.

·Thirdly, the Ombudsman consults with the SCO Chair, the Ethics Officer and the Mana-ger of the Anti-Corruption and Fraud Division of OAGL to validate or vet the nomination

and then confirms with the selected staff his/her willingness to serve as VPC. The selec-tion process is considered complete as soon as confirmation is received from the selec-ted staff member and he/she has provided a photo identity and a short biography to the Office of the Ombudsman.

Tenure of the VPC

The Term of Office of the VPC shall be two (2) years renewable only once for a further two (2) years. However, for the pioneering VPCs, (2009) the first term shall run for three (3) years to assist consolidate the program. They shall thereafter be eligible for re-nomination for one more term only for two (2) years.

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Annex IVValues champions promotion/champions de List of the VPCs as at 31st december 2013

Koroma FarahSierra Leone SLFO

Ouédraogo Chrystologue PierreBurkina Faso BFFO

Mba Nguema CamilleGabon GAFO

Randriatsiferana, SimonMadagascar MGFO

Yakubu BakoNigeria NGFO

Tique CesarMozambiqueMZFO

Djiro AbdoulayeMaliMLFO

Zimulinda, Angélique MihigoRwandaRWFO

Beringar Nagara ChristineTchadTDFO

Nyaga AlbertCameroonCMFO

Nkhoma BensonMalawiMWFO

Sobhi Amira SalehEgyptEGFO

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Woldetensay, Sisay Mihretu EthiopiaETFO

Ramakau SelloSouth AfricaZAFO

Khiati DrissMorocco MAFO

David EngwauUganda UGFO

Kintandala Luhana RaymondD.R. CongoCDFO

Eltahir Yousif M.A. B a c h i rSudanSDFO

Brighton KishebukaTanzaniaTZFO

Farma Diabaté-DraméCôte d’IvoireROSA

Derby NanetteGhanaGHFO

Natan JereZambiaZMFO

Kitane SouleyeSénégalSNFO

Monyau Mary MannekoZimbabweZWFO

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Tarik BenbahmedAlgeriaDZFO

Michael KiboinoKenya EARC

Tamba PrinceLiberiaLRFO

Barreto NelvinaGomes D.Angola AOFO

Gake Mouity AlixTogo TGFO

Newly Trained VPCs/ 15-17 July 2013 in Tunis

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IOA Standards of PracticePreamble

The IOA Standards of Practice are based upon and derived from the ethical principles stated in the IOA Code of Ethics.

Each Ombuds office should have an organizational Charter or Terms of Reference, approved by senior management, articulating the principles of the Ombuds function in that organization and their consistency with the IOA Standards of Practice.

Standards of Practice

I- ndependence

1.1 The Ombuds Office and the Ombuds are independent from other organizational entities.

1.2 The Ombuds holds no other position within the organization which might Compromise independence.

1.3 The Ombuds exercises sole discretion over whether or how to act regarding an individual’s concern, a trend or concerns of multiple individuals over time. The Ombuds may also initiate action on a concern identified through the Ombuds’ direct observation.

1.4 The Ombuds has access to all information and all individuals in the organization, as permitted by law.

1.5 The Ombuds has authority to select Ombuds Office staff and manage Ombuds Office budget and operations.

2- Neutrality and Impartiality

2.1 The Ombuds is neutral, impartial, and unal igned.

2.2 The Ombuds strives for impartiality, fairness and objectivity in the treatment of people and the consideration of issues. The Ombuds advocates for fair and equitably administered processes and does not advocate on behalf of any individual within the organization.

Annex VIOA Standards of Practice and IOA Code of Ethics

2.3 The Ombuds is a designated neutral reporting to the highest possible level of the Organization and operating independent of ordinary line and staff structures. The Ombuds should not report to nor be structurally affiliated with any compliance function of the organization.

2.4 The Ombuds serves in no additional role within the organization which would compromise the Ombuds’ neutrality. The Ombuds should not be aligned with any formal or informal associations within the organization in a way that might create actual or perceived conflicts of interest for the Ombuds. The Ombuds should have no personal interest or stake in, and incur no gain or loss from, the outcome of an issue.

2.5 The Ombuds has a responsibility to consider the legitimate concerns and interests of all individuals affected by the matter under consideration.

