*All staff in the Ombuds Services office sign and strictly adhere to the following confidentiality agreement:

INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVELOPMENT

INTERNATIONAL DEVELOPMENT ASSOCIATION

Confidentiality Agreement for the Staff of the World Bank Group’s

OMBUDS SERVICES

The purpose of this Confidentiality Agreement is to help preserve the integrity of oral and written information received or generated by the OMBUDS SERVICES (OMB) in the course of its work, and to help protect the interests of the Bank and all relevant parties.

1. In signing this Confidentiality Agreement, you agree that:

1. Any and all information, oral or written, concerning the identity of or concerns raised by a visitor to OMB, or related follow-up, without the explicit permission of the visitor, shall be treated as absolutely confidential by you.
2. The term “absolutely confidential” means that you will not disclose the information referred above to anyone (outside of OMB). The only exception would be if you perceive that action is needed to avoid the risk of physical harm to an individual.

2. Return of Confidential Documents: You hereby agree that prior to leaving your position you will return all confidential documents in your possession, and that you will retain no copies of any such document.

3. Maintenance of Security Procedures: You hereby agree that you will carefully follow all office procedures having to do with maintaining the security of the OMB’s premises as per attached Annex A on security procedures for OMB staff.

4. Violations of this Agreement: The obligations set forth in this Agreement shall survive the termination of your assignment in OMB as well as your employment with the Bank, regardless of the reason. Any staff member or former staff member who violates the terms and conditions of this agreement shall be subject to disciplinary action under the provisions of Staff Rule 8.01 “Disciplinary Proceedings” of the World Bank Staff Manual. Disciplinary measures for current staff could include termination of employment, which is mandatory if the unauthorized disclosure rises to an abuse of position for the personal gain of oneself or another. Disciplinary measures for former staff could include a permanent bar on being re-hired by the World Bank Group.

I CONFIRM THAT I HAVE READ, UNDERSTAND AND WILL COMPLY WITH THE FOREGOING TERMS AND CONDITIONS OF THIS CONFIDENTIALITY AGREEMENT.

Witnessed by:

Signed:______________________________ Signed:______________________________

Print Name: __________________________ Print Name: __________________________

Dated: ______________________________ Dated: ______________________________

Annex A

Ombuds Services

Maintenance of Security Procedures for all OMB Staff

• Keep all confidential information (calendar entries, emails and documents, visitors’ files) out of view and locked away from desk/office when stepping out
• Hide your computer screen or switch it to the Intranet homepage
• Protect anonymity of all staff using OMB -- neither denying nor confirming their using OMB services
• Be careful not to reveal the identity of staff who have consulted OMB when greeting them in public places
• Avoid any two visitors being aware of another’s presence by inviting them to wait in a waiting room away from public view and each other
• When making a phone call, always use “*67” before the number to hide OMB identity
• In an open desk area, lock your computer screen and all filing cabinets when away from you desk
• If you have an office, keep office door closed and locked when not present in your office and lock all filing cabinets when leaving in the evening
• Keep doors to file room and work room closed/locked at all times
• Do not share locks combination with anyone
• When IT, GSD or any other staff are present, put away all confidential documents and hide your computer screen (especially the calendar)
• Use only authorized IT personnel to help with IT problems
• Allow cleaning staff to enter premises only during the day

September 2009

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The Ombuds Services Staff Rule 9.02

Staff Rules Pertaining to Grievance Procedures:

1. Mediation Services 9.01
2. Appeals Committee 9.03
3. The World Bank Administrative Tribunal
4. Rules of the World Bank Administrative Tribunal
5. Statute of the Administrative Tribunal of the International Bank for Reconstruction and Development, International Development Association and International Finance Corporation

Staff Manual

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International Ombudsman Association (IOA)

Code of Ethics

PREAMBLE

The IOA is dedicated to excellence in the practice of Ombudsman work. The IOA Code of Ethics provides a common set of professional ethical principles to which members adhere in their organizational Ombudsman practice.

Based on the traditions and values of Ombudsman practice, the Code of Ethics reflects a commitment to promote ethical conduct in the performance of the Ombudsman role and to maintain the integrity of the Ombudsman profession.

The Ombudsman shall be truthful and act with integrity, shall foster respect for all members of the organization he or she serves, and shall promote procedural fairness in the content and administration of those organizations’ practices, processes, and policies.

ETHICAL PRINCIPLES

INDEPENDENCE

The Ombudsman is independent in structure, function, and appearance to the highest degree possible within the organization.

NEUTRALITY AND IMPARTIALITY

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

CONFIDENTIALITY

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

INFORMALITY

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

Standards of Practice:

PREAMBLE

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

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

STANDARDS OF PRACTICE

INDEPENDENCE

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

1.2 The Ombudsman holds no other position within the organization which might compromise independence.

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

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

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

NEUTRALITY AND IMPARTIALITY

2.1 The Ombudsman is neutral, impartial, and unaligned.

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

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

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

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

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

CONFIDENTIALITY

3.1 The Ombudsman holds all communications with those seeking assistance in strict confidence and takes all reasonable steps to safeguard confidentiality, including the following:

• The Ombudsman does not disclose confidential communications unless given permission to do so in the course of informal discussions with the Ombudsman, and even then at the sole discretion of the Ombudsman;
• The Ombudsman does not reveal, and must not be required to reveal, the identity of any individual contacting the Ombudsman Office, nor does the Ombudsman reveal information provided in confidence that could lead to the identification of any individual contacting the Ombudsman Office, without that individual’s express permission;
• The Ombudsman takes specific action related to an individual’s issue only with the individual’s express permission and only to the extent permitted, unless such action can be taken in a way that safeguards the identity of the individual contacting the Ombudsman Office. The only exception to this privilege of confidentiality is where there appears to be imminent risk of serious harm, and where there is no other reasonable option.Whether this risk exists is a determination to be made by the Ombudsman.

