84451 OMBUDS SERVICES and R E S P E C T F U L WO R K P L AC E ADVISORS PROGRAM Annual Report 2 0 1 2 Confidential, Impartial, Independent, Informal Explore Solutions… Ombuds Services Confidential, Impartial, Independent, Informal The World Bank Group’s Ombuds Services (OMB) office has three major functions: 1. To help staff and managers resolve workplace problems 2. To alert management to trends and issues that should be addressed to improve the working environment and make recommendations for change in policy or practice 3. To administer the Respectful Workplace Advisors (RWA) Program Key Characteristics Confidential Under Staff Rule 9.02 and the office’s professional standards, communications with Ombuds Services are private and absolutely confidential. An Ombudsman does not divulge any information told to him or her that might reveal a staff member’s identity, unless authorized by the staff member (except if there appears to be imminent risk of serious harm). It is a safe place for staff to discuss any conflict, concern or dispute outside formal communication channels, without fear of retaliation. Impartial An Ombudsman is impartial and does not serve as an advocate for a particular point of view or for any of the parties involved. The office strives for solutions that are consistent with fairness and respectful treatment. Independent Ombuds Services is not part of the formal organizational structure. Each Ombudsman is appointed by the President on the advice of staff selected by the Staff Association. An Ombudsman is not subject to annual performance reviews, receives a nominal salary increase, serves a five-year term which may be renewed one time and may not accept a position elsewhere in the World Bank Group for a period of two years after completing their term. Informal Ombuds Services is focused on problem-solving and encourages informal resolution of problems at the lowest level possible in a way that minimizes harm to relationships. Contacting Ombuds Services is not the same as reporting an issue to the organization and does not place the WBG “on notice”. The office does not register complaints, perform investigations, or keep formal records for the Bank Group, but an Ombudsman can provide advice about the Bank Group’s formal grievance system. How Can We Help? The office’s objective is to facilitate resolution to workplace issues. An Ombudsman does not make decisions or mandate actions, and the staff member remains in full control of any actions that would be specific to him/her. An Ombudsman can: • Hold confidential discussions to listen to staff’s concerns or inquiries • Analyze the facts of a given situation and provide an impartial perspective on the issue(s) • Help identify and evaluate options for the staff to consider • Help staff decide which option makes the most sense • Provide advice on how to implement the selected option(s) • Coach staff on how to deal with the problem directly • Provide informal intervention, only if requested by staff • Provide information on policies and procedures • Explain other available resources and refer staff to other units in the WBG that may help CRS | Conflict Resolution System O M B U D S S E R V I C E S and Respectful Workplace Advisors Program annual report FY2012 This report reviews the work of the World Bank Group’s Ombuds Services office and the Respectful Workplace Advisors Program during the fiscal year 2012. This report was prepared by Tanisha McGill and Odile Rheaume with contributions from Constance Bernard and Thomas Zgambo. Ta b l e o f C o n t e n t s List of Acronyms & Abbreviations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v Executive Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Section 1: Ombuds Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 OMB Caseload and Visitor Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 OMB Caseload. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Visitor Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Issues, Trends, and Observations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 OMB Visitor Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 The Changing Institution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Mainstreaming WBG Values. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Development in HR Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Special Issues of Short-Term Consultants (STCs). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Re-entry Guarantees No Longer Guarantee Re-entry. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Reinstatement of Staff after Absence on Disability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Staff Working in Fragile and Conflict-Affected States. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Recruiting the Best International and Local staff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Past Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Visitor Evaluations of OMB’s Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Exit Survey Responses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Dimensions of Evaluation and Analysis of Reponses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Survey Design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Section 2: The Respectful Workplace Advisors (RWA) Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Program Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 RWA Caseload, Visitor Demographics, and Issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Characteristics of Staff Who Consult RWAs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Issue Types Reported to RWAs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Program Updates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 FY12 Program Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Value Added/Impact of Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 RWA Program Evaluation Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 iii Ombuds services | annual report 2012 Annexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Annex 1: Definitions of Issue Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Annex 2: Issues Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 Annex 3: Draft Guidelines for Authorship and Attribution. . . . . . . . . . . . . . . . . . . . . . . . . 34 Annex 4: Respectful Workplace Advisors (RWA) Program: Terms of Reference. . . . . . . . . . 36 Annex 5: Respectful Workplace Advisors (RWA) Program: Program Objectives. . . . . . . . . . 37 Annex 6: Respectful Workplace Advisors (RWA) Program: Standards of Practice. . . . . . . . . 38 Annex 7: Respectful Workplace Advisors (RWA) Activity Form . . . . . . . . . . . . . . . . . . . . . 41 List of Graphs, and Tables Graph 1: OMB Caseload, FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Graph 2: Characteristics of New OMB Visitors Compared to WBG Staff, FY12. . . . . . . . . . 8 Graph 3: Employment Types of New OMB Visitors Compared to WBG Staff , FY12 . . . . . 9 Graph 4: OMB Utilization by Unit Type Compared to WBG Staff, FY12 . . . . . . . . . . . . . . 9 Graph 5: OMB Utilization by Unit Type and Location Compared to WBG Staff, FY12 . . . 10 Graph 6: RWA Contacts, FY06–12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Graph 7: Origination of RWA Contacts, FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Graph 8: Referrals from RWAs in FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Graph 9: Referrals from RWAs, Difference from FY11 to FY12. . . . . . . . . . . . . . . . . . . . 27 Graph 10: Number of RWA Briefings to Country Managers in a 12-month Period. . . . . . . . 27 Graph 11: Staff Survey Respondents Who Consulted an RWA Rated the RWAs Operational Behaviors Positively. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Table 1: Change in OMB Utilization from FY11 to FY12 by Demographic Category. . . . . 7 Table 2: Ombudsman Interventions by Referring Entity, FY11–12 . . . . . . . . . . . . . . . . . . 7 Table 3: New OMB Visitors’ Issues, FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Table 4: Quality of Services Provided by Ombuds Services, FY12 . . . . . . . . . . . . . . . . . 17 Table 5: Utility of Consulting Ombuds Services, FY12. . . . . . . . . . . . . . . . . . . . . . . . . . 17 Table 6: Likelihood of Consulting Ombuds Services Again or Recommending it to Others – FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Table 7: New RWA Visitors’ Issues, FY12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Table 8: Numbers of RWAs, FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Table 9: RWA Training Sessions , FY12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Table 10: RWA Training Feedback, FY12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 iv L i s t o f Ac r o n y m s & A b b r e v i a t i o n s ACS Administrative and Client Support Staff AFR Africa CD Country Director CM Country Manager CO Country Office CRS Conflict Resolution System DEC Development Economics DIAS Developmental Assignment EAP East Asia and Pacific EBC Office of Ethics and Business Conduct ECA Europe and Central Asia ED Executive Director ETT/ETC Extended Term Temporary/Consultant EXT External Affairs FAC Finance, Administrative and Corporate Units FCS Fragile and Conflict-affected States FY Fiscal Year G Grade GA-GD Grade level A-D GE+ Grade level E and above GEF Global Environment Facility GSD General Services Department HR Human Resources IBRD International Bank for Reconstruction and Development ICSID International Centre for Settlement of Investment Disputes IDA International Development Association IFC International Finance Corporation IOA International Ombudsman Association IJS Internal Justice System JPA Junior Professional Associate LCR Latin America and Caribbean LEG Legal MD Managing Director MEF Office of Mediation services MNA Middle East and North Africa MIGA Multilateral Investment Guarantee Agency OMB Ombuds Services OPCS Operations Policy and Country Services OPS Operations Policy and Strategy Group v Ombuds services | annual report 2012 PREM Poverty Reduction and Economic Management PRS Peer Review Services R & R Resettlement and Rehabilitation RWA Respectful Workplace Advisors SAR South Asia SB Sector board SPA Special Assignment SRI Salary review increase SSA/CR Sub-Saharan Africa/Caribbean STT/STC Short-term temporary/consultant VP Vice President VPU Vice-Presidential Unit WBG World Bank Group vi Executive Summary OMBUDS SERVICES sider the pros and cons of confidential feedback for peers and more senior colleagues. The practice Trends in Caseload and Visitor Characteris- of using management team meetings to determine tics. The Ombuds Services (OMB) had the high- relative performance and salary review increases est caseload in its history in FY12 with 608 new (SRIs), while well-intended, is also a source of dis- visitors to the office, a 26 percent increase over trust. There is the perception that they lack objec- the previous year. Although the reasons for the tivity because of power differences within the increase are not obvious, it may reflect a growing group, the natural desire of managers to advo- awareness of the service through outreach efforts cate for their own staff, differing levels of famil- and word-of-mouth recommendations. As in the iarity with individual performance, and unclear past, staff based outside of Washington, DC, men, criteria for measuring contributions. Some visitors short-term consultants and temporaries (STC/ have also complained about decisions being made STT), GA-GD staff, and International Finance at management meetings regarding performance Corporation (IFC) staff continue to be more before the feedback process has been completed. underrepresented groups. However, significant increases in usage can be seen for country-based The second most frequently raised issue is prob- staff and STC/STTs in FY12, probably reflecting lems with management skills and behavior. This the increased outreach efforts. The office has category represents many different perceptions recruited a third ombudsman, David Talbot, who and conflicts that staff have with their managers moved to Bangkok this year to increase availabil- but seems primarily to encompass the following ity to country-based staff. The increased casel- broad areas: (1) career development, (2) com- oad has presented challenges to maintaining high munication/transparency, (3) equity of treatment, standards for responsiveness and service while (4) respectful treatment, (5) supervisory effective- being frequently present in World Bank Group ness, and (6) trust/integrity. (WBG) offices outside of HQ. The Changing Institution Frequently Raised Issues. In FY12, as in the HR Reform. The IFC has undertaken some past, the single most frequently raised issue by major improvements in HR management, devot- OMB visitors was related to human resources (HR) ing greatly increased resources to management processes (not necessarily those managed by HR training, including for untagged managers, with offices). Concerns around performance evalu- increased focus on people skills and perfor- ation are consistently raised. This is not surpris- mance management. In the Bank, HR has initi- ing, because performance evaluation is inherently ated a radical reorganization with an ambitious sensitive. Nevertheless, there are some behaviors set of time-bound commitments for FY13. These that lead staff to distrust the process. These include include review and modernization of the entire long gaps in communication from supervisors, compensation system; development of a medium- lack of clear feedback, and lack of specific sugges- term corporate mobility strategy and work plan- tions on how to improve performance. The current ning process; and revision and streamlining of the system of confidential feedback from higher ups recruitment process, among