building a conflict competency workplace at the …...the theme for the 2009 annual report is...

African Development Bank

2009 Annual ReportOffice of the Ombudsman

Building a Conflict Competency workplace

at the African Development Bank

2009 Annual ReportOffice of the Ombudsman

Building a Conflict Competency workplace

at the African Development Bank

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2 0 0 9 A n n u a l R e p o r t : O f f i c e o f t h e O m b u s m a n

How the Office of the OmbudsmanFunctions

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How the Office of the Ombudsman Functions

• An Ombudsman is a designated neutral andimpartial conflict resolution practitioner whoseprimary function is to provide confidential, in-dependent and informal assistance to staff ongrievances and complaints related to humanresources and workplace issues. The Office fa-cilitates dispute or conflict resolution amongstaff and between staff and managementthrough mediation and conciliation and supple-ments the formal staff recourse systems forconflict resolution, such as the Staff AppealsCommittee and the Administrative Tribunal

• The objective of the Office of the Ombuds-man, when a complainant visits, is to workwith him/her to explore ways and optionshe/she is comfortable with pursuing to arriveat a solution to the problem. The optionsmight include referral to another organizationunit that can better assist the staff.

• All conversations with the Office are held instrict confidentiality unless authorized by thecomplainant to do otherwise for the purposeof resolving the issue raised. The only excep-tion, which is determined at the sole discre-tion of the Ombudsman, is where “thereappears to be imminent risk of serious harm.”For that reason, the Office keeps no recordson behalf of the Bank and proceeds to des-troy all documents that may contain informa-tion identifying enquirers as soon as the caseis closed.

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

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


confidentiality and neutrality, provides unfilte-red and independent upward feedback to Ma-nagement on case trends, patterns, systemicissues, policies and practices observed andascertained in the organization. This feed-back enables Management to introduce ti-mely preventive or corrective measures thatforestall unnecessary adversarial recourses,help to improve the general workplace envi-ronment and introduce necessary systemicchanges.

• Thus although it is outside of the normalpower structure of the Bank, the Office has nodecision-making powers, and neither formu-lates nor changes policies; the Office throughits feedback and recommendations causesManagement to make improvements inhuman resource policies, procedures andpractices. This year, the Office worked closelywith Human Resources Department, StaffCouncil and Ethics Office to promote a moreharmonious workplace environment.

• The services of the Office are available to allstaff, past and present, regular and short-term, as well as at managerial levels. Interac-tion with the Ombudsman is voluntary and notimposed.

• The Office of the Ombudsman also pursuescontinuing education and training to remaincurrent and maintain the standards of prac-tice of the profession and fosters communi-cation about the role of the Office to all thoseserved by the Office.

• The Office administers the Values PromotionChampions (VPC) program which enablesfield office staff to have preliminary conflictmanagement services from their selectedpeers.



Table of Contents

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Table of Contents

A Word from the Ombudsman

Main Activities Carried out by the Ombuds Office in 2009

A Ombuds and Mediation Services to VisitorsCase and Visitor Trends, Types and Outcomes

B Values Promotion Champions ProgramWhat it is about?The Selection ProcessTenureNumber of VPCsPerformance, confronted Issues and Challenges

C Internal Networking, Sensitization and Outreach Activitiesand Outreach ActivitiesTop ManagementTop ManagementSenior ManagementCHRMStaff Council Office (SCO) and Ethics OfficeStaff Appeals Committee (APCU)Financial Control Department (FFCO)Sensitization and Outreach Activities

D External NetworkingInternational Ombudsman Association (IOA)The United Nations and Related International Organizations (UNARIO)The Bretton Woods Institutions

E Training and Skills DevelopmentOmbuds Office TeamVPCsManagers and Resident RepresentativesSCO Focal Points

F Systemic Issues for Upward FeedbackAbuse of PowerRecruitment and PromotionPerformance EvaluationPolicy Practice

Conclusions and Way ForwardTraining and Skills DevelopmentOmbudsing and Mediation ServicesEnhanced Collaboration with other Internal Justice SystemExternal NetworkingIntensification of Advocacy and Outreach Practices of the Office among StaffOmbuds Team and Contact

Annexes1. Staff Rules and Amendment2. Terms of Reference of the Ombudsman3. IOA Standards of Practice4. IOA Code of Ethics5. Categories of Issues6. Board Resolution on the 2nd Ombudsman7. Values Promotion Champions (VPC’s) Terms of Reference8. Values Promotion Champions pictures as at December 20099. Request for Conciliation / Mediation10. Memorandum of Agreement11. 2009 Photos Album


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A Word From the Ombudsman

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A Word From the Ombudsman

Dear All,

We are pleased to share with you the6th Annual Report of the Office of the

Ombudsman in the Bank covering the periodJanuary to December 2009. The report is preparedin line with the Terms of Reference of the Office(see Annex 2). It thus “describes in general termsthe issues dealt with and the outcome of theOmbudsman intervention” and upon publicationwill be “available to staff and Management.

The theme for the 2009 Annual Report is “Buildinga Conflict Competency workplace at the AfricanDevelopment Bank”. The theme is derived from thefact that the increasing diversity of the Bankmanifested in its multiracial façade, genderdifferences, age/generation tendencies andeducation background, render conflict situationsinevitable, a reality that should be addressedproductively. We felt the onus on us then to handleconflict situations more competently in order toimprove Bank operations and productivityparticularly as it accelerated its decentralizationprogram and embarked on negotiations forcapital increases and replenishment of ADFresources. In our view any conflict no matter howbenign when badly handled could fester, breakstaff morale and detract attention from the majorchallenges facing the institution. The theme of the2009 Annual Report is also an objective adoptedby Conflict Resolution Systems in otherorganizations some of whom are developmentpartners of the Bank. The Report thereforedemonstrates how the Office, through its 2009work program activities, attempted to promote amore proactive and constructive conflictmanagement system within the context of adiverse and multi-cultural environment of theAfrican Development Bank.

In this respect, the year 2009 was a relativelysuccessful one for the Office. Importantly, we wereable sustain efforts aimed at raising awareness ofstaff to the importance of using the informalrecourse system to de-escalate conflict, manageconflict competently, reduce the financial andhuman cost of conflict to the Bank and build aworkplace that lays premium on staff respect anddignity. These efforts were in the form of (a) skillsbuilding and training programs for managersand leads prepared and delivered by reputableConsultants in the Ombudsman and Mediation

Profession; (b) launching of the Values PromotionChampions (VPC) initiative which extended conflictmanagement services to field office staff;(c)periodic outreach campaigns as well as regularand systematic participation in the CHRMinduction and On-Boarding programs for newlyrecruited staff.

Equally important, was the relatively high d numberof visitors and caseloads handled by the Office in2009 compared to the previous 5 years as staffgained trust and wanted to share or raise theirconcerns and complaints with us. The numberof cases brought to closure also increased due inpart to collaborative efforts with Ethics Office,Staff Council, CHRM and Corporate Sector vicePresidency. Furthermore, there was smoothtransition and business continuity in the Office inspite of the departure of the former OmbudsmanMrs. N.C. De Souza on retirement in April 2009,her replacement by an Officer-in-Charge,Mr. Alisand Singogo and the appointment of a newsubstantive Ombudsman, Mrs. Amabel Orraca-Ndiaye. Thus initiatives and activities commencedat the beginning of the year were followed throughto ensure consolidation and continuity. Feedbackfrom visitors and participants to training sessionsas well as staff at large aimed at enhancing thequality of service and making the Office moreeffective were taken seriously and factored in thedesign of the 2010 Work program activities.

These accomplishments were made amidstvarious challenges mentioned in the report someof which were surmounted in the course of theyear and others slated to be tackled in 2010 andbeyond. The quest to make the Bank a conflictcompetent institutionrequires a long-termapproach as it entails changing behaviouralpatterns and cultural practices, all of which taketime to be realised. It also requires working inpartnership with other in-house organizationunits mandated to create, promote and supportharmonious, civil ethical and respectful workplace environment where staff feels unthreatenedand equitably treated to do the businessof the Bank.