2.6 The Ombuds helps develop a range of responsible options to resolve problems and facilitate discussion to identify the best options.

3- Confidentiality

3.1 The Ombuds holds all communications with those seeking assistance in strict confidence and takes all reasonable steps to safeguard confidentiality, including the following: (a) The Ombuds does not disclose confidential communications unless given permission to do so in the course of informal discussions with the Ombuds, and even then at the sole discretion of the Ombuds; (b) the Ombuds does not reveal, and must not be required to reveal, the identity of any individual contacting the Ombuds Office, nor does the Ombuds reveal information provided in confidence that could lead to the identification of any individual contacting the Ombuds Office, without that individual’s express permission; (c) the Ombuds takes specific action related to an individual’s issue only with the individual’s express permission and only to the extent permitted, unless such action can

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be taken in a way that safeguards the identity of the individual contacting the Ombuds Office. The only exception to this privilege of confidentiality is where there appears to be imminent risk of serious harm, and where there is no other reasonable option. Whether this risk exists is a determination to be made by the Ombuds.

3.2 Communications between the Ombuds and others (made while the Ombuds is serving in that capacity) are considered privileged. The privilege belongs to the Ombuds and the Ombuds Office, rather than to any party to an issue. Others cannot waive this privilege.

3.3 The Ombuds does not testify in any formal process inside the organization and resists testifying in any formal process outside of the organization, even if given permission orrequested to do so.

3.4 If the Ombuds pursues an issue systemically (e.g., provides feedback on trends, issues, policies and practices) the Ombuds does so in a way that safeguards the identity of individuals.

3.5 The Ombuds keeps no records containing identifying information on behalf of the Organization.

3.6 The Ombuds maintains information (e.g., notes, phone messages, appointment calendars) in a secure location and manner, protected from inspection by others (including management), and has a consistent and standard practice for the destruction of such information.

3.7 The Ombuds prepares any data and/or reports in a manner that protects confidentiality.

3.8 Communications made to the Ombuds are not notice to the organization. The Ombuds neither acts as agent for, nor accepts notice on behalf of, the organization. However, the Ombuds may refer individuals to the appropriate place where formal notice can be made.

4- Informality and Other Standards

4.1 The Ombuds functions on an informal basis by such means as: listening, providing and re-ceiving information, identifying and reframing issues, developing a range of responsible op-tions, and – with permission and at Ombuds discretion – engaging in informal third-party in-tervention. When possible, the Ombuds helps people develop new ways to solve problems themselves.

4.2 The Ombuds as an informal and off-the-re-cord resource pursues resolution of concerns and looks into procedural irregularities and/or broader systemic problems when appro-priate.

4.3 The Ombuds does not make binding deci-sions, mandate policies, or formally adjudicate issues for the organization.

4.4 The Ombuds supplements, but does not re-place, any formal channels. Use of the Om-buds Office is voluntary, and is not a required step in any grievance process or organizatio-nal policy.

4.5 The Ombuds does not participate in any formal investigative or adjudicative procedures. Formal investigations should be conducted by others. When a formal investigation is requested, the Ombuds refers individuals to the appropriate offices or individual.

4.6 The Ombuds identifies trends, issues and concerns about policies and procedures, in-cluding potential future issues and concerns, without breaching confidentiality or anony-mity, and provides recommendations for res-ponsibly addressing them.

4.7 The Ombuds acts in accordance with the IOA Code of Ethics and Standards of Practice, keeps professionally current by pursuing continuing education, and provides opportunities for staff to pursue professional training.

4.8 The Ombuds endeavors to be worthy of the trust placed in the Ombuds Office.

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IOA Code of EthicsPreamble

The IOA is dedicated to excellence in the practice of Ombuds work. The IOA Code of Ethics pro-vides a common set of professional ethical prin-ciples to which members adhere in their organiza-tional Ombuds practice.

Based on the traditions and values of Ombuds practice, the Code of Ethics reflects a commit-ment to promote ethical conduct in the perfor-mance of the Ombuds role and to maintain the integrity of the Ombuds profession.

The Ombuds shall be truthful and act with integrity, shall foster respect for all members of the organi-zations they serve, and shall promote procedural fairness in the content and administration of those organizations’ practices, processes, and policies.