others. HR also plans and peers may create distrust and can undermine to establish a Leadership Foundation with the aim teams; it may be helpful for the institution to con- of strengthening the skills of current and future 1 Ombuds services | annual report 2012 Bank leaders and improving managerial effective- Reinstatement of Staff after Absence. When ness. These developments in HR, if successful, staff return to work after sick or disability leave, will help address many of the common concerns they occasionally have difficulty being reinte- raised by visitors to the OMB office. grated. It may be helpful to track their situation to maximize their contribution to the institution and Mainstreaming Bank Values. The WBG has a to minimize damage to their career. robust set of values that have been institutionalized through mandatory ethics training over the past Staff Working in Fragile and Conflict- years. Nevertheless, many staff are cynical about Affected States (FCS). It may be worth consid- the WBG’s commitment to high standards for eth- ering special arrangements to maximize use of ics and behavior. The cynicism may in part reflect the Bank’s best international staff and to promote that this training has been promoted primarily by the development of locally recruited staff. Senior the Office of Ethics and Business Conduct (EBC) management has already had discussions with but has not been strongly and visibly supported FCS staff and is looking at various proposals in by the highest level of management. In addition, this area. Some specific areas of focus include the some senior managers have been perceived as act- following: ing inconsistently in terms of Bank values without repercussions. Finally, some Bank practices give 1. More active career path management for FCS the appearance of indifference to these values. staff Recently, the president has announced his support 2. Use of hub locations to enable a diversified for reaffirming, clarifying, and integrating Bank work program and to permit more family- values more fully into the institution’s culture—a friendly living arrangements critically important initiative for the institution. 3. Training for Internationally Recruited Staff IRS on cultural and historical issues Some Areas for Attention 4. Greater use of scholarship, training, and devel- Short-term Consultants. These are widely opment assignments DAIS programs for prom- used in the institution. Some report being treated ising Locally Recruited Staff LRS staff in FCS unfairly by supervisors: for example, being asked 5. Review resettlement and rehabilitation (R&R) to work without pay. Some mention that others benefits for IRS have taken credit for their intellectual contribu- tions. Most of the STCs with such concerns are Visitor Evaluations of OMB services relatively new in the job market and feel vulner- In order to monitor its performance and continue able because of concerns about career develop- to improve the services it provides, OMB uses an ment and future employment, which make them anonymous exit survey to gather feedback from reluctant to complain. It would be helpful if cur- visitors. In FY12, OMB received 118 responses rent HR reform efforts could take a look at the (out of 628 exit surveys sent) rating performance role and treatment of STCs. on process objectives (confidentiality, impartial- ity, knowledge, respectful treatment, and so forth) Increased budget pressures appear to have led and the utility of consulting the office. Feedback to pressure on re-entry guarantees after country- on process objectives remains positive with a based assignments, external service, or leave with- 92 percent average positive response rate. Posi- out pay. Some staff have had difficulty—the Bank tive response rates on the utility of the office and needs to clarify in simple language exactly what whether visitors would consult OMB again or rec- commitment is implied when a re-entry guaran- ommend it to others were at 74 percent and 83 tee is used. percent, respectively. 2 Executive Summary RESPECTFUL WORKPLACE ADVISORS review. In addition, the Case of the Month retains (RWA) PROGRAM popularity among RWAs and IJS Staff alike, and the RWAs are recording issues at a 12 percent increase The number of RWA contacts increased by about rate partly due to a better system and systemic fol- 9 percent in FY12 reaching 564. The majority low-ups from the RWA team. If FY12 alone, RWAs of RWA contacts (82 percent) are country office have made 529 referrals to IJS and other services staff. Women, Part II staff and grade GA-GD staff strengthening their critical local resource status. In are overrepresented groups among RWA con- addition, 46 RWAs from 38 countries participated tacts. Forty-three percent of issues raised by staff in the IJS Day global outreach with attendance by who consulted RWAs in FY12 involved respect- an estimated 1,140 local staff members. RWAs are ful workplace issues, while about one quarter of also increasingly included in new staff orientation issues (23 percent) involved HR process issues. in their location. As per previous tendencies, for CO-based visitors the most frequently raised issue was interpersonal The report also highlighted the value added of conflicts, while for Washington-based staff it was the program, including serving as an initial point management skills and behavior. of contact and gateway to the Internal Justice Sys- tem (IJS) and the function of the RWA to meet Nominations for new RWAs were conducted with the Vice President/Country Director/Coun- in the Africa, East Asia and Pacific (EAP), and try Manager (VP/CD/CM) to discuss general issue South Asia (SAR) regions in FY12, followed trends in the office. by six training sessions held in Dakar, Nai- robi, Washington and Bangkok. The increase An independent evaluation of the RWA program in number of RWAs in FY12 reflects a 9 per- was completed in FY12 and concluded positive cent increase—from 191 to 204. Fifty-six new findings and identified a number of recommen- RWAs attended the Basic training and 41 RWAs dations to improve the program. The RWA Pro- attended the required mid-term training. The gram was found most helpful in country offices RWA training team continues to receive a very as the program has particular local relevance for positive overall rating of 4.88, compared to the local staff. Some of the recommendations include Bank Group 2010’s training evaluation overall more visibility for management support of the average rating of 4.22. program and the need to increase the program’s engagement with HR staff to improve awareness This year, the RWA Program achieved many objec- for this group, as well as find a way of commu- tives. One of them is the publication of the RWA nicating the program’s benefits to staff and the News & Views, Volume 8 newsletter and book organization. 3 SECTION 1: O mbuds S ervices 5 OMB C a s e l o a d a n d V i s i t o r P r o f i l e Ombuds Services (OMB) operates according to OMB Caseload the International Ombudsman Association (IOA) code of conduct and standards of practice.1 In FY12, 608 new visitors reached out to OMB —the highest caseload in OMB3 history (see “The Ombuds office should To promote consis- graph 1). This represents a 26 percent increase continue visiting country tency with other World over FY11 and a 63 percent increase compared Bank Group (WBG) to an annual average of approximately 374 visi- offices from time to time reports, the Conflict tors between FY08 and FY11. Possible explana- in order to be closer to the Resolution System tions for the increase include greater awareness people.” (CRS) made the deci- of OMB’s role and increased accessibility and sion in January 2012 to outreach with a third ombudsman on board. WBG Staff Member change from a calen- Total staff remained roughly constant during FY12 OMB Feedback Survey dar year (CY) to a fis- this period, making this challenging year with a cal year (FY) reporting decreasing real budget and increasing workload. cycle. This report therefore covers the 12-month While some categories of staff increased propor- period July 1, 2011 to June 30, 2012. Data com- tionately relative to the overall increase seen in parisons in this report refer to fiscal years unless OMB visitors, significant increases can be seen otherwise indicated.2 among country office (CO) staff and short-term consultants/short-term temporaries (STC/STTs) (see table 1). GRAPH 1 OMB Caseload – FY12 With the third ombudsman, David Talbot, on Number of visitors board effective September 2011, OMB hopes to broaden its reach to country offices and to reduce the many challenges associated with global com- 608 munication. Each ombudsman takes several trips each year to explain the role and services of the 484 Internal Justice System (IJS) to WBG4 country 374 office staff and to afford staff an opportunity to 341 meet personally with an ombudsman. Currently, 295 EAP has the highest percentage of Bank5 staff based in the country offices at 75 percent, fol- lowed by SAR at 70 percent and AFR at 66 per- cent. In FY12 approximately 25 percent of cases 2008 2009 2010 2011 2012 were the result of the ombudsman’s mission travel to 28 countries—a testament to the importance 1  Ombudsman is both a singular and plural term of Swedish origin. “Man” refers to the responsibility to serve “the people” and does not signify singular/plural or gender. 2  Previous reporting cycle refers to the last annual report produced by OMB on a calendar year basis, which was CY2010. 3  “Visitor” is the term used by organizational ombuds offices to describe those who consult the service. 4  WBG refers to the World Bank Group which includes IBRD, IDA, IFC, ICSID, and MIGA. 5  Bank refers to IBRD and IDA. 6 O M B C a se l o a d a n d V i s i t o r P r o f i l e Table 1 Change in OMB Utilization from FY11 to FY12 by Demographic Category* Characteristic 2011 2012 Change % Washington 1.23 1.08 –12.2% Country Offices 0.68 0.89 30.9% Women 1.16 1.10 –5.2% Men 0.83 0.89 7.2% Part 1 1.27 1.10 –13.4% Part 2 0.83 0.94 13.3% GA-GD 0.86 0.89 3.5% GE+ 1.05 1.04 –1.0% Sub-Saharan Africa/Caribbean (SSA/CR) 1.11 1.27 14.4% Non SSA/CR 0.98 0.95 –3.1% Open-ended 1.65 1.76 6.7% Term** 1.08 0.93 –13.9% Extended Term 0.95 0.75 –21.1% STC/STT (40+ days) 0.25 0.33 32.0% Regions 1.03 1.11 7.8% Networks and Other Operational Units 1.26 1.08 –14.3% Finance, Administrative, and Corporate Units (FAC)*** 1.04 1.10 5.8% IFC 0.75 0.69 –8.0% * The 2011 and 2012 values represent the ratio of the percentage of OMB visitors in each category to the percentage of WBG staff. A ratio of 1 indicates that the percentage of OMB visitors in a particular group is equal to the percent that group represents among all WBG staff. Groups with a ratio greater than 1 are overrepresented; groups with a ratio of less than 1 are underrepresented. ** Includes coterminous staff. *** Includes Multilateral Investment Guarantee Agency (MIGA) and Global Environment Facility (GEF) staff. of having a physical presence in the field. Tal- Table 2 Ombudsman Interventions by Referring Entity, FY11–12 bot relocated to Bangkok in August 2012 and will be conducting more frequent regional travel in FY11 FY12 the future. EBC 1 7 HR 54 45 An ombudsman may intervene when explicitly Integrity Vice Presidency (INT) 1 1 requested to do so by a visitor, if the ombuds- Legal 1 3 man agrees that intervention is appropriate. The most frequent type of intervention is when an Manager 102 98 ombudsman speaks to a visitor’s manager, fol- Medical Services 5 3 lowed by ombudsman communication with Other 13 6 HR. The number of ombudsman interventions Other Conflict Resolution System (CRS) Services 6 10 decreased this year to 191 or about 31 percent Party Involved 5 3 of cases—compared to 201 interventions or Personal and Work Stress Counseling Unit 1 1 about 42 percent of cases in FY11 (see table 2). Staff 4 2 It is not clear whether the decrease in interven- Staff Association 6 10 tions indicate a trend such as greater reliance on coaching of staff to resolve issues, and the office Third Party 2 2 will continue to monitor. TOTAL 201 191 7 Ombuds services | annual report 2012 Graph 2 Characteristics of New OMB Visitors Compared to WBG Staff, FY12 Ratio of OMB% to WBG%* 1.50 1.00 0.50 0.00 ba on- sed n n 1 2 -GD + /CR SSA non sed me Me /CR GE t t Par Par t SSA -ba ing GA Wo sh CO Wa * Shows the ratio of the percentage of OMB visitors in each category to the percentage of WBG staff in each group. A ratio of 1 indi- cates that the percentage of OMB visitors in a particular group is equal to the percentage that group represents among all WBG staff. Groups with a ratio greater than 1 are overrepresented; groups with a ratio of less than 1 are underrepresented. Visitor Characteristics nificantly overrepresented in FY12. While the remaining appointment types are all underrepre- The profile of OMB’s new visitors during FY12 sented, STC/STT usage increased by about half. (see graph 2) is quite similar to that in FY11. CO- This increase may reflect that STC/STTs are now based staff, men, Part II, and GA-GD staff remains better represented in IJS outreach platforms and underrepresented, though usage increased among are more aware of service eligibility. Utilization each of these groups. A few possible explanations by all term-type appointments decreased this for the increased usage may be greater awareness year. On the positive side, this may reflect that of OMB services, increased outreach, and increase some 88 percent term contracts were renewed. in WBG staff. Non-SSA/CR staff is another group On the negative, many staff with term contracts that continues to be underrepresented, although feel vulnerable and are reluctant to take actions representation improved slightly in FY12. Differ- which they perceive may harm their chances ences in usage among gender and grade levels of renewal or conversion. Extended-term (ET) remained about the same as in the previous fis- appointment types showed the largest decrease cal year. in usage compared to last fiscal year. This could be due to the 6 percent decrease in the number Utilization of OMB of staff holding this appointment type. also varies among staff “Service feels distant with different con- The unit type in which staff work in the World from IFC.” tractual arrangements Bank Group may also affect the likelihood of (see graph 3). As in consulting OMB (see graph 4). The percentage IFC Staff Member the past, open-ended/ of region, network, and Finance, Administration FY12 OMB Feedback Survey regular staff were sig- and Corporate (FAC) units was more proportion- 8 O M B C a se l o a d a n d V i s i t o r P r o f i l e Graph 3 Employment Types of New OMB Visitors Compared to WBG Staff, FY12 Ratio of OMB% to WBG% 2.00 1.50 1.00 0.50 0.00 Open-ended Term* Extended Term Other** STC/STT (40+ days)*** *Includes coterminous staff **Includes Special Assignments (SPA), Executive Director (ED) advisors, and Junior Professional Associates (JPA) Graph 4 OMB Utilization by Unit Type Compared to WBG Staff, FY12 Ratio of OMB% to WBG% 1.50 1.00 0.50 0.00 Regions Networks FAC* IFC *Includes Other Operational Units **Includes MIGA and GEF visitors ate this year. Region and FAC usage increased, (see graph 5), a 20 percent increase from FY11. while network usage decreased. IFC usage A potential reason for this rise in country office increased slightly this year but remains underrep- usage may be a result of greater awareness due to resented overall. OMB usage by IFC CO-based the increased number of IFC RWAs in the coun- staff accounted for 60 percent of IFC’s total usage try offices. 