We also received good ideas, shared bestpractices and garnered skills from peers andtraining sessions organised by the InternationalOmbudsman Association (IOA) and from the


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United Nations and Related Organizations(UNARIO) during the year. We tried to reflect themin the quality of services rendered to staff. We hopethey had an impact.

Finally, the Office was highly encouraged with thestrong support and attention received from top andsenior management to some of our ideas andproposals. We also acknowledge the effectivecollaboration received from staff and otherorganization units in to promote a conflictcompetent Bank. This recognition, support andcollaboration contributed to building trust in theOffice; and underlie the increased number ofvisitors who used our informal recourse system in2009. We hope to count on the same attentionand collaborative effort as we work to deliver onour 2010 Work program.

Sincerely,Amabel Orraca-NdiayeThe Ombudsman,Office of the Ombudsman, OMBU


Newly appointed Ombudsman at 8th UNARIO Meeting inBangkok, Thailand, 7-10 September, 2009


Main Activities Carried out by the Officein 2009Section A: Ombuds and MediationServices to Visitors

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Main Activities Carried out by the Office in 2009Section A: Ombuds and Mediation Services to Visitors


Case and Visitor Trends, Typesand Outcomes

The Office handled 100 cases Bank-wide from atotal number of 105 visitors from 1st January

to 31 December 2009. Group consultationsaccount for the differences in the total number ofcases and visitors. Fig 1 below shows a significantincrease in cases handled in 2009 compared topreceding two (2) years.

This increase is attributed mainly to gradualawakening of staff to the use of the informal staffrecourse mechanism following a major drive by theOffice through a combination of bank-wideoutreach campaigns, extension of ombudsingservices to field office staff through the creation of

the Values Promotion Champions (VPC) programand skill building training sessions. These efforts,supported by top management in a quest to createa more conflict competent Bank, contributed tobuilding trust between staff and the Office.

On the basis of complaints/cases received fromvisitors to the Office and grievances dealt with butchannelled through the SCO and Ethics Offices,Conduct and Abuse of Power as is clear from Fig.2were dominant in the past three years. Equallyimportant were cases on Career Development &Job Security followed by issues of PerformanceEvaluation & Benefits and Compensation.Complaints on Policy Practices, although minimalin the last two years, remained significant in 2009.No cases on Separation were received in 2009contrary to the previous two years.

Fig.1: Caseloads from 2004 to 2009

year

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As can be deduced from Fig.3 a relatively largeportion (57%) of the complaints in 2009 were fromstaff of the General Services (GS) category; asignificant portion was from the Professional Level(PL) staff; and although small (5%), commoncomplaints among groups of staff from bothcategories, were also received. A few casesrelating to Short term Staff (STS) were alsohandled. Out of the total number of cases handled

in the year 13% were handled in the field offices bythe values promotion champions (VPCs), the bulkbeing directly handled by the Office in Tunis.

It is also clear from Fig 3 that there were no genderbiases in types of complaints received. Moreover,majority of the cases received (92%) were fromstaff from regional member countries with somecomplaints also from non-regional staff.


Fig.2: 2009 Distribution of Cases Bankwide by Category Comparison in trends over a 3-year period

Category of cases

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Outcomes

On the whole, out of the 100 cases handled in2009, 99 cases were brought to closure by theend of the year and only one case was carriedover to 2010.


Fig. 3: Caseloads by grade, reporting source, gender and region

2009 Distribution of Caseloads by Grade 2009 Distribution of Caseloads by Reporting source

2009 Distribution of Caseloads by Gender 2009 Distribution of Caseloads by Region


Section B: Values promotion championprogram (VPC)

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Section B: Values promotion champion program (VPC)

What it is about

The VPC program is an important vehicle fordealing with workplace issues of Field Office

staff. This initiative of the Office was successfullylaunched in February 2009 with Management sup-port as the Bank accelerated in its decentralizationefforts. It represents a network of peer volunteerswho provide informal assistance to staff facingunethical behaviours and other types of stressand/or harassment in the workplace. Serving asfirst port of call for staff based in field offices withcomplaints or problems, the VPCs are speciallytrained to be available to listen to concerns, pro-vide perspective on issues, give basic informationabout relevant policies and procedures, identifyoptions colleagues might consider and refer themto other avenues of assistance such as the Officeof the Ombudsman (OMBU), Ethics Office (COEO),Staff Council (SCO), Human Resources Depart-ment (CHRM), Staff Appeals Committee (APCU),Administrative Tribunal (TRIB).

Although equipped with specialized skills, the VPC,like their counterpart Respectful Workplace Advi-sors (RWA) at the World Bank, which inspired theidea in the Bank, does not become directly invol-ved in resolving issues owing to the demand oftheir neutrality stance and their limited ombudsingand mediation skills. Thus VPCs are required todiscuss generic issues with Resident Representa-tives without discussing individual details and sub-mit periodic logs with generic comments to theOffice of the Ombudsman. The VPC logs are fedinto the regular caseload database on patterns andtrends as well as reported in the feedback to topManagement on the general bill of health of theBank. The Terms of Reference of the VPCs are at-tached in Annex 7.

Selection ProcessFirstly, the Resident Representative or the Officer-in-Charge of the field office sensitizes the staff

about the importance of the role of the VPC at theworkplace, the upcoming selection exercise, andadvises staff to nominate in a confidential manner,individuals whom they most respect and trust torepresent them as a VPC. The Resident Represen-tative and members of the administrative and ma-nagement team are not eligible for nomination.Secondly, the Resident Representative communi-cates information about the most-nominated can-didate to the Office of the Ombudsman in Tunis.Thirdly, the Ombudsman consults with the SCOChair, the Ethics Officer and the Manager of theAnti-Corruption and Fraud Division of OAGL to va-lidate or vet the nomination and then confirms withthe selected staff his/her willingness to serve asVPC. The selection process is considered com-plete as soon as confirmation is received from theselected staff member and he/she has provided aphoto identity and a short biography to the Officeof the Ombudsman.

Tenure

The VPC serves for a duration of two (2) years re-newable only once for a further two (2) years. Ho-wever, for the 2009 pioneering VPCs, the first termwas made three (3) years to facilitate the consolida-tion of the program and thereafter considered for afinal renewal for a term of two (2) years.

Number of VPCs

As at December 2009, the Bank had 23 VPCs inthe fully staffed and functioning Field Offices1 andthe process should re-start for the selection of VPCsfor new Field Offices in Algeria, Angola and SouthAfrica as soon as they are fully staffed and becomeoperational. During the course of the year, the VPCsfor the Ugandan and Ethiopian field offices were re-placed due to staff transfers out of the Field Offices.The complete list with photos of VPCs as at Decem-ber 2009 is attached as Annex 8.


1 The Field Offices are: Angola; Algeria; Burkina Faso; Cameroon; Chad; DRC Congo; Egypt; Ethiopia; Gabon; Guinea Bissau; Kenya; Madagascar;Malawi; Mali; Morocco; Mozambique; Nigeria; Rwanda; Sierra Leone; Senegal; South Africa; Tanzania; Uganda; Zambia

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Performance, Confrontedissues and Challenges

During the year 2009, the VPCs operated in earnestin various Field Offices with some offices being morebusy than others. They maintained touch with theOffice by phone and sometimes e-mail to solicit gui-dance and provide information to gauge staff pulsein the Field Offices. Thus their quarterly logs ofcases handled were fed into the periodic report ofthe Office to the President, write-ups were publi-shed in the OMBU Quarterly VPC Newsletter; andtheir flags in some cases formed the basis of pro-blem-solving cum advocacy and sensitization mis-sions to some field offices during the year.