Ethical Principles

Independence

The Ombuds is independent in structure, function,

and appearance to the highest degree possible within the organization.

Neutrality and Impartiality

The Ombuds, as a designated neutral, remains unaligned and impartial. The Ombuds does not engage in any situation which could create a conflict of interest.

Confidentiality

The Ombuds holds all communications with those seeking assistance in strict confidence, and does not disclose confidential communications unless given permission to do so. The only exception to this privilege of confidentiality is where there ap-pears to be imminent risk of serious harm.

Informality

The Ombuds, as an informal resource, does not participate in any formal adjudicative or adminis-trative procedure related to concerns brought to his/her attention.

22 February 2006

44

To be signed by parties to a Mediator/Conciliation Process prior to the commencement of the Pro-cess.

Preamble

Considering the approval by the Board of Direc-tors on 2 March 2007, of measures to strengthen the African Development Bank’s internal recourse mechanisms; the provisions of staff Regulation 10.3 (Settlement of Disputes); and staff Rule 103.00 (Ombudsperson); and in accordance with the Presidential Directive No. 08/2007 concerning Guidelines for Conciliation and especially Articles 5 (Confidentiality) and 6 (Conclusion of Concilia-tion Process) of those Guidelines.

1. Declaration of Intent

The Parties to this Memorandum hereby declare their wish to work towards a settlement of the above referenced dispute through the process of mediation facilitated by the Ombudsperson of the Bank. They recognize the Mediator as an inde-pendent and neutral party with no vested interests in the dispute nor in its settlement.

2. Confidentiality and privilege

2.1 The parties recognize that mediation procee-dings are settlement negotiations and that all offers, promises, conduct and statements, whether written or oral, made in the course of the proceedings including the Record of Sett-lement, are inadmissible in any arbitration or court proceedings. The parties agree not to subpoena or otherwise require the Ombuds-person/mediator to testify or produce records, notes or work product in any future procee-dings and no recording or stenographic re-cord shall be made of the mediation session.

2.2 Moreover, the parties declare that they fully understand and accept that the proceedings of this conciliation process as well as any Re-cord of Settlement therefrom, shall be kept confidential, and that they shall not disclose any settlement agreed upon, nor information

Annex VIMemorandum of agreementDispute reference OMB/MED/...

provided in the course of the proceedings except to the extent that such information is already available to them otherwise than as a result of the conciliation proceedings.

3. Termination of Mediation

The mediation process shall be terminated under any of the circumstances stated hereunder:

(a) by a declaration by the mediator that a settle-ment has been reached.

(b) by a declaration by the mediator that further attempts at mediation are no longer considered necessary and worthwhile.

(C) by a declaration by any of the parties that the process should be terminated.

4. Binding Undertaking

4.1 Should an agreement be reached as a result of these proceedings, the Parties accept to sign the Record of Settlement as furnished by the Mediator. They also accept that the Record of Settlement so signed shall be final and binding on the parties and that no appeal or further proceedings may be brought in relation to the matters stated in the Record of Settlement.

4.2 Having read and understood the terms of this document, the Parties agree to be bound by them, as witnessed by their signatures below.

Done in Tunis, on

Signed Signed

Requester Ombudsman& Mediator

Signed (Parties)

45

Annex VIIRequest for conciliation / mediation madeto the ombudsman & mediator of the bankInformation concerning the Requestor

1. Full name: 2. Date and Place of Birth:3. Civil Status:4. Nationality:5. Date of Recruitment:6. Professional status and department: (as

at date of contested decision)7. Duty station:8. Date of written notification of contested

decision:9. Contacts (Tel.; e-mail; etc…)

Parties to decision being challenged:

1. Name :o Department :o Professional :o Relationship to requestor as at time of

decision:


decision:


decision:

Decision Being Disputed:

(Kindly summarize the facts which gave rise to the request. Any document submitted should be referred to in the summary of the facts and attached to this request).

Reasons for disputing the decision

Desired relief by Request or

Requestor’s Signature

(Please provide a list of documents mentioned)

46

This survey questionnaire may be filled ano-nymously

The information you provide will help to tailor the services of the Ombudsman & Mediator’s office to meet the expectations of staff.