9 Ombuds services | annual report 2012 Graph 5 OMB Utilization by Unit Type and Location Compared to WBG Staff, FY12 CO ratio Washington ratio 1.50 1.00 0.50 0.00 Regions Networks* FAC** IFC *Includes Other Operational Units **Includes MIGA and GEF visitors 10 I s s u e s , T r e n d s , a n d O b s e r vat i o n s OMB Visitor Issues The second most frequently raised issue group was management skills and behaviors at 26 per- In line with the increase in visitors in FY12, the cent. In looking at the types of issues that come number of issues raised by visitors increased up most often in this category, OMB identified six by about 32 percent.6 Similar to FY11, HR pro- subcategories that would help break up the cat- cess issues were the most frequently raised by egory and provide a clearer sense of the types of both CO-based and Washington-based visitors’, behaviors that are problematic and/or skills that accounting for 37 percent of the total.7 Within are lacking. The new subcategories are (1) career this group,8 performance evaluation stands out as development, (2) communication/transparency, a commonly raised concern. This is likely always (3) equity of treatment, (4) respectful treatment, to be the case, because performance evalua- (5) supervisory effectiveness, and (6) trust/integ- tion is inherently sensitive. Nevertheless, there rity. OMB began using these subcategories mid- are some behaviors that lead staff to distrust the year and will report next fiscal year when a full process. They include long gaps in communica- year of data is available. tion, lack of feedback, lack of clarity, and lack of specific suggestions on how to improve perfor- Benefits were a frequently raised issue among mance. The current system of confidential feed- CO-based visitors (see table 3). In particular, visi- back from higher-ups and peers creates an arena tors raised concerns about compensation, loans for distrust and can undermine teams; it may be and advances to staff, and problems with medi- helpful for the institution to consider the pros cal insurance. and cons of confidential feedback from peers or more senior staff. The practice of using manage- Notable changes include an 80 percent increase in ment team meetings to determine relative per- the overall issues raised by CO-based staff, with formance and SRIs, while well-intended, can the majority of the increase reflecting concerns in also be a source of distrust. There is the percep- management skills and behaviors. The most fre- tion that the meetings lack objectivity because quently raised issues for Washington-based staff of power differences within the group, the natu- was management skills and behaviors (25 percent), ral desire of managers to advocate for their own followed by performance evaluation (11 percent). staff, differing levels of familiarity with individual performance, and unclear criteria for measuring contributions. It has also been the case in some The Changing Institution units that the management review makes deter- minations of ratings before the feedback process One of OMB’s mandates is to monitor emerg- has been completed. ing concerns that may need to be managed to 6  The Ombudsman categorize the concerns raised by visitors using a list of issues adopted by all the units of the Conflict Resolution System (CRS) in 2004. Definitions of issues can be seen in annex 1. A visitor may raise more than one issue; hence the number of issues exceed the number of visitors. 7  HR process issues are not necessarily managed by HR. 8  “Group” refers to the five main issue categories, which include HR Process, Respectful Workplace Issues, Management Skills and Behav- iors, Conflict of Interest, and Other Issues. 11 Ombuds services | annual report 2012 Table 3 New OMB Visitors’ Issues, FY12* Washington-Based Country Office-Based Visitors Visitors Total # % # % # % HR Process Issues 226 40% 112 33% 338 37% Benefits 34 6% 26 8% 60 7% Ending employment 44 8% 10 3% 54 5% Entering employment 5 1% 11 3% 16 2% Performance evaluation 62 11% 18 5% 80 9% Promotion 29 5% 16 5% 45 5% Reassignment and selection process 39 7% 11 3% 50 6% Salaries 13 2% 20 6% 33 4% Respectful Workplace Issues 135 24% 49 14% 184 20% Alleged Discrimination 6 1% 3 1% 9 1% Alleged Harassment 47 8% 10 3% 57 6% Interpersonal Conflicts 48 8% 23 7% 71 8% Other Misconduct 26 6% 10 2% 36 4% Alleged Retaliation 8 1% 3 1% 11 1% Management Skills & Behaviors 140 25% 97 29% 237 26% Management skills and behavior 140 25% 97 29% 237 26% Conflict of Interest 1 0% 2 1% 3 0% Conflict of interest 1 0% 2 1% 3 0% Other Issues 68 11% 79 23% 147 17% Compliance issues 2 0% 2 1% 4 0% Domestic issues 3 1% 5 1% 8 1% Other 41 6% 38 11% 79 9% Policy 16 3% 22 6% 38 4% Quality of Operations 6 1% 12 4% 18 3% Grand Total 570 100% 339 100% 909 100% * Forty-eight issues were from visitors from unknown locations and were not included in this table. improve the working environment in the WBG. and provides updates on the progress made on The three ombudsman periodically meet with the past concerns. OMB is not the unique identifier president, IFC’s executive vice president, man- of these issues; the Staff Association, HR, and/or aging directors, Bank and IFC HR management management are working on a number of them. teams, and other senior managers to discuss such concerns. Mainstreaming WBG Values This section highlights a few patterns and develop- ments that have been apparent in OMB casework The WBG has a robust set of values, which have between January 2011 and June 2012 18 months been the subject of thorough ethics training for a 12 Iss u es , T r e n d s , a n d O bse r v a t i o n s number of years. Nevertheless, some staff are cyn- gic objectives; and revision of policy and guide- ical about the WBG’s commitment to high stan- lines on the range of Bank appointment types, dards for ethics and behavior. The cynicism arises including term contracts. HR also plans to estab- in part because in the past training in values and lish a Leadership Foundation with the aim of ethics has largely been sponsored by EBC (now strengthening the skills of current and future Bank vice presidency) but has not been strongly and leaders and improving managerial effectiveness. visibly supported by the highest levels of man- agement. In addition, some senior managers These developments in HR management, if suc- have been perceived as acting inconsistently with cessful, will be helpful in addressing some of the WBG values without repercussions. Finally, some common concerns raised by visitors to the OMB WBG practices give the appearance of indiffer- office, especially those around performance man- ence to these values. Recently, President Kim has agement, general managerial effectiveness, fair- announced his support for reaffirming, clarifying, ness of compensation, and consistent approaches and integrating WBG values more fully into the to contracting. An important area to address institution’s culture. This is a critically important which does not seem to be covered by current initiative for the health of the institution. plans is to make selection and promotion pro- cesses within the institution more streamlined and transparent. Development in HR Management In IFC, the Human Resources Vice Presidency has Special Issues of Short-Term taken a number of steps to better link HR manage- Consultants (STCs) ment with institutional objectives. Worth mention- ing in particular is an expanded and strengthened The WBG continues to rely heavily on short-term management training program, which includes consultants to get its work done. STCs with con- untagged managers, and has increased focus tracts for over 40 days amounted to 13 percent of on people skills and performance management. total WBG employees in FY12. Current budget The performance management system has been practices have contributed to the heavy reliance updated to integrate individual objectives with the on STCs; pressure to keep fixed costs at targeted institution’s business goals, and a mandatory mid- ratios incentivize managers to keep staff as STCs term performance review has been initiated. With even when they have worked for many years the elimination of coterminous contracts and the solely for the WBG. adoption of a “one IFC” philosophy, earlier ten- sions between advisory and investment staff seem Short-term consultants are underrepresented rel- to have improved. ative to their numbers among RWA and OMB visitors. This appears to reflect lack of informa- In the Bank, the HR Vice Presidency has insti- tion about the IJS system and reluctance to use it tuted a radical reorganization with an ambitious because of the insecure nature of their contracts. set of time-bound commitments for FY13. These Nevertheless, they have raised several persistent include, among other things, review and modern- concerns over the years. First, many have men- ization of the Bank’s total compensation system; tioned situations in which they were pressured to development of a corporate mobility strategy and work without compensation. This typically occurs work-planning process (which goes beyond the when an STC has maxed out his/her 150 days, but budget year); redesign and streamlining of recruit- also occurs when a particular funding source has ment process; establishment of a new perfor- been exhausted. Sometimes an STC is encouraged mance management system that links individual to continue working after he/she has billed all his results agreements with the organization’s strate- contracted days with the understanding that addi- 13 Ombuds services | annual report 2012 tional days will be added, only to find that they Reinstatement of Staff after Absence are not. The practice of pressing STCs for unpaid on Disability work unfortunately seems relatively widespread. Many STCs accept this practice in order to main- Usually, staff who have been absent or working tain good relations with task team leaders (TTLs) on a reduced work schedule because of illness or and in hopes that their cooperation will increase disability are reabsorbed without difficulty. The chances of a more secure contract. OMB office, however, has seen several cases when staff have returned to work after some months of Second, STCs have been the primary source of a illness only to confront pressure to exit. Flexibil- few complaints each year about TTLs taking inap- ity and understanding from managers are needed, propriate credit for their work. In almost every especially when workplace accommodations may case, the STC has been reluctant to raise an issue be required. Staff rules are silent on these situa- because he/she feared that damaging the relation- tions; it would be helpful if more guidance could ship with the TTL would harm his/her career pros- be provided to managers and HR staff. It may also pects. A WBG task force looked into the larger be helpful to use a multidisciplinary team (HR, issues around authorship and attribution and pro- management, and legal) to consider optimal solu- duced a set of proposed guidelines in FY12; these tions and to monitor an individual’s situation after are attached in annex 3. reinstatement. Third, many STCs (excluding retirees) do not have access to institutionally supported health insur- Staff Working in Fragile and Conflict- ance. The individual purchase of health insurance Affected States for young consultants is prohibitively expensive on a typical salary. OMB wonders whether a basic In FY12, 33 states were on the WBG fragile and health insurance program for WBG STCs could be conflict-affected states list. Only 3 percent of WBG established at a reasonable cost. staff are physically located in these states; only about 6 percent of WBG staff have residential FCS experience. The working conditions in these Re-entry Guarantees No Longer states are difficult, and several issues have been Guarantee Re-entry raised to OMB regarding treatment and recruit- ment of local and international staff. There has been a number of cases in the past fiscal year in which managers have chosen not to honor previously agreed unconditional re- Recruiting