Major complaints channelled through or handledby the VPCs are represented as follows:

• Perceived divide between nationally and in-ternationally recruited staff in some casesleading to the formation of camps or clans;

• Frustrations relating to career opportunities,benefits and amenities for Tunis-based staffcompared to staff based in Field Offices;

• Difficulties of adjustment and integration ofnewly recruited staff in the team;

• Controversies in the interpretation and ap-plication of Bank rules and regulations;

• Code of conduct and abuse of Bank prop-erty especially vehicles;

• Lack of mutual respect for each others’functions and responsibilities;

• Concerns of diminished salaries, benefitsand entitlements with the adoption of thenew compensation policy;

• Inadequate understanding and informationgaps in the New Compensation Frameworkadopted by the Bank;

• Abuse of power by managers, especially, re-lating to extension of probation period, con-tract renewal and staff performanceevaluation; and in the form of moral harass-ment and bullying concerning workload anddelivery.

One of the major challenges of the VPC programduring the first year of its launching was maintaininguniform and constant dialogue between the Officeand the VPCs. This was due to the fact that certainoffices were more vibrant than others. Furthermore,in view of the novelty of the VPC function, expecta-tions from certain peers far exceeded the minimumombudsing and conflict management skills thatVPCs have been equipped with. In fact, in somecases, VPCs were called upon to mediate cases, afunction they were ill-equipped to assume and forwhich the Ombudsman has the sole responsibilityin accordance with Staff Rule 103.00 Para (a)

Given the voluntary nature of the VPC role, and itsadded pressure on the regular functions of the se-lected staff, extra effort and time were required toperform the role effectively. Specifically, it necessi-tated managing one’s own individual stress andacquiring a good understanding of HR proceduresand policies and the conflict resolution system ofthe Bank to better clarify issues or/and make ap-propriate referrals to visitors. The VPCs wereconsidered role models and expected to be exem-plary in their comportment. Yet in a few cases,some were accused by peers as being part of theproblem or even fuelling the conflict instead of aba-ting or mitigating it. Other VPCs were also confron-ted with circumstances where the local culture ledstaff to mute their concerns orcomplaints ratherthan raise them with a third party with a view to fin-ding solutions. Complaints were also made aboutsituations where if the Manager or Resident Repre-sentative was indifferent to conflict situations, theVPC received minimal support and his/her taskswere rendered more difficult. Lastly, although VPCslimited their involvement to work-related casesbrought on by visitors, some were unsure of whatto do when the source of the complaint was pri-vate or not work-related.

Section C: Internal Networking,Sensitization and Outreach Activities

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Section C: Internal Networking, Sensitizationand Outreach Activities

To contribute to a more harmonious, ethical, civiland respectful workplace environment, the Of-

fice initiated a process of dialoguing with Bank ma-nagers and staff. The conversations dwelt onbetter application of staff rules, promoting ethicalbehaviour and the need to revitalize and uphold thecultural values of the Bank. In this respect, theywere encouraged to take advantage of trainingprograms on workplace conflict management, me-diation practices, nurturing dignity, respect and ac-countability to sharpen their managerial andleadership skills. In this effort, close collaborationwas knitted between the Office, the Staff Council,Ethics Office, Human Resources Department andthe other internal justice service providers. The col-laboration, backed by strong senior managementsupport, helped to deal with certain systemic pro-blems, to detect root causes of certain conflict andtensions, and brought some new insight into a fewpolicies that required their reformulation to ensuremore effective implementation.

Top Management

More specifically, the Ombudsman had a few one-on-one meetings with the President where he vou-ched support to the efforts of the Office andencouraged its staff to adhere to the standards ofpractice of the Ombudsman profession in order togain credibility among staff and uphold the integrityof the Office. He encouraged the Office to listen toall staff complaints no matter how small. He fur-thermore invited the Office to involve his Cabinetstaff in programmed skills development and trainingevents on conflict management, mediation and civilworkplace, a sign of his keen interest in the suc-cessful outcomes of those events. The Presidentalso placed premium in the collaborative efforts bet-ween OMBU, SCO and Ethics Office in support ofthe Corporate Services Vice President to diminishtensions, stress and conflicts in the Bank and man-dated the three offices to identify peculiar problemsfacing Staff members and to find solutions to them.

Senior Management

The Chief Operating Officer of the Bank (COO)specifically received the Ombudsman twice in theyear in fulfilment of his desire to be better informedof the activities of the Office and provide guidanceon outstanding systemic issues.

The Corporate Services Vice President (CSVP) metseveral times bilaterally with the Office to follow upon outstanding cases and matters brought to itsattention. In addition, within the context of the qua-drilateral arrangement instituted by the President,the Vice President had monthly meeting sessionswith OMBU, SCO and Ethic Office to follow up andaddress staff problems of peculiar nature. Specificissues addressed in this forum comprised amongothers, rationalization of the use of the medicalcentre by staff, including Short-Term Staff, consul-tants, interns and dependants of staff. Other is-sues raised and brainstormed related to assistanceto Field Offices and the way they function; contri-bution to the quality of career development andcertain HR documents under preparation. It waswithin this context that an idea was hatched to or-ganize a joint training and capacity building eventfor all Resident Representatives on conflict mana-gement skills and techniques as well as ways toenhance and sustain civil and respectful workplaceenvironment in the Field Office in February 2010.

CHRM

Periodic meetings, scheduled fortnightly, were heldwith the Director of Human Resources Department(CHRM) throughout the year to thrash out and fol-low up on systemic issues derived from cases sub-mitted by visitors. These meetings with the Head ofthe HR Department were useful and enabled the Of-fice to have an insight into efforts undertaken by theHR department to provide better services to staff;they also enabled the HR department to becomesensitized to ramifications of systemic problems re-


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lated to staff that otherwise would have gone un-heeded. Peculiar issues on abuse of power, harass-ment, recruitment and career development, benefitsand compensations were discussed and solutionsto several cases were found.

Throughout the year, the Office also made presen-tations in the CHRM-sponsored Induction and On-boarding programs to newly recruited staff, anddiscussed with them its role in the staff recoursesystem as well as conflict management and me-diation at the Bank. A total of 256 new staff atten-ded the Induction programs and 210 theOn-Boarding programs. Furthermore, the Office col-laborated with CHRM 3 Diversity and Learning Of-ficers to establish ways to promote the CorporateValues Campaign of the Bank and to plan and pre-pare for the February 2010 seminars for ResidentRepresentatives and VPCs in Nairobi; as well as theTunis Conflict Transparency Week in March 2010.

Staff Council Office (SCO)

and Ethics Office

The Office maintained close working relations withthe Chairperson of the Staff Council and the Headof the Ethics Office. There were constant and reci-procal consultations on several conflict-relatedmatters. In certain instances, cases requiring om-budsing and mediation were referred to the Officefor appropriate action. Specifically, the Chairper-

son was associated with the opening ceremony ofthe VPC launch in February 2009 as a result ofwhich a presentation on “Combating WorkplaceBullying” was adapted and extended to benefit awider number of staff. Additionally, the Office pro-vided a training session on 16 December 2009 tothe SCO focal points in the Field Offices during its2009 Annual General Assembly celebrations. To-gether with the Ethics Office, peculiar systemic is-sues relating to the staff code of conduct,institutional governance, career development, re-cruitment and staff compensation were often dis-cussed and tripartite suggestions forimprovements were presented to the Vice Presi-dent of Corporate Services for action. The threeoffices also planned and prepared to serve as re-source persons for the 2010 Resident Representa-tive Capacity Building Seminar in Nairobi as well asthe Tunis Conflict Transparency Week in March2010. Both events were meant to clarify the res-pective functions and boundaries of the officeswhich appeared similar to certain staff and to senda strong message that irrespective of the diffe-rences in their mandates and modus operandi, thethree offices were apt to team up to handle staffconcerns and improve work conditions for all.

Staff Appeals Committee

(APCU) and the Administrative

Tribunal (TRIB)

During the year, the Office maintained a close wor-king relationship with the two formal conflict reso-lution mechanisms as result of which cases werereciprocally referred and dealt with as consideredappropriate. Additionally, the Office shared a plat-form with APCU and TRIB on 29 June 2009 to pro-vide a talk on: The Place of the Ombudsman in theBank Dispute Resolution Mechanism. The Officeattended, in observer status, the festivities of the10 year Anniversary of the Administrative Tribunalcum the 17th Judicial Session that took place inTunis from 3-13 November 2009. Lastly, plans weremade to involve the Executive Secretary of TRIB asone of the resource persons at the 2010 ResidentRepresentatives in Nairobi mentioned earlier.