I. Identification

1- Professional Category

GSPLManagerial Grade

2- Gender

MaleFemale

II. knowledge of and access to the services of the office of the Ombudsman & Mediator

3- How did you learn about the Office of the Ombudsman & Mediator?

Choose up to the maximum number of selections.

CHRM Orientation Seminar for New StaffBrochures or Posters of the Office of the OmbudspersonAppeals Committee SecretariatOmbudsperson’s Annual Activity ReportHuman Resources (HR) or SupervisorStaff Council Word of mouth (from colleagues)I had used this service beforeOther: ______________________________________________________________________

4- What means were used to communicate with the Ombudsman & Mediator?

Through a visit to the Office By Telephone

By E-mailOther: (such as memo)______________________________________________________________________

5- Please rank the following in terms of why you came to the Office of the Ombudsman & MediatorRank from 1 to 5

I did not know whom to discuss my concern withI wanted the Ombudsman & Mediator to be aware of an issueOther avenues had failedI wanted to understand what my options wereI wanted the Ombudsman & Mediator to put pressure on the person involvedwith my issue on my behalfI wanted to get information about Bank Policies and ProceduresI wanted to put Bank Management on notice Other:______________________________________________________________________

6- Was access to the Office of the Ombuds-man & Mediator easy and convenient?

Yes, SomewhatNo

7- Did you fear being seen coming to the Of-fice of the Ombudsman & Mediator?

Yes, SomewhatNo

8- Were there any negative consequences resulting from contacting the Office of the Ombudsman & Mediator?

Yes, SomewhatNo

Annex VIIIFeedback on the office of the Ombudsman & Mediator

47

9- Were you considering filing a formal ap-peal before consulting the Office of the Ombudsman & Mediator?

Yes, SomewhatNo

10- If the answer to question 7 was YES, did you decide not to file a formal appeal as a result of your visit to the Office of the Om-budsman & Mediator?

Yes In partNo

11- How often did you consult/meet the Ombudsman & mediator for the same case?

OnceTwo to four visits More than four visitsNever

III. Evaluation of the servicesof the office of the Ombudsman& Mediator

12- Did the Ombudsman & Mediator clearly explain his/her role and guiding principles such as confidentiality, neutrality and in-dependence?

Yes, SomewhatNo

13- Did the Ombudsman & Mediator help you feel comfortable discussing your concerns?

Yes, SomewhatNo

14- Did you receive sufficient time for your dis-cussion?

Yes, SomewhatNo

15- Were you satisfied with the assistance the Ombudsman & Mediator provided

Yes, SomewhatNo

16- Besides addressing your issue, were there any additional benefits from using the Office of the Ombudsman & Mediator?

Yes, Somewhat No

17- Did the Assistant to the Office of the Ombudsman & Mediator treat you with courtesy and respect?

Yes, SomewhatNo

18- Did the Ombudsman & Mediator treat you with courtesy and respect?

Yes, SomewhatNo

19- To what extent do you feel that the Om-budsman & Mediator was impartial in the handling of your case?

Yes, SomewhatNo

48

25- Please provide an Overall Evaluation:

PoorGoodVery good

26- We will appreciate any recommendation you have (maximum 20 words):______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ _______________________________________ _______________________________________ _______________________________________

20- Did the Ombudsman & Mediator main-tain appropriate confidentiality about your communication with him/her?

Yes, SomewhatNo

21- 21. Did the Assistant to the Ombudsman & Mediator maintain appropriate confiden-tiality about your visit to the office?

Yes, SomewhatNo

22- Did the Ombudsman & Mediator appear to be conversant with the issues involved in your situation?

Yes, SomewhatNo

23- Would you consider using the Office of the Ombudsman & Mediator again?

Yes, SomewhatNo

24- Would you recommend the Office of the Ombudsman & Mediator to others?

Yes, SomewhatNo

Contacts :Avenue du GhanaAngle des Rues Pierre de Coubertin et Hédi NouiraBP 323 Tunis Belvédère 1002 TunisieTél. : (216) 71 10 20 05 Fax : (216) 71 103 751 Email : [email protected] Internet : www.afdb.org

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