the Best International and entry guarantees associated with developmen- Local staff tal assignments, leave without pay, and external service. Despite the apparently clear meaning of Many internationally recruited staff share a per- “unconditional re-entry guarantee,” the interpre- ception that taking a position in a fragile or con- tation of the exact commitment implied is murky, flict-affected state will be damaging to one’s as a number of staff have discovered to their career. Due to the working conditions in these dismay. It would be helpful if HR and manage- states (corruption, safety concerns, weak insti- ment could focus on this issue and clarify the tutions, difficult travel, and so forth), it is often intended use, good practice, and exact commit- hard to get work done. Additionally, the level ment implied by re-entry guarantees. Under cur- of the work that is required may appear less rent processes, staff often feel deceived about the sophisticated compared to projects and eco- security of their position, which generates mis- nomic work being done in other country offices. trust in the institution. Highly trained staff often find it undesirable to 14 Iss u es , T r e n d s , a n d O bse r v a t i o n s sacrifice several years in these states because one Senior management has already engaged with FCS may have very little to show for the time spent staff to hear their concerns and to consider pro- there. They may also fear losing their edge while posals in response. In addition, the Bank modern- away from more sophisticated developments in ization paper commits Management to take steps their profession. There may also be other hard- to strengthen the FCS model. The Board has also ships involved that affect an individual and his/ approved measures to enhance LRS staff mobil- her family. Because of these concerns, countries ity across country offices, including FCS, through with the greatest need for our best staff some- the new benefits package for third country nation- times go wanting. A hub approach or more gen- als. The OPS office in Nairobi is working to build erous R&R policies, which would permit a more a stronger community of practice on FCS and to diverse work program and a better situation for sponsor training and learning events to link FCS families, may help address some of these con- staff to global knowledge and experience on how cerns. FCS experience might also be more con- to work effectively in FCS. sistently applied as a criterion for selection to leadership roles. In summary, several ideas worth exploring or expanding with regard to staff working in FCS: For locally recruited staff, the competition for the limited supply of educated, well-qualified individu- 1. Create more active career path management als in FCS is often tough, with international orga- for FCS staff nizations and the private sector competing for the 2. Use hub locations to enable a diversified work same small group. Greater flexibility in compen- program and to permit more family-friendly sation approaches may be required in these sit- living arrangements uations. In many cases, staff with appropriate 3. Train IRS on cultural and historical issues education or experience can’t be found. There are 4. Make greater use of scholarship, training, and a few examples of country managers who have DAIS programs for promising LRS staff in FCS invested in training and mentoring of such staff 5. Review R&R benefits for IRS with positive results in staff performance and office effectiveness. Such investment appears to be the exception rather than the rule. It may be helpful Past Issues to be as flexible as possible with regard to edu- cation and training programs, DAIS opportunities, There has been mixed progress on issues raised and so on. in previous reports. The status of some of these issues is highlighted in annex 2. 15 V i s i t o r E v a l u a t i o n s o f OMB ’ s Services Exit Survey Responses ing the design of the survey, and implementing an electronic-based feedback request system As part of OMB’s efforts to assess and enhance its to replace the current mail-based format. OMB performance, visitors are asked to provide feed- recently modified the order, language, and length back by anonymously completing a hard-copy or of the questionnaire. This moderately revised ver- online exit survey once their case is resolved or sion will be used next fiscal year. The remaining when they have not come back to the office for two areas are pending additional discussion. some time. To protect visitors’ confidentiality, the survey with the web address is mailed to the indi- The profile of respondents is more or less con- vidual’s home and not sent through the WBG’s sistent with the profile of OMB visitors with one interoffice mail. exception—the percentage of country offices respondents (10 percent) continues to be low In FY12, 628 exit surveys were mailed, compared to the percentage of OMB visitors from with 118 replies received by August 3, 2012—a country offices (42 percent). response rate of 19 percent, down from the pre- vious reporting cycle’s 23 percent. OMB hoped to have received a better percentage of respon- Dimensions of Evaluation and Analysis dents as a result of requesting feedback in a time- of Reponses lier manner. OMB also anticipated that a higher portion of respondents would utilize the web- The questionnaire targets two key areas of OMB’s based survey, in particular, visitors from country performance: process objectives (confidentiality, offices who in the past would have had to mail impartiality, respectful treatment, and so forth) the questionnaire at their own expense. While and the meeting of visitors’ needs. It also gath- only 18 percent of total respondents provided ers data on whether visitors would consult OMB feedback online, 25 percent of CO respondents again and whether they would recommend the used the online survey office to colleagues. compared to 17 per- “The anxiety that the cent of Washington- Process Objectives. OMB continues to receive Ombudsman could be biased based respondents. positive responses about its processes, in partic- ular in the areas of treating visitors respectfully, and might take the side of To improve response maintaining confidentiality, and being accessible management.” rate, OMB will need (see table 4). The average percentage of positive Staff Member to make further adjust- responses for FY12 was 92 percent,9 a 6 percent ments to its exit survey increase compared to the previous reporting period. FY12 OMB Feedback Survey process. Three areas identified to address One exception to this positive trend was a drop in this issue include enhancing current systems to positive perceptions of ombudsman impartiality provide more rigorous and standardized follow- from 87 percent to 78 percent. According to the up and case closing monitoring features, refin- write-in comments, some visitors perceived OMB 9  Most of the exit survey questions use a 5-point scale for responses. Responses of 4 or 5 are considered positive. 16 V i s i t o r E v a l u a t i o n s o f O M B ’ s S e r v i c es Table 4 Quality of Services Provided by Ombuds Services, FY12 Percentages of Positive Responses Previous report- FY12 Survey Questions ing cycle N=125 N=118 Did the administrative staff in Ombuds Services treat you with respect? 98% 100% Did the ombudsman treat you with respect? 97% 99% To what extent do you feel that the ombudsman was impartial in the handling of your case? 87% 78% Did the ombudsman maintain appropriate confidentiality? 98% 97% Did the ombudsman appear to be knowledgeable about the issues involved in your situation? 79% 88% Was the advice/information provided to you clear? 81% 84% Was access to Ombuds Services easy and convenient? 92% 97% Did Ombuds Services clearly explain its role and guiding principles? 85% 89% to favor management. Some explanations for this guarantee any visitor (staff or managers) a desired perception could be due to a lack of clarity of the outcome, OMB can improve its communication in ombudsman role by the visitor, unrealistic expec- helping visitors better understand its role and how tations by the visitor, and partial resolution for the OMB can help. visitor or decisions that are optimal for units but may be less desirable for the visitor at that time. Meeting Visitors’ Needs. Exit survey respon- Although the reasons for this change are not evi- dents were asked about the utility of consult- dent in the data, it may reflect expectations that ing OMB. The percentage of positive responses the ombudsman will advocate for staff rather then increased for both areas: fulfilling the reasons for play a neutral role. There are also some com- using OMB increased by 14 percent and providing monly held misconceptions that may feed into helpful information or advice increased by 6 per- unrealistic expectations; for example, many staff cent (see table 5). The ombudsman will continue believe that good performance should automati- to explain and educate staff and visitors about the cally be rewarded with promotion. In other cases, services and how the office operates. OMB hopes a visitor may not be informed of the steps taken to that with continuous clarification to visitors on the raise their concerns in order to protect the confi- role of the office it can manage visitors’ expecta- dentiality of others. These are speculations; OMB tions and maintain this upward trend. will monitor these statistics carefully and also dis- cuss strategies to ensure that OMB staff behave as Respondents were also asked if they experienced impartially as possible. While OMB is unable to any additional benefits from using OMB’s services Table 5 Utility of Consulting Ombuds Services, FY12 Percentages of Positive Responses Previous reporting cycle FY12 Survey Questions N=125 N=118 Overall, did you feel your reasons for going to Ombuds Services were fulfilled? 63% 72% Did the information or advice provided help you decide what you wanted to 66% 70% do about your issue? 17 Ombuds services | annual report 2012 “Ombuds Services provided other than addressing This year, 6 percent of the respondents indicated their issues as well as that consulting OMB had negative repercussions good information on “what worked best in for them, a slight decrease from the previous options available, on Bank OMB?” Forty-two per- reporting cycle. The most frequent write-in com- procedures, and on contacts.” cent indicated that there ments providing an explanation of these reper- cussions included the following: Staff Member were other benefits. Some of the write in FY12 OMB Feedback Survey comments included: ➤➤ Feeling retaliated against ➤➤ Feeling that managers expressed displeasure ➤➤ Peace of mind that OMB had been consulted ➤➤ Feeling supported and understood ➤➤ Feelings of being alienated ➤➤ Helped to put issue in perspective ➤➤ Gaining insight into WB procedures/policies Whether a visitor is likely to consult OMB again or recommend it to others provides a final indi- “Ombudsman is very Seventy-five percent of cation of satisfaction with its services. Visitors respondents provided continue to be largely positive about using OMB knowledgeable about conflict written feedback on again as well as recommending OMB to others. issues and available policies “what worked best”, and Table 6 shows that the percentage of positive and procedures to address the top four responses responses increased this year. issues. That has won my trust were as follows and given me confidence to Having a safe, impar- ➤➤ Survey Design recommend Ombuds Services tial place to turn for to others.” advice and knowl- The survey design remained the same as last Staff Member edge on Bank polices year’s report. Responses were analyzed by year in ➤➤ The confidentiality which cases closed as well as, separately, accord- FY12 OMB Feedback Survey ➤➤ The character of the ing to the year in which they were opened (ini- ombudsman tial contact with the office). OMB hopes that with ➤➤ The accessibility of the service more regular feedback responses it will be able to monitor trends more effectively. Table 6 Likelihood of Consulting Ombuds Services Again or Recommending it to Others – FY12 Percentages of Positive Responses Last reporting cycle FY12 Survey Questions N=125 N=118 Would you consider using Ombuds Services again? 78% 82% Would you recommend Ombuds Services to others? 