Induction programs

Financial Control Department

(FFCO)

Together with the Ethics Office, a presentation onConflict Management was made to FFCO staff du-ring their retreat held on 27 April 2009 at the Re-naissance Hotel in Tunis. The OMBU presentationwhich focused on FFCO area of predilection: TheCost of Conflict in an Organization in Dollar Terms,enabled participants to appreciate the heavy costof unattended or poorly-managed conflict inhuman and financial terms and the need to ma-nage such situations early before they festered.

Sensitization and Outreach

Activities

The presentations and interactive sessions withnew staff at the CHRM Induction and On-boar-ding programs described earlier were part of thesensitization and outreach efforts of the Office.Upon assumption of duty on 1 September 2009,the newly appointed Ombudsman, Mrs. AmabelOrraca-Ndiaye, also held special interviews withthe ERCU News, Afrique Magazine and CHRM(for preparation of a DVD on the Bank for staff).The interviews were opportunities to introduce

the Office team, the role and importance of theOffice in the Staff Recourse System, and to high-light the major accomplishments such as the Va-lues Promotion Champions’ Initiative. Theinterview sessions were also used to elaborate onnew ideas and plans of the Office to consolidateand expand on past achievements and make theOffice more effective. In collaboration with expertsfrom CIMM, the Intranet site of the Office was en-riched with more information to users.

The two Ombudsmen of the Office, Mrs. AmabelOrraca-Ndiaye and Mr. Alisand Singogo, alsomounted a sensitization and advocacy mission tothe Office of the Official Representative (ROSA))in Abidjan, Cote d’Ivoire from the 24 to 26 No-vember 2009. During this trip three working ses-sions were held with over 50 staff membersincluding the security personnel and the Bank Of-ficial Representative Mr. J.P. Ehounou. The deli-berations dwelt on the following themes: theInformal Recourse Mechanism of the Bank; theRole of the Values Promotions Champion (VPC) inthe Bank; and the Cost of unresolved conflict inthe workplace, using ROSA as the Case Study.In addition the Office handled eight individualcases bearing on career development, implemen-tation of Bank policy, staff comportment andabuse of authority.


Advocacy and Sensitization Seminar with ROSA Staff, 24-26 November 2009


Section D: External Networking

Section D: External Networking

International Ombudsman

Association (IOA)

The Office heightened its collaboration with theInternational Ombudsman Association through

continuous alignment of its Standards of Practiceto those of the IOA Code of Ethics and by renewingmembership of the staff team in the Association. Inaddition, the staff team attended the various trai-ning and skills development sessions dispensed bythe IOA in 2009. During these sessions, the Officeteam acquired knowledge and new skills of prac-tice, interacted with peer Ombudsmen and Media-tors from other organizations and exchangedinformation on organization ombudsman goodpractices. In view of the particularity of the profes-sion, the IOA meeting served as a source for iden-

tifying future mentors, that is, experienced practi-tioners from reputable organizations and expertsfor consultations and capacity building.

The United Nations and Related

International Organizations

(UNARIO)

The Office was represented by newly appointedOmbudsman at the Eighth Annual Meeting of UNA-RIO Ombudsmen and Mediators that took place on9-11 September 2009 at the UN Conference Cen-tre of Economic and Social Commission for Asiaand the Pacific (ESCAP) in Bangkok, Thailand. TheUNARIO network promotes principles of indepen-dence, neutrality and impartiality as practiced byombudsmen and mediators and supports effectiveperformance and high professional standards of thefunction. The UNARIO network has served in thepast as an important source of new ideas, initiativesand good practices introduced by the Office to theBank. At the Bangkok meeting, the Ombudsmenof the IMF, the UN New York Office and the Bankwere specifically charged with the responsibility ofcoming up with recommendations for future UNA-RIO meeting sites and ways to handle the businessof the Network between meetings.

The Bangkok meeting was an occasion to intro-duce the new Ombudsman to the informal networkof peers in multilateral organizations and to enableher to benefit from the rich experience of longer-


Professors at the 101 and 101 Plus Conflict Management and MediationCourse of the IOA in Charlotte, North Carolina, 25-31 October 2009.

Participants of the 8th UNARIO Meeting in Bangkok, Thailand, 7-10 September 2009

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serving participants from the World Bank Group,IMF, WHO, ILO UNHCR, ICAO, UN, IADB.

Bretton Woods Institutions

The new Ombudsman also visited the Ombudsmenand Mediators of the World Bank Group and IMF in

Washington DC on 3 November 2009. The trip wasused to imbibe ideas for designing the future pre-mises of the Office in order to bring it up to the re-quired standards of free, easy and discrete staffaccess as well as maintenance of confidentiality andindependence of the Office activities. It was also achance to obtain sample advocacy material, annualreports, types and schedules of training programsthat could be explored. Specifically, the World BankGroup Ombudsman Office authorized the use oftraining materials prepared for its Respectful Work-place Advisors (RWA) program to be adapted forthe use of the Bank VPC First-Year training sessionscheduled to take place in Nairobi, Kenya in Fe-bruary 2010.

In addition, the World Bank Group Mediator, Mr.Camilo Azcatate agreed to offer gratis, a short jointtraining and competence building session on SkillsDevelopment on Conflict Competencies for registe-red managers and senior professionals of the Banktogether with nominated Tunis-based World Bankstaff in March 2010. The session later became oneof the important activities of the Conflict Transpa-rency Week scheduled for March 2010 in Tunis.


Certificate of Completion Award to newly appointed Ombudsman,Charlotte, North Carolina


Section E: Training and SkillsDevelopment

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Section E: Training and Skills Development

Ombuds Office Team

The IOA Standards of Practice (see Annex 3) subs-cribed to by the Bank, requires Ombudsmen to re-main “professionally current and competent bypursuing continuing education and training relevantto the ombudsman profession”. Thus, as is custo-mary, the two Ombudsmen and the Team Assis-tant attended and received certificates for IOAProfessional Development programs on Ombuds-man 101 and 101 plus courses respectively inTexas, Dallas and Charlotte, North Carolina inMarch and November 2009. Specialized coursestaken during these two training programs included:Strategies for Working with Stakeholders; ConflictResolution; and Trust and the Ombudsman Pro-cess. Altogether these courses provided clearerunderstanding and firmer grip of the definition andthe application of the basic principles of confiden-tiality, neutrality, independence and informality thebedrock of ombudsing and mediation practice.

The training sessions enabled the Office team tointeract and share experiences with peer practitio-ners from US based- universities, private institu-tions, multilateral organizations including the WorldBank and WHO, the US government.

VPCs

As mentioned earlier, the first training seminar forthe newly selected VPCs took place in Tunis on23-26 February 2009. The objective was to equipthem with basic conflict management skills toserve as first port of call for complaints from fieldoffice staff. The training session was preceded byan inaugural dinner attended by Directors andManagers where a presentation on “CombatingBullying in the Workplace” was made by Dr. Fre-derick Temple, Consultant and former World BankGroup Ombudsman. The President was repre-sented by Vice President Zeinab El Bakri, SectorOperations Vice-Presidency (SOVP). Out of the23 elected VPCs 22 attended the session, theUgandan representative not being able to attenddue to exigencies of work. The session was highlyinteractive and was in a form of lectures, roleplays, audio-visual displays, quizzes and question

and answer sessions. Topics covered were: Cul-ture, Disrespectful and Unethical Behaviours inOrganizations and by Individuals; Conflict Diagno-sis and resolution, AfDB Approach to Disrespect-ful Workplace Behaviour; Harassment Issues;Ethics Issues; Resources for Helping Staff ad-dress Workplace Conflicts and Ethical Issues; andActive listening Skills. Certificates of Qualificationwere awarded at the end of the session and pu-blished VPC Handbooks were distributed to thenewly certified VPCs to facilitate their tasks in therespective field offices. Preparations for the An-nual Review of the program and phase two trai-ning sessions for all VPCs including an inductionsession for the newly selected ones were initiatedin November 2009.

Managers and Resident

Representatives

The Office successfully organized a one-dayAnger-Management Seminar principally for Mana-gers and Resident Representatives on the 27th Au-gust 2009. The training session, which wasfacilitated by a leading Ombudsman from the Uni-ted Nations, Ms Veronica Luard, was positivelyevaluated by participants, which thus led to the an-ticipation and preparation of an expanded versionin 2010. The preparations of a seminar on Work-place Conflict Management for all Resident Repre-sentatives to be jointly hosted by OMBU, EthicsOffice and SCO in Nairobi, Kenya on 22-26 Fe-bruary 2010 also started in November this year.The seminar envisaged an interactive session bet-ween Resident Representatives and VPCs on col-laboration in conflict management.

SCO Focal Points

On the occasion of the 2009 General Assemblyof SCO in Tunis, the Office provided a brief trai-ning session to SCO focal points on ‘ManagingHuman Resource Risk in the Bank’. The sessionaimed at getting SCO focal points to be sensitiveto all staff complaints, to be more knowledgeableof the functions of the key players in the informal


25

and formal recourse mechanisms, and to makeappropriate referrals of Bank-wide cases they re-ceive including those from the field offices. Thesession also underscored the importance of teamefforts between SCO focal points, VPCs and Re-sident Representatives to manage conflict at theworkplace and called on the focal points to mas-ter and abide by Bank policies as well as becomeexemplary staff for all to emulate.


Presentation by VPC for ROSA during Seminar, 24-26 November, 2009

SCO focal Point, Seminar with ROSA, 24-26 November, 2009

Section F: Systemic Issues for UpwardFeedback

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Section F: Systemic Issues for Upward Feedback

Staff Rule 103.00 (see Annex 1)pertaining tothe Office requires, among others, that the

Office be “responsible for advising and recom-mending to Management solutions to shortco-mings in employment policies, procedures andpractices…”and “…to prepare and submit re-ports on comments and recommendations onany short comings identified in employment poli-cies, procedures and practices in the Bank … toManagement and to the responsible Organiza-tion Unit, provided that they shall have no bindingeffect”. Thus in its periodic meetings with mana-gement and different organization units as well asits periodic reports to the President, the Office rai-sed and discussed emerging trends and syste-mic issues as well as proposed solutions forconsideration.

In this regard, the President of the Bank, andmore recently the new Chief Cooperation Officer(COO) and the Corporate and General ServicesVice President (CSVP) showed keen interest inthe issues raised in the Office reports. They all, insome cases, sought explanations, provided feed-back to the content and monitored evolution oftrends as well as proposed efforts to address is-sues raised. On the whole, the Office had theirrecognition and support for its efforts and activi-ties during the year.The systemic issues reported during the year2009 mirror the caseload types described earlierin Section A; namely, Conduct and Abuse ofPower; Recruitment and Promotion; Perfor-mance Evaluation; Career Development and JobSecurity; Benefit and Compensation; and PolicyPractices.

Conduct and Abuse of Power: This comport-ment particularly of certain staff in managerial andother supervisory positions, including resident re-presentatives, was a manifestation of persistentdeficiency in people management skills amongsome in that category of staff. In spite of theirtechnical strength, ability to deliver on work pro-gram, meet key performance indicators, atten-dance of several management training programsorganized by CHRM and having successfullygone through the various Assessment and scree-ning exercises, this trait in some managerial staff

remained persistent. Management did issue anti-retaliatory directives yet some visitors who ap-proached the Office still expressed concern overinadequate support for victims of harassmentand abuse of authority and nurtured fears of re-taliation. The abuse and retaliation expressedwere in the form of non-renewal of the contracts,prolongation of probation period, nebulous workprograms and being skipped over during promo-tions once the staff was perceived by his super-visor as speaking up or consulting the informalrecourse system. In close alliance with SCO andEthics Office and through joint consultation andadvocacy campaigns, the Office continued to as-sure staff and urged them to be courageous todeal with this problem. This notwithstanding, thefollowing possible solutions from the Office areproposed:

• The Office believes that CHRM efforts to dealwith this issue through the multi-rater assess-ment exercise and the Performance Mana-gement System (On-Core) which allows forsubordinate assessment of supervisorsshould be pursued and improved with thisproblem in mind.

• The fact that 10% of the performance objec-tive of all staff is allocated to training and skillsdevelopment should be an opportunity formanagers to acquire the necessary skills inpeople management.

• The Ombuds Office will continue to team upwith CHRM and other organs to provide en-hanced and accelerated training in conflictmanagement, interpersonal skills, anger ma-nagement, civil and respectful work place be-haviour, managing diversity etc. Thechallenge is to get the targeted weak mana-gers to take advantage and attend these trai-ning sessions.

• Senior management should promote or re-ward managers who make progress to ac-quire or display high human managementskills in addition to meeting work programtargets and KPIs and penalize those who,through lack of proper human management,


28

incur high costs for the Bank on avoidableconflict-related issues, such as observed incertain cases defended and lost at the StaffTribunal;

• Parallel career paths should be developed fortechnical staff that do not have managementqualities and are not interested in managerialposition.

Recruitment and Promotion: Complaints relatingto staff recruitments and promotions came in se-veral forms. On recruitment, a prevailing percep-tion among staff who visited the Office was thatrecruitment was not always carried out objecti-vely. Some pointed to a deliberate process un-justly disguised to appoint pre-selectedcandidates while others prospecting for internalpromotions harboured complaints of being usedas pawns or guinea pigs in the interview processas they feared the preferred candidate mighthave been long positioned for appointment.

Complaints were also received from externally re-cruited staff members who were frustrated withwhat they perceived as discrepancies or incon-sistencies in the job description of positions ad-vertised, the position interviewed for and thatassigned on the assumption of duty. Some of thediscrepancies were attributed to internal restruc-turing of the organization unit, as well as changesin the reporting lines which should have been en-visioned and discussed with candidates duringinterview sessions.

A perceived dichotomy between the treatmentgiven to Young Professionals (YPs) and thatmeted out on regular staff was also reported. Forinstance, prior to the end of the three-year statu-tory term, some YPs were weaned from the pro-gram and, contrary to the laid down process,were promoted to hold very high PL positions(above PL 5). This was seen not only as an acce-lerated promotion but double reward to the YP.In certain cases, the situation was compoundedwhen the YP had been working with staff consi-dered more senior in other respects, or who ser-ved as mentor to the YPs, meanwhile the latter

has not received any promotion in many years.These issues were all brought to the attention ofthe Department of Human Resources in the fort-nightly meetings with the Office as well as the fre-quent bilateral discussions with the CorporateServices Vice President.

Solutions

The Office endorses all efforts being made by theHR Department to finalize and implement theNew Recruitment Manual, the New PerformanceEvaluation System, the New Career DevelopmentPlan and the Staff Mobility Plan as well as mu-tually agreed separation programs. These impor-tant measures, we believe, would contribute toaddressing the afore-mentioned pertinent recruit-ment and promotion irregularities brought to theattention of the Office. However, it is still incum-bent on staff to continue to bring to the attentionof the Ombudsman any malfunctions, perceivedinjustices in the application of HR policies andprograms.

Performance Evaluation: As in the previousyears, a significant number of visitors had issueswith the conduct and outcome of their perfor-mance evaluations. The cases revealed shortfallsin observing managerial responsibility of providingfeedback and coaching to supervised staff inadherence to provisions of Chapter 4 of the Per-formance Management Guide. In fact, some su-pervisors were not even aware of Chapter 4Preamble that “recognize(s) and accept(s) thatcoaching, like planning, organizing or leading, ispart of managerial responsibility”. Some staff stillexpressed fears of retaliation from managersusing the performance evaluation process for nonrenewal of their contracts when they were per-ceived to be consulting the Office. Understanda-bly, some Managers who had large staff numbersto supervise, dreaded the performance evalua-tion exercise as they felt stretched between thedemands to meet work program targets andgoing through the laborious and nerve wrenchingexercise with staff, especially, the ones withwhom they had sour working relations.