82% 84% 18 SECTION 2: T he R espectful W orkplace A dvisors ( R W A ) P rogram 19 P r o g r a m C h a r a ct e r i s t i c s T he Respectful Workplace Advisors (RWA) ful Workplace Advisors (RWA) Program Terms of Program is one of a range of informal ser- Reference, annex 4). vices available to staff within the Inter- nal Justice System (IJS) of the World Bank Group The RWA Program, administered by the Ombuds (WBG). This program supports the WBG’s com- Services Office (OMB), is an important source of mitment to fostering a positive workplace in support for staff who face workplace issues, espe- which all staff can work together with openness cially in offices outside Washington, DC. RWAs are and trust, in ways that demonstrate respect and peer volunteers nominated to a four-year term by value differences. their colleagues (see the RWA Program objectives in annex 5). The role of the RWA is to provide an informal, confidential, trustworthy, and readily accessible RWAs do not intervene directly to help resolve source of early assistance for staff with questions issues, as this could affect others’ perceptions of or concerns regarding a respectful workplace or their neutrality as well as working relationships who want information about where to seek assis- with colleagues and managers (see the RWA Pro- tance. Issues might include interpersonal conflicts, gram Standards of Practice in annex 6). unfair treatment, harassment, disrespectful and unethical behaviors, performance, misconduct, The RWA Program is required in Bank and IFC and other workplace stresses. RWAs are expected offices outside Washington, DC, with more to brief management than 15 staff members, but participation for Bank The goal of the RWA is to on general respectful vice-presidential units (VPUs) in Washington, DC, workplace trends while is optional. Washington, DC–based IFC units, help staff help themselves maintaining strict con- ICSID, MIGA, and GEF are not currently partici- by listening and providing fidentiality as per Staff pating in the program. problem-solving guidance. Rule 9.02 (see Respect- 20 R WA C a s e lo a d , V i s i t o r Demographics, and Issues Characteristics of Staff Who GRAPH 6 RWA Contacts, FY06–12 Consult RWAs The number of RWA contacts has continued to increase steadily over the years,10 with the total number of contacts reaching 564 for FY12: 564 517 a 9 percent increase over the previous year (see graph 6), and a 142 percent increase over the past four years. One of the reasons for this 408 increase is a concerted effort by the RWA admin- 230 233 325 istrative team to reach out to RWAs regularly and more frequently. This also creates stronger sup- 97 port for the RWAs and links their contribution to the organization’s commitment to a respectful workplace. Other explanations for the increase 2006 2007 2008 2009 2010 2011 2012 include more outreach by the IJS and the RWAs, the program becoming more established and well known, an increase in the number of RWAs and scope of the program, more support from fact that 82 percent of country office staff are management and Human Resources for staff to from Part II countries. use CRS services, and greater challenges for staff in the institution. Issue Types Reported to RWAs Given that approximately 88 percent of RWAs are located in the country offices, the majority Respectful workplace issues—which include of contacts with RWAs continue to be by staff issues of interpersonal conflicts, alleged discrim- located in those locations (see graph 7). The ination, alleged harassment, alleged retaliation, number of country office contacts increased for and other misconduct—continue to be the most both RWA and OMB, but the percentage of coun- prominent among RWA visitors, with interper- try office visitors remains much higher for RWA sonal conflicts being the single most frequently (82 percent) than for OMB (38 percent). As in raised issue for CO-based staff. For Washington, previous years, women were proportionately DC–based staff, “management skills and behav- overrepresented among those who consulted iors” is the most frequently cited issue (see RWAs, consisting of 73 percent of RWA contacts, table 7). Although there are similarities across which is higher than OMB’s contacts of 57 per- the distribution of types of issues compared to cent. In contrast to the OMB visitor profile, Part last year’s report, there is a significant increase II staff and GA-GD staff also continue to be over- in the Washington, DC–based issue distribution represented groups for RWA contacts. The over- resulting in 30 more issues of managerial skills representation among Part II is likely due to the and behaviors (a 250 percent increase). In addi- 10 RWAs are asked to record contacts with colleagues about issues brought to their attention. No names or information that could identify a staff member and/or any involved parties is collected, only basic issue and demographic characteristics. See annex 7. 21 Ombuds services | annual report 2012 Graph 7 Origination of RWA Contacts, FY12 Ratio of RWA Visitors % to WBG Staff % 1.92 1.82 1.41 1.38 0.71 0.56 0.40 0.32 ba on- sed n n 1 2 -GD + sed me Me GE t t Par Par t -ba GA ing Wo sh CO Wa * Shows the ratio of the percentage of RWA visitors in each category to the percentage of WBG staff in each group. A ratio of 1 indi- cates that the percentage of RWA visitors in a particular group is equal to the percentage that group represents among all WBG staff. Groups with a ratio greater than 1 are overrepresented; groups with a ratio of less than 1 are underrepresented. tion, for CO-based staff, a greater number of in Bank units in Washington, DC, as well as in IFC interpersonal conflicts (a 46 percent increase) are country offices, resulting in 13 additional RWAs in reported this year, as well as concerns about end- Bank units in Washington, DC, and 14 additional ing employment (a 170 percent increase). It is RWAs in IFC country offices since December 31, also interesting to note that number of domes- 2010. As a result of staff movements in FY12, tic issues jumped from 6 to 21 in country offices 17 new RWAs were nominated (see table 8 for last year, a 250 percent increase. Compared to FY 12 RWA numbers). Another 37 completed their OMB, the distribution of issues between HR and four-year term or left the organization and were respectful workplace is vastly different—RWAs replaced. Based on the increased interest in the were contacted much more frequently (43 per- RWA Program, it is expected that the program will cent) about respectful workplace issues than OMB continue to grow over the next few years. (20 percent) and less frequently about HR pro- cess issues (23 percent compared to 37 percent). Training. Newly selected RWAs are required to A possible explanation for this is that RWAs are attend a four-day basic training before they can seen as being more helpful as a sounding board take on the role. Roughly halfway through their for relationship-type issues that fall in the respect- four-year term, RWAs are expected to attend ful workplace category, while OMB may be seen a three-day training session. The basic train- as being more knowledgeable about HR pro- ing focuses on the role of the RWA, influence of cesses, having greater access to HR policy infor- behaviors on culture and values, WBG policies mation and resources, and being able to intervene and procedures; communication and helper skills, if requested. conflict dynamics and in-depth information about the IJS, and avenues of assistance for staff. The mid-term training provides more advanced helper Program Updates skills and knowledge building, but more impor- tantly, a chance for RWAs to share experiences Nominations and Program Scope. An increase and work on more challenging conflict cases. in demand for the RWA Program has been evident Both training sessions concentrate on the oppor- 22 R W A C a se l o a d , V i s i t o r De m og r a ph i c s , a n d Iss u es Table 7 New RWA Visitors’ Issues, FY12 Washington-Based Country Office-Based Visitors Visitors TOTAL # % # % # % HR Process Issues 23 22% 107 23% 130 23% Entering Employment 0 0% 8 2% 8 1% Reassignment & Selection Process 0 0% 6 1% 6 1% Performance 16 15% 30 7% 46 8% Promotion 2 2% 15 3% 17 3% Salaries 1 1% 14 3% 15 3% Benefits 0 0% 7 2% 7 1% Ending Employment 4 4% 27 5% 31 6% Management Skills and Behaviors 42 40% 69 15% 111 20% Respectful Workplace Issues 25 24% 217 47% 242 43% Interpersonal Conflicts 10 10% 111 24% 121 21% Alleged Harassment 6 6% 40 9% 46 8% Alleged Discrimination 1 1% 6 1% 7 1% Alleged Retaliation 0 0% 2 0% 2 0% Other Misconduct 8 7% 58 13% 66 13% Conflict of Interest 3 3% 5 1% 8 1% Other Issues 11 11% 62 14% 73 13% Policy 0 0% 12 3% 12 2% Domestic Issue 3 3% 21 4% 24 4% Quality of Operations 1 1% 1 0% 2 0% Physical Work Environment 4 4% 14 3% 18 3% Other 3 3% 14 4% 17 4% Total: 104 100% 460 100% 564 100% tunity for RWAs to practice their role through role- Feedback is requested from participants after plays and case studies, experiential learning, and each training session, and as in previous years, exchanges with other RWAs. Table 8 Numbers of RWAs, FY12 Six training sessions were held in FY12 in Dakar, Nairobi, Washington, DC, and Bangkok Outside Washington (see table 9). A total of 97 RWAs were trained: 56 attended the basic training, and 41 fulfilled Dates Washington IBRD IFC Total the required mid-term training. Five IJS col- As of June 30, 2011 20 129 38 187 leagues also attended the basic training sessions. Terms ended during FY12 3 24 10 37 Between FY08 and FY12, the RWA Program has Selected during FY12 8 25 21 54 trained 398 RWAs and 15 non-RWAs, an average of 100 participants per year. As of June 30, 2012 25 130 49 204 23 Ombuds services | annual report 2012 As seen above in table 10, “identifying WBG Table 9 RWA Training Sessions, FY12 policies and procedures” received the lowest Location Type RWAs non-RWAs Total ratings. This could be due to the RWAs’ anxi- Dakar, Senegal Mid-Term 8 0 8 ety around their ability to provide expert advice Nairobi, Kenya Basic 19 1 20 to the staff that consult them. RWAs are not expected to be experts but rather be knowl- Mid-Term 18 0 18 edgeable of where to find support and infor- Washington, DC Basic 19 2 21 mation. This message is emphasized during Bangkok, Thailand Basic 18 2 20 training and coaching. Mid-Term 15 0 15 Total 97 5 102 The RWA training team continues to see the bene- fits of having RWAs take the RWA Basic e-Learning. They are required to get a passing score of 80 per- the training was rated very positively. Participants cent or higher before attending the basic training. evaluate the training on key areas of learning This exercise brings participants to a higher level using a 1–5 rating scale, where 5 is the most posi- of engagement, thus allowing the RWA team to tive response (see table 10). go more in depth during the face-to-face training. The RWA team also continues to partner closely It is worth noting that the overall rating of all the with the office of Ethics and Business Conduct, FY12 face-to-face RWA training averaged 4.89, Human Resources, and other services to ensure compared to the 2012 Bank Group training evalu- that the training material is up-to-date and content ation overall average rating of 4.22. validated by the experts. Table 10 RWA Training Feedback, FY12 Area of Evaluation: Dakar Nairobi Nairobi Annapolis Bangkok Bangkok To what extend did the training help you achieve Mid-Term Mid-Term Basic Basic Mid-Term Basic the following learning objectives? N=8 N=18 N=20 N=21 N=15 N=20 Identify the role and responsibilities of the RWA 4.88 4.82 4.95 5 4.87 4.74 Increase awareness of culture and personal values’ n/a* n/a* 4.95 4.86 4.6 4.61 influence on behavior Increase awareness of conflict dynamics and how to n/a* n/a* 4.65 4.38 4.6 4.42 deal with them more effectively Identify WBG policies and procedures on building 4.12 4.82 4.6 4.33 4.27 4.42 ethical and respectful work environment Identify people and resources to use to assist 4.5 4.83 4.8 4.5 4.87 4.79 someone who believes s/he has been the recipient of disrespectful behaviors Apply specific helping skills to assist a staff member 4.38 4.88 4.7 4.57 4.71 4.63 who believes s/he has been the recipient of disrespectful behaviors Enhance your conflict resolution skills 4.5 4.81 n/a n/a n/a n/a Average 4.48 4.83 4.78 4.61 4.65 4.60 Rate the overall quality of the training 4.88 4.83 4.95 4.86 5 4.82 * The training feedback form was updated in November 2012 to add questions on awareness of culture, values, and conflict dynamics 24 FY 1 2 P r o g r a m Ac h i e v e m e n t s Newsletter and Book Review. Volume 8 of the Team has been more systematic in encourag- RWA Network News and Views newsletter was ing RWAs to submit their activity forms, result- published in May 2012. The newsletters keep ing in a 12 percent submission increase. Given RWAs, IJS, HR staff, and management abreast of the necessary informality of interactions between issues and developments and provide information RWAs and staff, the issues discussed with RWAs on conflict resolution and resources. The news- are underreported in the RWAs’ activity forms. letter distribution continues to grow in response Although no identifying information is entered in to requests—including the Staff Association Coun- the activity forms, some RWAs and staff feel that selors—and is being forwarded by RWAs to their they should not “record” issues. It is important colleagues. The book, Nonviolent Communica- for staff and RWAs to understand that recording tion: A language of life by Michael B. Rosenberg, issues on which they are consulted does not com- was reviewed and distributed to all RWAs. promise confidentiality as it is completely anony- mous and seen only by Quality Control. Given the confidential and OMB. It is important to informal guidance RWAs provide to staff, monitor- track the issues in order “To me the RWA services are ing performance in this area is difficult, but there to be able to work toward an oasis in the turbulent have been a few indications of progress in 2011, solving systemic prob- work environment, since and even more in 2012. lems in the organization. Additionally, if the types our RWA is someone who First, the number of RWA contacts with the RWA of issues staff deal with is always willing to listen Program Team has greatly increased again this are not known to OMB, to staff concerns, provides year, putting the team in a better position to addressing and making suggestions, and follows provide guidance to RWAs. Coaching from the progress with workplace up under WBG policy ombudsman and the RWA Program Team is avail- issues in general will not able and encouraged. The increased utilization of be possible. The activity best practice. Our RWA this resource indicates that the RWAs are taking forms (see annex 7) help encourages respect in the the time to seek help when needed. the ombudsman in their workplace; she is easily discussions with man- accessible, reliable, neutral, Several new initiatives mentioned in last year’s agement when reporting report also provided more training and information on institutional issues in and able to empathize. I think to the RWAs. The e-learning course added another general and are a partic- that this is one of the WB layer of