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Solutions

In light of the above-mentioned constraints of theprevious staff performance evaluation system, theNew Performance Management System appearedmore comprehensive, transparent and promisedto have better chances of success if well imple-mented. This is because not only is it results-basedbut also because it is combined with a Multi-raterfeedback that enables a 360-degree evaluation,with managers evaluating their staff and vice versa;moreover, it provides room for self evaluation, eva-luation by peers and by clients. Furthermore, it isE-enabled and relatively user-friendly with in-builteasy tracking and monitoring prompters to makethe process less tedious.

This notwithstanding, doubts about the credibilityof the system persisted as some staff membersfeared inability to benefit from chances of fairerperformance assessment due to delays and/orabsences of managers or supervisors in discus-sing and approving selected assessors. A fewcomplaints and concerns were aired by staffwhose managers were absent and the unaccre-dited Officers-in-Charge (OICs) were unwilling toact although the final deadline for completing theprocess fast approached. This was one of themain causes of having to extend twice the dead-line for the evaluation exercise.

In our instituted meetings with the Director ofCHRM these issues were flagged to enable timelycorrective actions. There was also the sense thatthe types of assessment questions addressed topeers, and subordinates in most cases would notgenerate responses beneficial to the process.The view was expressed that questions shouldhave been better formulated to allow for morerealistic assessment of the proficiencies required.

Policy Practice: In the absence of the requisitedirectives and guidelines to support newly appro-ved policies on salary and compensation, somecomplaints were received particularly from theField Offices raising concerns about their uniforminterpretation and implementation. It is importantthat CHRM continue efforts to clarify issues onpolicies and practices and convey a uniformmessage to all staff both in Tunis and in all Fieldand external offices. The consultation process forstaff should start early and should be inclusive. Itmay be useful to ensure that data used in everyanalysis is as accurate as possible, including in-formation about our comparators, which shouldcomprise other benefits in the package and notsalary alone. The planned training, advocacy andsensitization sessions by OMBU, SCO, Ethics Of-fice and CHRM for Resident Representatives andVPCs in 2010 would provide avenues to appriseField Offices of the new HR policy practices.


Conclusions and the Way Forward

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Conclusions and the Way Forward

The question that arose at the end of the year 2009was whether the Office made any progress towardscontributing to the Bank becoming a more conflict-competent institution. In all modesty, we believe thatwith our interventions, training and outreach pro-grammes, active participation in Bank-wide efforts toraise staff awareness on matters of proper conflictmanagement in ATR and in the field through the VPCinitiative, our seminars and counselling on bullyingand harassment among others, that we did makesome headway towards that objective. Admittedly,the quest to make the Bank a conflict-competentinstitution is a long-term undertaking which requirescontinuous collaborative effort from all organizationalunits, the Office included, and all staff irrespective oftheir category. It would require imbibing and adap-ting new ideas from other relatively more conflict-competent organizations to our own. This awarenessis the driving force behind the following elements ofthe Work Plan of the Office for 2010 and beyond:

Training and skills development

We will continue contributing towards extendingskills development in conflict management, media-tion, staff dignity, respect and accountability in theworkplace. Plans are well underway for the VPCbiennial meeting and training session in Nairobi forearly 2010. We also intend to build the capacity ofour Resident Representatives in various Field Of-fices to properly manage conflict in their stations.

A Conflict Handling training programme wasscheduled for targeted staff in March 2010, tobe delivered by the Mediator of the World BankGroup for both World Bank Staff and our owncolleagues. Other similar training sessions will beorganized for selected office staff or targetedgroups in the TRA in Tunis.

OMBU Staff will also undergo continuing educa-tion in Mediation practices dispensed by the In-ternational Ombudsman Association (IOA).

Ombudsing and

Mediation Services

The Office will not relent in its efforts to provide bet-ter guidance in the understanding, application andimplementation of the Staff Rules, Bank policies andguidelines, as well as, promotion of ethical workplacebehaviour. The objective will continue to be advoca-ting for fair processes without compromising thebasic tenets of informality, neutrality, impartiality, in-dependence and confidentiality.

Enhanced Collaboration with

Other Avenues of the Bank

Internal Justice System

The collaborative efforts with SCO, Ethics Office,CRMU, TRIB, Appeals Committee to rout systemicproblems that engender conflict and detract stafffrom focussing their minds on doing Bank busi-ness will be pursued. In this respect, the aim will beto minimize the financial and human cost of conflictto the Bank. Thus, planned events during firstquarter 2010 such as the capacity building sessionfor Resident Representatives in Nairobi, Kenya andthe Conflict Transparency Week in Tunis and otherjoint knowledge-sharing and problem solving mis-sions to Field Offices will be a manifestation of suchcollaborative effort.

External Networking

Networking with partner institutions such as WorldBank, IMF, WHO, UNESCO and at consultationfora such as the IOA General Assembly in New Or-leans and the 2010 UNARIO Annual Meeting willbe exploited to enrich our ombudsing and media-tion practices as well as our institutional effective-ness.


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Intensification of Advocacy

and Outreach Practices

The following will be undertaken in this context:

• Continuous update and enrichment of the In-tranet and Internet websites;

• Publication and wide dissemination of theQuarterly VPC In-house Newsletter;

• Reproduction and wider dissemination of bro-chures on the Role of the Office;

• Information and Sensitization presentations tostaff during both Departmental and Complexmeetings, CHRM Induction and On-Boardingsessions; and

• Targeted Advocacy and Consultation Mis-sions to Field Offices.


L’équipe du bureau du Médiateur

Mrs. Mercy Okotie-Ndubuisi, Assistant;

Mr. Alisand Singogo, Ombudsman; Mrs. Amabel Orraca-Ndiaye,

The Ombudsman, Mrs. N.Y. Marfo, Admin. Assistant

Officesof The Ombudsman:

ATR 2nd Floor234 - 237Telephone Numbers:(216) 71 102 114 / 71 102 14171 102 944 / 71 103 091Dedicated E-mail address:[email protected] number: (216) 71 831 552

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Annexes

34

Annex 1Staff Rules and Amendment


35


36


37


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39

Annex 2Terms of Reference of the Ombudsman(Extracted from CMVP circular dated 8 July 2004 on the TOR of the Ombudsman)

Preamble

The post of Ombudsman was first established in 1992as part of the efforts by Management to improve theworking conditions as well as the quality of human andprofessional relationships at all levels in the Bank. Thepost supplements the various other mechanisms alreadyin place, such as the Staff Council, the Disciplinary Com-mittee, the Staff Appeals Committee and later, the Admi-nistrative Tribunal.

The Ombudsman is a designated neutral and impartialdispute resolution practitioner; his major function is toprovide independent, confidential and informal assis-tance to all staff on grievances and complaints related tohuman resources and work place issues.

The office will facilitate conflict resolution between staffmembers and Management through the use of media-tion and conciliation or other appropriate means.

Authority of the Ombudsman

The Ombudsman has no formal decision making po-wers, but will advise and make recommendations to thePresident and other affected Managers or staff.

In exercising his duties, the Ombudsman will be inde-pendent of any official, department, office or other orga-nizational unit of the Bank.

The Ombudsman shall have the right, on any matter per-taining to the exercise of his duties, to direct access to anystaff member and management of the Bank All staff mem-bers are expected to cooperate with the Ombudsman andto make available all information pertinent to matters he isreviewing; he shall therefore, have access to all recordsrelevant to the exercise of his duties.

Duties of the Ombudsman

The principal duties and activities of the Ombudsmanshall include:

1. Provide staff with consultations and advice on is-sues or problems affecting professional matters or em-ployment conditions in the Bank. These include, but arenot limited to, working conditions, job content, relations-hip with other staff/supervisors, performance evaluation,

salary review, career development, benefits administra-tion, harassment and professional ethics; he may de-cline at his own discretion, to consider grievances thatcan be remedied only by action affecting the staff atlarge or all members of a category of staff, or that theOmbudsman considers have not been brought to his at-tention in a timely manner;

2. Assist in identifying solutions or options to re-solve specific issues in an impartial and equitable man-ner through discussions and consultations with all levelsof staff, and have access to any staff record or relevantBank documents or records;

3. Prepare and submit to Senior Management andthe responsible or affected organizational units, reportscontaining comments and recommendations on anyshortcomings identified in human resource policies, pro-cedures and practices in the Bank;

4. Provide on-going education and communicationabout the office’s role to all potential inquirers as well asto the Senior Management of the Bank;

5. Prepare an annual report of the types of mattershandled and results achieved or accomplishments madeduring the preceding year. The report shall describe ingeneral terms the issues dealt with and the outcome ofthe Ombudsman’s intervention. It shall be available tostaff and Management upon publication.