training, while the Case and Tip of the ularly important source internal services that works Month provides RWAs with ongoing practice and of information for coun- best at the institutional level. serves as outreach as RWAs forward the monthly try office management. quizzes to their colleagues and builds capacity for The information in the It is a tool that supports the organization. RWAs reported that the website activity forms also helps the most vulnerable in the material and resources were very useful. the RWA Program Team workplace.” design and improve Following the launch of the Activity Form System training to better address Massiel López Martínez, created in 2010, it has become easier for RWAs to the real problems staff IFC Dominican Republic report the types of issues and trends. The RWA are facing. Email sent to RWA, August 22, 2012 25 Ombuds services | annual report 2012 Value Added/Impact of Program their location, where they have an opportunity to talk about their RWA role and the Internal Jus- A number of developments occurred this year that tice System, as well as other avenues of assistance expanded the reach of the RWAs: to resolve workplace issues within the WBG. The RWA Program encourages RWAs to partner with Critical Local Resource. RWAs are an essential HR and ask to be included in presentation and gateway to the IJS services for staff, particularly new staff orientation sessions. in the country offices. Many staff in the coun- try offices feel very distant from Washington, DC Quarterly Meetings with Management. As (where the majority of conflict resolution resources noted in previous reports, another important value are housed), may have little or no information on of the RWA Program is the RWAs’ discussions of the services, and don’t know where to go with an issue trends with the head of the office. Many issue. Having RWAs in their office addresses this RWAs have cited the ability to bring general issues need. In FY12, RWAs made 529 referrals to IJS and to their vice president’s, country manager’s, or other services (see graph 8). The number of RWA country/regional directors’ attention as extremely referrals to other IJS services, HR and management helpful in improving the work environment, par- increased from FY 2011 to FY 2012 (graph 9). ticularly since RWAs are limited in their ability to take action on issues. Often times, management is RWAs are an integral part of the overall IJS out- not aware of the issues their staff are experienc- reach and have increased their outreach efforts. In ing. RWAs’ quarterly briefs with management on FY12 alone, they made 194 presentations to staff systemic issues provide an opportunity for man- on respectful workplace behavior and the IJS. In agement to address issues that may otherwise not addition, many RWAs share the “RWA Case of the be brought forward by staff directly. These briefs Month” with their colleagues as a way to increase are done without attribution (graph 10). their understanding of the different services. As part of the overall RWA Program Evaluation New Staff Orientation. RWAs are increasingly process,11 management was asked to identify how asked to participate in new staff orientation in many briefings they received from the local RWAs in a 12-month period: 32 percent of country man- agers responded that there had been two or more GRAPH 8 Referrals from RWAs in FY12 briefings, while 58 percent stated that there were only one or none at all. A concerted effort will Peer Review SA be made to understand the reasons for the low 8 35 Counseling compliance as well as to provide RWAs with the 1% 7% 38 7% needed tools and empower them to have posi- Ethics tive and successful interactions with management. Other 24 48 5% 9% IJS Day. Every year in Washington, DC, an IJS Day HR is held to raise awareness of the IJS services. The Ombuds 57 IJS offices distribute informational materials, host 98 11% interactive games about the services, and have 18% representatives present to answer questions staff Meditation members may have. The goal is to keep increas- 24 Management 5% 197 ing the participation of country offices and reach 37% out to all staff. The RWAs are an obvious resource for this. For FY12 IJS Day, the country office 11  The Respectful Workplace Advisors (RWA) Program Evaluation Report, 2012. 26 FY 1 2 P r og r a m A c h i e v e m e n t s Graph 9 Referrals from RWAs, Difference from FY11 to FY12 FY12 FY11 Other 48 35 SA 35 19 Counseling 38 33 Management 197 147 HR 57 57 24 EBC 23 8 PRS 3 24 MEF 15 98 OMB 81 0 50 100 150 200 250 RWAs were given a toolkit containing three dif- tions around respectful workplace conduct, ensure ferent presentations they could use to encourage that key groups of staff learn what they can do to staff to participate in the IJS event. On or around foster a positive workplace, provide skills to help November 16, 2011, 46 RWAs from 38 countries staff successfully address and manage inappropri- were able to set up an event in their own offices, ate or unwelcome behavior, and educate staff on attended by an estimated 1,140 staff members. relevant WBG resources. EBC and OMB are work- The IJS and, specifically, OMB will continue to ing together to develop a communication strategy include and encourage all RWAs to take part in to deploy the e-learning in the near future. this outreach event. The Conflict Resolution Coor- dinator’s office was able to provide some funds to RWAs to serve refreshments during the event. GRAPH 10 Number of RWA Briefings to Country Managers in a 12-­month Period IJS Staff Meeting RWAs on Location. As the IJS staff from each service visits the country offices, More than 5 they are increasingly meeting with the RWAs on 6% location and sometimes partner with them in giving presentations to all staff. OMB staff have witnessed this partnership between regional Mediators and local RWAs deliver successful pre- sentations. Additionally, when an ombudsman is None travelling to any country, the RWAs are notified of 37% 2 to 5 their visits and meet with them one-on-one. 35% Positive Workplace E-Learning. In FY12, the RWA team partnered with the Office of Ethics and 1 Business Conduct (EBC) to create a new e-learning 22% course to strengthen awareness of WBG expecta- 27 R WA P r o g r a m E va lu at i o n R e p o rt In September 2011 OMB engaged two external evaluators, David Miller and Richard Williams, to con- duct an evaluation of the RWA Program. This was the first thorough evaluation of the program since OMB started administering it in 2000. Since then the RWA Program has grown in size and scope. The purpose of the evaluation was to assess progress toward achieving the RWA Program’s objectives, as stated in the program’s terms of reference; provide recommendations to strengthen and to improve the program; raise awareness of the program; and develop a baseline for future evaluations. This was, therefore, a formative evaluation. A draft report of the finding was submitted in March 2012 and the final evaluation report was submitted in June 2012. Design and Methodology. The inputs of the evaluation included a survey to all country office staff in offices with RWA programs—2,047 staff, or 35.4 percent, participated—as well as telephone inter- views with 50 randomly selected stakeholders, a 2011 Staff Association survey, WBG 2009 staff survey results, RWA communication and program materials, RWA training evaluation results, and aggregated RWA reported issues since 2006. The survey and the interview questions were tested in focus groups composed of members of IJS, HR colleagues, and RWAs from Washington, DC. Both the online sur- vey and the telephone interview protocols were piloted before they were launched with introductory emails from MDM and OMB, respectively. The “I don’t think I have heard evaluation sought to collect and analyze data in the following three catego- ries: (1) Organizational and Program Environment, to determine the level of the senior management refer management support and whether the organization promoted an environ- to a respectful workplace ment that is respectful and free from retaliation; (2) Program Effects, to deter- lately.” mine how the RWA program has benefited staff and the organization and to capture stakeholder satisfaction with the program outcomes; and (3) Pro- IJS Staff gram Management and Development, to ascertain how well the program is Comment received from the RWA administered and communicated and how well the program is keeping up Program Evaluation Survey with the needs of the organization. Findings: The evaluators concluded the following: The Respectful Workplace Advisors (RWA) Program, based on the evaluation findings, is an effective, well conceived, well designed, well administered program with some Program ele- ments needing improvement. The Program is a unique workplace alternative dispute resolution program and one formulated to meet the particular needs of the WBG. The Program is fulfilling a vital need within the WBG: it is especially relevant and beneficial for staff located in Country Offices. The Program is basically sound. There are no major problems with the Program and no recommendations for significant change, though there are recommendations for improvement.” The evaluation results indicate that there is wide support for the program by country office man- agement and HR staff and that staff are encouraged to consult an RWA in their office if needed. The organizational climate was found to be open to the use of RWAs. However, the evaluators found that there are mixed feelings regarding the WBG’s respectful workplace environment, although there 28 R W A P r og r a m E v a l u a t i o n Repo r t was agreement among those surveyed and inter- functions that are not part of the RWA mandate viewed that the RWA Program contributed to a with the role. There was also recognition that the respectful workplace. RWA training prepared the RWAs sufficiently to fulfill their RWA role. The RWAs themselves rated The evaluators also reported that more than three the training very highly. The evaluators also noted quarters of the stakeholders indicated that the that the program development objectives out- RWA Program helps staff who have consulted lined in the 2004 RWA Program review have been an RWA informally resolve concerns and informs achieved and exceeded, highlighting the fact that staff of institutional resources and promotes bet- the number of RWA visitors has increased 454 per- ter understanding of relevant policies. The pro- cent since 2004 and that 94 percent of all eligible gram received high marks for maintaining and country office have RWAs. The RWA Program is sustaining a respectful work environment but that recognized as one element in the CRS and widely it should not be the only one doing so. The stake- publicized as such, including on the WBG web- holders gave strong overall satisfaction ratings on site and the WBG’s Code of Conduct. The nomi- the interactions with RWAs and outcomes, pro- nation process for RWAs has been revamped and gram administration, and people’s willingness to has been effectively nominating staff who are suc- consult an RWA and recommend doing so to oth- cessfully fulfilling the RWA role. ers (see graph 11). While a majority of the eval- uation participants said that the program has a Recommendations: Although the evaluators positive influence on morale, they also indicated found the program to be “effective, well con- that there was little evidence regarding the effect ceived, well designed and well administered,” on productivity and cost savings. they have identified several areas of developmen- tal opportunities. Program administrators should The report makes note that the RWA program do the following: takes exceptional efforts to communicate the pro- gram and RWA services to country office staff and ➤➤ Encourage and enable management (vice pres- that these communications are effective. Those idents, country/regional directors, and country who responded were fully aware of the pro- managers) and human resources staff (partic- gram and could describe the programs’ purpose ularly human resources officers/account man- accurately. A significant number of them could agers) to be more visible to the staff in their correctly identify at least four of the five RWA support of the RWA Program and their encour- responsibilities, but at the same time, identified agement for staff to use it Graph 11 Staff Survey Respondents Who Consulted an RWA Rated the RWAs Operational Behaviors Positively 85% 82% 85% 76% 73% 69% Was easy to Carefully listened Treated me Was Spent enough Was helpful contact to me with respect knowledgeable time with me 29 Ombuds services | annual report 2012 “RWAs are essential in our ➤➤ Encourage and en- ➤➤ Identify program indicators that may be used commitment to foster a able management to measure the effects and utility of the RWA and human resources Program as well as the quality of its implemen- positive and motivating work staff to be more visi- tation and functioning environment. I am personally ble in their support of grateful for their voluntary the program because ➤➤ Increase communication and education about contribution to us all and for management’s sup- the RWA’s role and responsibilities, the nomi- port is the antidote nation process, the benefits to the staff mem- the support afforded to them for fear of retaliation ber who consults an RWA, and the outcomes of by our senior management.” the program for the WBG Bob Zoellick ➤➤ Inform management Today’s Article – May 1, 2012 and human resources ➤➤ Review the frequency and modalities of RWA of the results of the in-service training opportunities and invite two survey questions more management and HR staff to attend the concerning WBG’s respectful workplace envi- training ronment (Asked to rate their work unit’s