Confidentiality

The Ombudsman shall ensure the strict confidentiality ofall information and documentation made available to himand maintain appropriate confidential records of all com-plaints and other matters handled by him in the dis-charge of his duties.

However, the ombudsman may disclose information ifthe person seeking assistance consents to disclosurefor the purpose of the performance of the duties of theOmbudsman. He may also, at his sole discretion, breakconfidentiality where there appears to be imminentthreat of serious harm.

Reporting relationships

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


40

He shall, in the discharge of his functions, also deal di-rectly with the Vice President for Corporate Manage-ment.

Heads of Organizational Units, other supervisors and allstaff members are accordingly invited and encouragedto cooperate with the Ombudsman and to utilize his ser-

vices to the fullest extent possible with the sole aim ofmaintaining and enhancing a healthy working environ-ment for the attainment of the Bank’s objectives.

Cc.: The PresidentExecutive DirectorsVice PresidentsHeads of Organizational Units


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Annex 3

IOA Standards of Practice

Preamble

The IOA Standards of Practice are based upon and de-rived from the ethical principles stated in the IOA Codeof Ethics.

Each Ombuds office should have an organizationalCharter or Terms of Reference, approved by senior ma-nagement, articulating the principles of the Ombudsfunction in that organization and their consistency withthe IOA Standards of Practice.

Standards of Practice

Independence

1.1 The Ombuds Office and the Ombuds are inde-pendent from other organizational entities.

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

1.3 The Ombuds exercises sole discretion over whe-ther or how to act regarding an individual’s concern, atrend or concerns of multiple individuals over time. TheOmbuds may also initiate action on a concern identifiedthrough the Ombuds’ direct observation.

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

1.5 The Ombuds has authority to select Ombuds Of-fice staff and manage Ombuds Office budget and ope-rations.

Neutrality and Impartiality

2.1 The Ombuds is neutral, impartial, and unaligned.

2.2 The Ombuds strives for impartiality, fairness andobjectivity in the treatment of people and the considera-tion of issues. The Ombuds advocates for fair and equi-tably administered processes and does not advocate onbehalf of any individual within the organization.

2.3 The Ombuds is a designated neutral reporting tothe highest possible level of the organization and opera-ting independent of ordinary line and staff structures. TheOmbuds should not report to nor be structurally affiliatedwith any compliance function of the organization.

2.4 The Ombuds serves in no additional role withinthe organization which would compromise the Ombuds’neutrality. The Ombuds should not be aligned with anyformal or informal associations within the organization ina way that might create actual or perceived conflicts ofinterest for the Ombuds. The Ombuds should have nopersonal interest or stake in, and incur no gain or lossfrom, the outcome of an issue.

2.5 The Ombuds has a responsibility to consider thelegitimate concerns and interests of all individuals affec-ted by the matter under consideration.

2.6 The Ombuds helps develop a range of responsi-ble options to resolve problems and facilitate discussionto identify the best options.

Confidentiality

3.1 The Ombuds holds all communications withthose seeking assistance in strict confidence and takesall reasonable steps to safeguard confidentiality, inclu-ding the following: The Ombuds does not disclose confi-dential communications unless given permission to doso in the course of informal discussions with the Om-buds, and even then at the sole discretion of the Om-buds; the Ombuds does not reveal, and must not berequired to reveal, the identity of any individual contac-ting the Ombuds Office, nor does the Ombuds reveal in-formation provided in confidence that could lead to theidentification of any individual contacting the OmbudsOffice, without that individual’s express permission; theOmbuds takes specific action related to an individual’sissue only with the individual’s express permission andonly to the extent permitted, unless such action can betaken in a way that safeguards the identity of the indivi-dual contacting the Ombuds Office. The only exceptionto this privilege of confidentiality is where there appearsto be imminent risk of serious harm, and where there isno other reasonable option. Whether this risk exists is adetermination to be made by the Ombuds.

3.2 Communications between the Ombuds andothers (made while the Ombuds is serving in that capa-city) are considered privileged. The privilege belongs tothe Ombuds and the Ombuds Office, rather than to anyparty to an issue. Others cannot waive this privilege.

3.3 The Ombuds does not testify in any formal pro-cess inside the organization and resists testifying in any


42

formal process outside of the organization, even if givenpermission or requested to do so.

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

3.5 The Ombuds keeps no records containing iden-tifying information on behalf of the organization.

3.6 The Ombuds maintains information (e.g., notes,phone messages, appointment calendars) in a securelocation and manner, protected from inspection byothers (including management), and has a consistentand standard practice for the destruction of such infor-mation.

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

3.8 Communications made to the Ombuds are notnotice to the organization. The Ombuds neither acts asagent for, nor accepts notice on behalf of, the organiza-tion. However, the Ombuds may refer individuals to theappropriate place where formal notice can be made.

Informality and Other Standards

4.1 The Ombuds functions on an informal basis bysuch means as: listening, providing and receiving in-formation, identifying and reframing issues, developinga range of responsible options, and – with permissionand at Ombuds discretion – engaging in informal third-party intervention. When possible, the Ombuds helps

people develop new ways to solve problems them-selves.

4.2 The Ombuds as an informal and off-the-recordresource pursues resolution of concerns and looks intoprocedural irregularities and/or broader systemic pro-blems when appropriate.

4.3 The Ombuds does not make binding decisions,mandate policies, or formally adjudicate issues for theorganization.

4.4 The Ombuds supplements, but does not re-place, any formal channels. Use of the Ombuds Office isvoluntary, and is not a required step in any grievanceprocess or organizational policy.4.5 The Ombuds does not participate in any formalinvestigative or adjudicative procedures. Formal investi-gations should be conducted by others. When a formalinvestigation is requested, the Ombuds refers individualsto the appropriate offices or individual.

4.6 The Ombuds identifies trends, issues andconcerns about policies and procedures, including po-tential future issues and concerns, without breachingconfidentiality or anonymity, and provides recommenda-tions for responsibly addressing them.

4.7 The Ombuds acts in accordance with the IOACode of Ethics and Standards of Practice, keeps pro-fessionally current by pursuing continuing education,and provides opportunities for staff to pursue professio-nal training.

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


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Annex 4

IOA Code of Ethics

Preamble

The IOA is dedicated to excellence in the practice ofOmbuds work. The IOA Code of Ethics provides a com-mon set of professional ethical principles to which mem-bers adhere in their organizational Ombuds practice.

Based on the traditions and values of Ombuds practice,the Code of Ethics reflects a commitment to promoteethical conduct in the performance of the Ombuds roleand to maintain the integrity of the Ombuds profession.

The Ombuds shall be truthful and act with integrity, shallfoster respect for all members of the organizations theyserve, and shall promote procedural fairness in thecontent and administration of those organizations’ prac-tices, processes, and policies.

Ethical Principles

IndependenceThe Ombuds is independent in structure, function, andappearance to the highest degree possible within the or-ganization.

Neutrality and Impartiality

The Ombuds, as a designated neutral, remains unali-gned and impartial. The Ombuds does not engage inany situation which could create a conflict of interest.

Confidentiality

The Ombuds holds all communications with those see-king assistance in strict confidence, and does not dis-close confidential communications unless givenpermission to do so. The only exception to this privilegeof confidentiality is where there appears to be imminentrisk of serious harm.

Informality

The Ombuds, as an informal resource, does not partici-pate in any formal adjudicative or administrative proce-dure related to concerns brought to his/her attention.