respectful workplace environment, 66 of the ➤➤ Examine and reconsider the role and respon- CM survey respondents agreed their environ- sibilities of the RWAs (Some staff and some of ment was Good or Excellent but only 56 per- the RWAs would like the role of the RWAs to be cent of the HR staff respondents agreed. Less more proactive in a variety of ways.) than half of the staff respondents agreed their work unit’s respectful environment was Good ➤➤ Adopt a standards of practice statement for the or Excellent.) program both to illuminate the principles on which the program operates and to be a set ➤➤ Adopt methods for capturing and communicat- of performance indicators for future program ing the program’s benefits for individual staff evaluation. who consult a RWA, as well as for overall Pro- gram outcomes These and other recommendations will be dis- cussed with management to identify areas that the ➤➤ Expect the RWAs to be more proactive in engag- program should focus on to improve its administra- ing with management and human resources tion. Resources will also have to be identified and staff by, for example, providing more manage- allocated. ment briefings and including in these briefings more information about the program, such as As a consequence of the overall evaluation, and effects on individual staff and on the organi- prior to the implementation of the recommenda- zation. tions, program staff have developed the program’s objectives, updated the terms of reference for the ➤➤ Design and implement a monitoring and eval- RWA, and produced standards of practice. These uation plan that captures stakeholder satisfac- documents will help guide and evaluate the pro- tion data on a regular basis, including staff gram and the RWAs themselves. who consult a RWA, human resources staff, and management stakeholders ➤➤ Engage HR staff more with the program and in a candid dialogue explore and address HR staff’s views of the program 30 Annexes Annex 1 Definitions of Issue Categories Issue Category Definition Entering Employment Used to capture information regarding terms of a “contract” and interpretation of those terms Reassignment and Selection Process Re-entry and external assignment/leave without pay (LWOP) concerns. Job-posting, short-listing, interview process, and selection Performance Includes performance evaluations, Performance Improvement Plan (PIP), or any issue concerning performance emanating from staff member or supervisor Promotion Clearance by Sector Board, management recommendation/approval Salaries Including salary review increase (SRI) and job grading/description Benefits Application of benefits policies including medical, home leave, education, disability, relocation, pension, and other benefits issues Ending Employment Historically referred to as “termination,” redundancies, mutually agreed separation (MAS), or separation for cause Policy Criticism of existing policy, recommendation for new or changed policy Interpersonal Conflicts Cultural misunderstandings and any other communication problems Management Skills and Behaviors Includes a supervisor’s deficiencies in people management skills and behavior that is perceived to be destructive, disrespectful, or otherwise problematic Harassment Any unwelcome verbal or physical behavior that interferes with work or creates an intimidating, hostile, or offensive work environment Discrimination The unjustifiable differentiation between individuals or groups within staff: Discrimination can be based on one or more characteristics, including but not limited to, race, caste, color, culture, ethnic background, religion, age, gender, disability, marital status, political views, or sexual orientation. Retaliation Harm done to an individual in retribution for raising good faith concerns in the workplace Conflict of Interest A situation in which an individual faces conflicting or dual loyalties: It can arise when personal best interests are, or appear to be, in conflict with the person’s duties to another party, such as the Bank Group. Quality of Operations Application of WBG quality standards regarding professional decisions Domestic Issues Child support, domestic abuse, divorce, G-5 domestic employees Compliance Issues Personal legal obligations, investigation, personnel record 31 Ombuds services | annual report 2012 Annex 2 Issues Matrix Issue Recommendation Update Recruitment, Reassignment and Promotion Processes • Confusion around the role of the • SBs should harmonize and communicate • Confusion around role of SBs in HR matters Sector Boards (SBs). processes and criteria used for decision still exists. • Lack of consistency and transparency making • Feedback still often perfunctory or around selection and promotion • SBs and interview panels should clearly nonexistent. Particular problem for short list criteria and decisions identify who will provide feedback to panels; challenge for HR when faced with • Lack of feedback to unsuccessful unsuccessful candidates large number of applicants. candidates • Managers should avoid sudden changes • Perception of arbitrary or unfair in direction in selection processes (i.e., processes and decisions from competitive to strategic assignment, • Frequent perception of pro forma or downgrading of positions) processes where candidate has already been selected Treatment of Contractor Employees in Country Offices • Contractor employees have few or no • Improve contract design and supervision • GSD has established a hot line for contract options if they feel they are mistreated (GSD) employees who have concerns about or wish to report a perceived contract • Provide information on WBG including possible contract violations. However, most violation—many of their employers RWA and OMB role for contractor contract employees in fragile states do not don’t have a conflict resolution system employees (Mgrs, GSD) have access to a telephone nor do they and they are often unaware of the • Guide COs on managing contractor have English language skills. WBG CRS employees so as to take into account • Reputational risk that WBG will not hear • Compensation and benefits Bank’s reputational risk as well as legal about contract violations or mistreatment packages are set according to local risks of staff particularly great in post-conflict labor market conditions leaving countries. contractors in some countries without adequate insurance coverage Guidelines for Authorship and Attribution • A number of junior staff or consultants • Provide guidelines to staff which clarify • A task force consisting of reps from DEC, complain each year about more Bank policy on taking authorship and PREM, EXT, OPCS, LEG and EBC has senior staff taking credit for their work attribution recommended appropriate language • Lack of training and management • Untagged managers should go through (see annex 3). Next step is review by MDs skills of untagged managers who leadership development programs supervise vulnerable junior staff, ACS before being permitted to hire or staff and consultants manage staff and consultants • Use already developed IFC courses as a basis to develop a cost effective e-learning course for untagged managers (continued on next page) 32 ANNEXES Annex 2 Issues Matrix (continued) Issue Recommendation Update Terms of Employment • Increased use of shorter term • Continued monitoring of the impact • Continued concerns from staff on term contracts leading to greater sense of the increased use of shorter term contracts, especially of one to two years, of job insecurity among staff and contracts on recruitment competitiveness around difficulty of getting mortgages or consultants • Inclusion of a more specific definition of loans, and instability for families. Some • Greater amount of time required by “reasonable notice” if a contract is to be managers indicate term contracts have staff to secure their next contract interrupted or not renewed reduced competitiveness for WBG. HR • STCs and some CO ETCs aren’t • All consultants should receive orientation notes that 86.2% of term contracts ending eligible for orientation and don’t have information (on Bank values/mission this year were extended. Recommend access to Bank systems they need to and the CRS/IJS) as well as access to fuller evaluation of pros and cons of term be effective necessary Bank systems. contract use in FY12. • New HR website has relevant information (emergency, CRS, values, health services, etc.) for new staff by appointment type. Retaliation • General fear of retaliation for using • Ombudsman need to emphasize • This will always remain a concern to a the CRS/IJS among staff. to management the importance of certain extent. Managers need to provide • Several staff have dropped pursuit encouraging staff to use CRS services more leadership; CRS can do a better job of an issue after being warned by • Orientation and training segments on by emphasizing the role of CRS services managers or other staff that using the CRS should explain how these services in management training and other services could damage their career can be useful to management and opportunities. • Exit survey data suggest that some communicate that the institution sees the • Recommendations stand. staff believe they have experienced CRS as a recommended and legitimate retaliatory measures resource. • Training in conflict competency should be mainstreamed to staff and managers. 33 Ombuds services | annual report 2012 Annex 3: Draft Guidelines for Recommended Principles of Authorship. Authorship and Attribution Authorship guidelines vary markedly among dis- ciplines. In economics, the normal practice is for authors to be listed alphabetically and for a cor- World Bank Group – August 2012 responding author (who is not necessarily the senior person) to be identified as a contact for Introduction. Given the large volume of those interested in asking questions about the research undertaken in the World Bank Group product. We are recommending that this model (WBG) and the numerous resulting publications, be followed for Bank publications. In addition, these guidelines have been developed to promote there are several general principles that should fair authorship and attribution practices. They are apply to all authorship decisions made across the meant to provide a framework for staff (by defi- Bank Group: nition staff includes consultants) on how author- ship and attribution decisions should be made, 1. Authorship should be restricted to only those thereby reducing confusion, conflict, or disap- individuals who pointment surrounding credit for work at the pub- a. made a significant contribution to the con- lication stage. ception or design of the project or analysis and interpretation of data and Scope. Some World Bank Group publications are b. participated significantly in the drafting, authored by the WBG, such as standard analytical reviewing, or revising of the work. work (Country Economic Memorandums (CEM), 2. The task team leader, or equivalent, has respon- Country Assistance Strategy (CAS), sector reviews, sibility for selecting report writers, deciding and so forth) or the World Development Report. about authorship within the context of these Individual authors are not normally named in guidelines, and arranging for appropriate qual- these reports, although individual team members ity control (peer review and any internal Bank are often noted and credited for their contribu- processes). Task leadership alone does not tions. The following guidelines are applicable to all qualify an individual for authorship unless the working papers and publications to which author- above two criteria are met. ship or acknowledgment of individuals applies. 3. The corresponding author (or authors) should be established who would be responsible for Communicating Responsibilities and Expec- communication and follow-up to inquiries tations. Authorship, acknowledgment, and about the report. expectations for each publication should be dis- 4. Order of authorship: Names of authors should cussed at the earliest possible stage of the research appear alphabetically with an asterisk or foot- project and renegotiated throughout as necessary. note to indicate the corresponding author and Such communication is designed to clarify roles. contact information. The task team leader or equivalent should initi- 5. The number of authors should be no more ate this discussion at the beginning of a project, than six. addressing the following questions, among others: 6. Those who do not meet authorship criteria but made a significant contribution to the project 1. Who will be named as an author or acknowl- should be acknowledged in the final product edged contributor if the work is published? (for example, individuals who collected data, 2. Who will be the corresponding author or acquired funding, provided financial support, authors, that is, the person or persons who supervised a research team, and provided could respond to inquiries about the report? technical, writing, or editing assistance). These 3. What are the responsibilities and expectations contributions alone do not warrant authorship for each contributor? unless the criteria in (1) above are met. 34 ANNEXES 7. The WBG does not support the use of ghost 8. Contract status (whether an individual is an or courtesy authorships. Ghost authorship STC, ETC, or term appointment or has an is defined as the failure to give credit to or open-ended contract) should not be taken into acknowledge a significant contributor to the account in determining authorship. product. Courtesy authorship is defined as naming an author or individual who did not Dispute Resolution. Whenever possible, dis- contribute significantly, or at all, the prod- putes over authorship or attribution should be uct. In order to maintain the integrity of WBG resolved at the unit level by the authors and research and publications, all those and only contributors themselves or relevant managers as those who qualify as authors should be named appropriate. In the event that resolution cannot as authors. be achieved, issues can be brought to the WBG Conflict Resolution System. 35 Ombuds services | annual report 2012 Annex 4: Respectful Workplace ➤➤ Help colleagues help themselves by listening Advisors (RWA) Program: and providing problem-solving guidance in Terms of Reference confidence ➤➤ Coach colleagues in conflict resolution skills, The World Bank Group recognizes the right of when appropriate, to enable them to help every staff member to be treated fairly, with themselves in the future respect and dignity, and to work in a respect- ➤➤ Guide colleagues to appropriate institutional ful workplace free of harassment, discrimination, sources of information and support, including and intimidation. To support this policy, the Bank the Internal Justice System Group has set up several avenues through which ➤➤ Provide colleagues with information about rel- individuals can seek advice and assistance or to evant policies and procedures register a complaint. One of the informal avenues ➤➤ Model the WBG Code of Conduct and other of assistance is the Respectful Workplace Advisors organizational statements of standards and val- (RWA) Program. ues ➤➤ Ensure colleagues understand how to contact RWAs are a network of peer volunteers in World them confidentially Bank Group country offices and in some work ➤➤ Respond to requests for assistance promptly units in Washington, DC. RWAs are nominated by ➤➤ Meet with the country manager/director/VP staff members in their offices and serve a four-year periodically to discuss trends and the general term. The goal of the RWA is to help colleagues office environment without providing infor- help themselves by listening and providing prob- mation about specific cases or divulging the lem-solving guidance in confidence. The program names of staff involved is administered by the Ombuds Services. ➤➤ Give periodic presentations to all staff in the office/unit as well as briefings to new staff on The role of the RWA is to provide: their RWA role 1. An informal, confidential, trustworthy, and read- ➤➤ Send quarterly confidential Activity Forms ily accessible source of early assistance for staff to Ombuds Services on the types of issues who have questions or concerns regarding a brought to their attention, with no information respectful workplace or who want information that could identify a staff member, in order to about where to seek assistance. Issues might safeguard absolute confidentiality include interpersonal conflicts, unfair treat- ment, harassment, disrespectful and unethical RWAs DO NOT intervene, investigate, mediate, or behaviors, employment or performance, mis- participate in resolving issues. They do not rep- conduct, and other workplace stresses; and resent staff or carry a staff member’s issue to a 2. Brief management on general respectful work- higher authority. They do not choose a course of place trends while maintaining confidentiality. action for staff members. In fulfilling this role, the responsibilities of At all times RWAs must follow the RWA Stan- RWAs are to: dards of Practice, by being confidential, ➤➤ Serve as a confidential sounding board for staff respectful, ethical, informal, trustworthy, ➤➤ Listen and help colleagues assess their situa- independent, impartial, and competent. (The tions and think through their options RWA Standards of Practice and RWA contact details can be found on the RWA website.) 36 ANNEXES Annex 5: Respectful Workplace a. WBG staff nominated to be an RWA do not Advisors (RWA) Program: have other commitments that might lead to Program Objectives a conflict of interest b. Nomination and selection processes are fair The RWA Program is one of a range of informal and understood by staff services available to staff within the Internal Jus- 4. Training nominated colleagues to an effective tice System (IJS) of the World Bank Group. This standard to meet their RWA responsibilities so program supports the World Bank Group’s com- that all RWAs have: mitment to fostering a positive and motivating a. A basic understanding of the dynamics of workplace environment in which all staff can a culturally diverse environment and work- work together with openness and trust, in ways place problems, including various forms of that demonstrate respect and value differences. disrespectful and unethical behaviors All workplace issues regarding respectful and eth- b. A comprehensive awareness of the Bank ical behaviors and other sources of stress at work Group’s policies and procedures on appro- will be taken seriously. priate behaviors and for addressing conflict c. Familiarity with the services of the differ- RWA Program Responsibilities ent units within the Internal Justice System The responsibilities of the RWA Program are to d. The ability to perform basic helping func- build capacity within the WBG by the following: tions such as active listening e. An understanding of their roles and 1. Raising awareness about respectful and ethical responsibilities, including how to handle behaviors at the World Bank Group through and respond to workplace problems and a. Regular program communications how to refer staff members to appropriate b. Updated presentations to staff and manage- resources in the Bank Group ment 5. Adhering to the RWA Standards of Practice by c. Regular reports on RWA Program activities ensuring the program is organized, efficient, 2. Contributing to the informal resources avail- visible, accessible, competent, of high-qual- able to staff by ensuring that ity, coordinated, effective, and impactful. (The a. All staff have information available to RWA Standards of Practice can be found on the enable easy and early access to RWAs RWA website.) b. All eligible country offices have RWAs 6. Ensuring that the process of providing assis- 3. Facilitating the nomination and selection of tance through the program should also be appropriate staff to the RWA role by ensuring voluntary, accessible, informal, effective, that empowering, and satisfactory. 37 Ombuds services | annual report 2012 Annex 6: Respectful Workplace • Holds no position that might compromise Advisors (RWA) Program: his/her impartiality and neutrality Standards of Practice • Does not report to line management in his/ her RWA role The standards of practice for the Respectful Workplace Advisors (RWA) Program include the ➤➤ Informal following: • Does not make decisions, mandate policies, or adjudicate issues for the organization in 1. Standards of conduct for the RWA his or her RWA role 2. Standards for the process by which RWA assis- • Does not participate in any investigations as tance is provided an RWA 3. Standards for the RWA Program itself • Functions on an informal basis by such means as listening, providing information I. Standards of conduct for the RWA about resources, identifying issues, helping The RWA shall be: to develop a range of responsible options, and, when possible, helping people develop ➤➤ Confidential ways to solve problems themselves • Holds all communication with those who consult him or her in strict confidence as ➤➤ Exemplary and Trustworthy per Staff Rule 9.02 • Models the appropriate management and • Keeps no official records that identify indi- resolution of their own disputes and treats viduals who may have consulted him/her colleagues with respect and integrity • Prepares informal activity forms in a man- • Adheres to the parameters of their role and ner that protects the confidentiality and ano- responsibilities nymity of individuals • Is honest, reliable, and honorable in his or • Provides feedback, such as trends, to man- her dealings with colleagues agement in a way that protects the anonym- ity of staff who use the service ➤➤ Competent • Does not provide notice to nor accepts • Participates in all appropriate program train- notice on behalf of the organization ing • Seeks to learn relevant knowledge and skills ➤➤ Respectful and Ethical in order to provide quality service • Acts in a professional, dignified, and respect- • Understands the role and responsibilities ful manner to all, particularly to colleagues of the RWA in order to effectively help col- who consult with him/her leagues address conflict and encourage a • Acts with integrity and honesty respectful work environment ➤➤ Neutral and Independent  tandards for the process by which RWA 2. S • Does not take sides; is equitable, unbiased, assistance is provided fair, and just in the performance of his/her The process of providing RWA assistance shall be: RWA responsibilities • Does not have an interest in or advocate for ➤➤ Voluntary a particular outcome or resolution • Use of the program is voluntary • Does not make decisions, intervene in dis- • Staff must be able to understand the RWA putes, advocate for individuals, investigate, process and the options available to them adjudicate, mediate, or represent individu- and give voluntary and informed consent to als or issues any resolution reached 38 ANNEXES • Staff who consult RWAs are informed of 3. Standards for the RWA Program itself other available options and are free to The RWA Program shall be: choose those that best meet their needs ➤➤ Organized and Efficient ➤➤ Accessible and Informal • The program’s design and process are con- • The program is available to all staff sistent with the program’s objectives and • Assistance is available when needed WBG’s code of conduct • RWAs are easy to contact and respond in a • The program complements other WBG dis- timely manner to requests for assistance pute resolution avenues • Assistance is provided in an open and acces- • There is sufficient staff to effectively admin- sible manner ister the program and RWAs to provide assis- tance to staff who need the services ➤➤ Effective • The responsibilities of the program’s admin- • Staff who consult RWAs are enabled to istrator are clearly delineated and are consis- resolve their disputes themselves tent with the program’s mission • Staff who consult RWAs are enabled to • Staff have an opportunity to provide feed- resolve their disputes informally whenever back regarding program operations appropriate • The program’s budget is managed prudently • Staff are enabled to consider and select • The costs of dispute resolution to the orga- options that meet their interests nization and to the individual are minimized • Staff who consult RWAs are enabled to resolve their disputes early and at the most ➤➤ Visible and Accessible appropriate level • Staff are aware of the program, understand • Staff who consult RWAs are enabled to reach the program’s purpose, and have at least a resolutions that suit their individual circum- basic understanding of the RWA’s role stances and with which they are satisfied • Program operations, accomplishments, and progress are regularly communicated ➤➤ Empowering and Satisfactory • Staff know how to access the program • Staff who consult RWAs have the opportu- • It is easy to access the program nity to acquire useful information • Staff who consult RWAs have the opportu- ➤➤ Competent nity to learn basic dispute resolution and • The RWAs have sufficient skills and training communication skills to fulfill their role • Staff who consult RWAs are satisfied with • OMB staff develop, guide and support the the RWA process RWAs • Staff who consult RWAs recommend the program to others ➤➤ High Quality • Standards are set for the program, services, ➤➤ Nonretaliatory and any training program • Retaliation by a staff member against any • Evaluation is periodically conducted to person who uses the services of a RWA is maintain program quality expressly prohibited and shall result in pro- ceedings under Staff Rules 03.00. ➤➤ Coordinated • The program coordinates its efforts with other staff resources, particularly the Inter- nal Justice System, management, and human resources staff 39 Ombuds services | annual report 2012 • Participants are informed of other resources • Retaliation for use of the program is pre- and referred as appropriate vented when possible and addressed if • The program ensures that staff are aware of needed and understand the program and trust and • Management support at all levels is built and respect the RWAs sustained • Systemic issues are identified and brought to • Staff support is cultivated and sustained management’s attention • The program contributes to the overall well- • Compliance with the organization’s stan- being of the organization and individual dards of behavior is heightened staff members • The program models best practices and con- tinues to be a leader in the field of dispute resolution 40 ANNEXES Annex 7: Respectful Workplace Advisors (RWA) Activity Form 41 THE OMBUDS SERVICES TEAM From left to right: Tanisha McGill, Constance Bernard, David Talbot, Meggy Savady, Odile Rheaume, Thomas Zgambo and Swinitha Osuri. Contacts: Internal Web Page: http://ombudsman Internal Email: Ombudsman@worldbank.org External Email: wbgombuds@gmail.com Appointments: Call 202-458-1056 (collect calls accepted) An Ombudsman can call staff at home, at night or during the weekend, providing added assurance of confidentiality and privacy. Offsite visits are also possible. Ombudsman: Thomas Zgambo 202-473-3043 Ombudsman: Constance Bernard 202-458-5175 Ombudsman: David Talbot 66-2-686-8338 All categories of current and former WBG staff and consultants—including those from International Finance Corporation (IFC), Multilateral Investment Guarantee Agency (MIGA), Global Environment Facility (GEF) and International Centre for Settlement of Investment Disputes (ICSID)—are welcome to consult OMB regarding any work related issue. THE WORLD BANK GROUP 1818 H Street, NW, Washington, DC 20433, USA T: 202.458.1056 E: Ombudsman@worldbank.org