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Annex 5

Categories of Issues

Benefits and Compensation

- Salary- Education Grant- Education Travel- Social Benefit- Leave Claims- Relocation Allowances

Career Development and Job Security

- Mobility- Job grading/Reclassification- Recruitment- Promotion and selection process

Conduct and Abuse of Power

- Abuse of authority- Abusive Language- Mistreatment/Fair Treatment- Interpersonal conflicts- General harassment and intimidation- Sexual harassment- Misconduct- Discrimination- Allegations of Fraud

Policy Practices

- Enquiries about HR policies- Criticisms of existing HR policies- Recommendations for new policies- Systemic issues of a general nature

Performance Management

- Performance Evaluation- Non-Evaluation

Separation

- Voluntary Separation- Negotiated separation- Non-Renewal of contract- Redundancy- Separation for cause

Others

- Referrals- Refused cases- Cases not falling into the above categories


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Annex 6

Board Resolution on the 2nd Ombudsman


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47


48


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Annex 7

Values Promotion Champions (VPC’s)Terms of Reference

The African Development Bank values its human re-sources as its most important asset. In acknowledge-ment of that fact, the Bank has been very active infostering policies and programs aimed at ensuring thatrespect for staff dignity prevail in the workplace and thatthe working environment is wholesome. It has thereforeadopted policies and practices with the fundamentalpurpose of guaranteeing a respectful, harassment- andintimidation-free environment. It thus strives to ensurethat prompt and serious attention is accorded to anyform of grievance or complaint that suggest disrespectfor staff dignity. In furtherance of these policies, the Bankhas set up several formal and informal channels of re-course to enable persons with such complaints to regis-ter them and seek advice and assistance. Thesechannels include Management Review, Human Re-sources Department, the Staff Council, Office of the Om-budsman, the Values Promotion Champions (VPCs)Program, Ethics Office and the Administrative Tribunal.The VPCs are selected by the staff members in the res-pective field offices and the VPC program is managedby the Office of the Ombudsman.

Main Responsibilities of the VPCs.

• Serve as a confidential and safe place where col-leagues can go for support and information.

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

• Serve as a sounding board• Periodically sensitize staff in their respective offices

on Bank Ethics and Values as well as brief new staffon their VPC role.

• Hold periodic meetings with the Field Office Repre-sentatives to discuss trends and general atmos-phere in the office without divulging names orinformation on specific cases.

• Send quarterly and confidential logs to the Officeof the Ombudsman on the types of issues broughtto them in a generic and protected way, divulgingno names or information that would lead to theidentification of a staff member, in order to strictlysecure confidentiality.

The VPCs are not expected to directly intervene in me-diation, resolution or investigation.

They should, at all times and in all circumstances;

• Maintain the highest levels of personal integrity• Show the example by respecting the rights and di-

gnity of their colleagues• Keep discussions with colleagues absolutely confi-

dential, even in discussion with other VPCs.

After their appointment, all VPC’s must undergo trainingbefore they begin to serve in that role. In order to avoidconflict of interest, staff performing managerial or HRresponsibilities and Staff Council Officers will not be eli-gible for appointment as VPCs. All changes in status,grade, responsibility, or work location of a serving VPCmust be reported promptly to the Program Administra-tion.

Knowledge Requirements:VPCs will be expected;

• to be comprehensively familiar with Bank Grouppolicies, Ethical values and expectations, and Pro-cedures.

• to have an understanding of the dynamics of a cul-turally diverse environment and workplace pro-blems.

• to be conversant with the workings and services ofthe Bank’s recourse channels.

• to be able perform basic advisory functions suchas skilled listening and emotion management forconstructive action.

• to have a very clear understanding of their roles asVPC’s , which include how to handle and respondto workplace problems, and how to refer col-leagues to appropriate channels elsewhere in theBank

Tenure of the VPC

The Term of Office of the VPC shall be two (2) years re-newable only once for a further two (2) years. However,for the pioneering VPC’s, (2009) the first term shall runfor three (3) years to assist consolidate the program.They shall thereafter be eligible for re-nomination for onemore term only for two (2) years.

Office of the Ombudsman- November 2008.


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Annex 8

Values Promotion Champions as at December 2009


Sobhi Amira Saleh, EGFOZimulinda, Angélique Mihigo,

RWFOHailemeskel Hailemariam,

ETFO Cissé Ali, MLFO

Guinéo Vaïdjoua, TDFO Mabombo João, MZFO Mwasambili Rees, ZMFO Amissah-Arthur, Efua, GHFO

Darwalls Amelée, ROSARandriatsiferana, Simon,

MGFOKishebuka Brighton,

TZFO Ibrahim Mohamed, SDFO

Abdullahi Mohammed, NGFO Traoré Rokhaya, SNFO El Ouahabi Mohamed, MAFO Bizongo Désiré Anatole, CDFO

Ngwira Delight, MWFO Ilboudo Salamata BFFO Moubamba Jean GAFO Odero Walter Owuor, KEFO

Isooba Daniel, UGFO Bangura Abdul, SLFOTounkara Samba, Bocary,

CMFOBarretto-Gomes Nelvina,

AOFO

52

Annex 9

Request for Conciliation / MediationMade of the Ombudsman of the bank


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54

Annex 10

Memorandum of AgreementDispute Reference OMB/MED/…

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

Preamble

Considering the approval by the Board of Directors on 2March 2007, of measures to strengthen the African De-velopment Bank’s internal recourse mechanisms; theprovisions of staff Regulation 10.3 (Settlement of Dis-putes); and staff Rule 103.00 (Ombudsperson); and inaccordance with the Presidential Directive No. 08/2007concerning Guidelines for Conciliation and especially Ar-ticles 5 (Confidentiality) and 6 (Conclusion of Concilia-tion Process) of those Guidelines.

1. Declaration of Intent

The Parties to this Memorandum hereby declare theirwish to work towards a settlement of the above referen-ced dispute through the process of mediation facilitatedby the Ombudsperson of the Bank. They recognize theMediator as an independent and neutral party with novested 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, pro-mises, conduct and statements, whether written or oral,made in the course of the proceedings including the Re-cord of Settlement, are inadmissible in any arbitration orcourt proceedings. The parties agree not to subpoena orotherwise require the Ombudsperson/mediator to tes-tify or produce records, notes or work product in any fu-ture proceedings and no recording or stenographicrecord shall be made of the mediation session.

2.2 Moreover, the parties declare that they fully un-derstand and accept that the proceedings of this conci-liation process as well as any Record of Settlementtherefrom, shall be kept confidential, and that they shallnot disclose any settlement agreed upon, nor informa-tion provided in the course of the proceedings except tothe extent that such information is already available to

them otherwise than as a result of the conciliation pro-ceedings.

3. Termination of Mediation

The mediation process shall be terminated under any ofthe 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 at-tempts at mediation are no longer considered necessaryand worthwhile.(c) by a declaration by any of the parties that theprocess should be terminated.

4. Binding Undertaking

4.1 Should an agreement be reached as a result ofthese proceedings, the Parties accept to sign the Re-cord of Settlement as furnished by the Mediator. Theyalso accept that the Record of Settlement so signedshall be final and binding on the parties and that no ap-peal or further proceedings may be brought in relationto the matters stated in the Record of Settlement.

4.2 Having read and understood the terms of thisdocument, the Parties agree to be bound by them, aswitnessed by their signatures below.

Done in Tunis, on

Signed Signed

RequesterOmbudsman

Signed (Parties)


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Annex 11Album of photos

Induction of newly recruited Staff, October 2009

Official Representative of ROSA with the two Ombudsmen,24-26 November 2009

Advocacy and Sensitization Seminar with ROSA Staff, 24-26November 2009

Professors at the 101 and 101 Plus Conflict Management andMediation Course of the IOA in Charlotte, North Carolina,

25-31 October 2009.

Certficate of Completion Award to participants of 101 and 101Plus Course, Charlotte, N.Carolina, 25-31 October 2009

Admin. Assistant, VPC for ROSA and two Ombudsmen,ROSA,24-26 November 2009

Advocacy and Sensitization Seminar with ROSA Staff,24-26 November 2009

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