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

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

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

3.5 The Ombudsman keeps no records containing identifying information on behalf of the organization.

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

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

3.8 Communications made to the ombudsman are not notice to the organization. The ombudsman neither acts as agent for, nor accepts notice on behalf of, the organization and shall not serve in a position or role that is designated by the organization as a place to receive notice on behalf of the organization. However, the ombudsman may refer individuals to the appropriate place where formal notice can be made.

INFORMALITY AND OTHER STANDARDS

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

4.2 The Ombudsman as an informal and off-the-record resource pursues resolution of concerns and looks into procedural irregularities and/or broader systemic problems when appropriate.

4.3 The Ombudsman does not make binding decisions, mandate policies, or formally adjudicate issues for the organization.

4.4 The Ombudsman supplements, but does not replace, any formal channels. Use of the Ombudsman Office is voluntary, and is not a required step in any grievance process or organizational policy.

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

4.6 The Ombudsman identifies trends, issues and concerns about policies and procedures, including potential future issues and concerns, without breaching confidentiality or anonymity, and provides recommendations for responsibly addressing them.

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

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

Establishment and Operations of Ombuds Office, Resolution of the American Bar Association

Ombuds receive complaints and questions from individuals concerning people within an entity or the functioning of an entity. They work for the resolution of particular issues and, where appropriate, make recommendations for the improvement of the general administration of the entities they serve. Ombuds protect: the legitimate interests and rights of individuals with respect to each other; individual rights against the excesses of public and private bureaucracies; and those who are affected by and those who work within these organizations.

Federal, state and local governments, academic institutions, for profit businesses, non-profit organizations, and sub-units of these entities have established ombuds offices, but with enormous variation in their duties and structures. Ombuds offices so established may be placed in several categories: A Classical Ombuds operates in the public sector addressing issues raised by the general public or internally, usually concerning the actions or policies of government entities or individuals. An Organizational Ombuds may be located in either the public or private sector and ordinarily addresses problems presented by members, employees, or contractors of an entity concerning its actions or policies. Both types may conduct inquiries or investigations and suggest modifications in policies or procedures. An Advocate Ombuds may be located in either the public or private sector and like the others evaluates claims objectively but is authorized or required to advocate on behalf of individuals or groups found to be aggrieved.

As a result of the various types of offices and the proliferation of different processes by which the offices operate, individuals who come to the ombuds office for assistance may not know what to expect, and the offices may be established in ways that compromise their effectiveness. These standards were developed to provide advice and guidance on the structure and operation of ombuds offices so that ombuds may better fulfill their functions and so that individuals who avail themselves of their aid may do so with greater confidence in the integrity of the process. Practical and political considerations may require variations from these Standards, but it is urged that such variations be eliminated over time.

The essential characteristics of an ombuds are:
- independence
- impartiality in conducting inquiries and investigations
- and confidentiality

ESTABLISHMENT AND OPERATIONS

A. An entity undertaking to establish an ombuds should do so pursuant to a legislative enactment or a publicly available written policy (the "charter") which clearly sets forth the role and jurisdiction of the ombuds and which authorizes the ombuds to:

1. receive complaints and questions about alleged acts, omissions, improprieties, and systemic problems within the ombuds's jurisdiction as defined in the charter establishing the office
2. exercise discretion to accept or decline to act on a complaint or question
3. act on the ombuds's own initiative to address issues within the ombuds's prescribed jurisdiction
4. operate by fair and timely procedures to aid in the just resolution of a complaint or problem
5. gather relevant information
6. resolve issues at the most appropriate level of the entity
7. function by such means as:

   (a) conducting an inquiry
   (b) investigating and reporting findings
   (c) developing, evaluating, and discussing options available to affected individuals
   (d) facilitating, negotiating, and mediating
   (e) making recommendations for the resolution of an individual complaint or a systemic problem to those persons who have the authority to act upon them
   (f) identifying complaint patterns and trends
   (g) educating
   (h) issuing periodic reports, and
   (i) advocating on behalf of affected individuals or groups when specifically authorized by the charter

8. initiate litigation to enforce or protect the authority of the office as defined by the charter, as otherwise provided by these standards, or as required by law
   

QUALIFICATIONS

B. An ombuds should be a person of recognized knowledge, judgment, objectivity, and integrity. The establishing entity should provide the ombuds with relevant education and the periodic updating of the ombuds's qualifications.

INDEPENDENCE, IMPARTIALITY, AND CONFIDENTIALITY

C. To ensure the effective operation of an ombuds, an entity should authorize the ombuds to operate consistently with the following essential characteristics. Entities that have established ombuds offices that lack appropriate safeguards to maintain these characteristics should take prompt steps to remedy any such deficiency.

(1) Independence. The ombuds is and appears to be free from interference in the legitimate performance of duties and independent from control, limitation, or a penalty imposed for retaliatory purposes by an official of the appointing entity or by a person who may be the subject of a complaint or inquiry.
In assessing whether an ombuds is independent in structure, function, and appearance, the following factors are important: whether anyone subject to the ombuds's jurisdiction or anyone directly responsible for a person under the ombuds's jurisdiction (a) can control or limit the ombuds's performance of assigned duties or (b) can, for retaliatory purposes, (1) eliminate the office, (2) remove the ombuds, or (3) reduce the budget or resources of the office.

(2) Impartiality in Conducting Inquiries and Investigations. The ombuds conducts inquiries and investigations in an impartial manner, free from initial bias and conflicts of interest. Impartiality does not preclude the ombuds from developing an interest in securing changes that are deemed necessary as a result of the process, nor from otherwise being an advocate on behalf of a designated constituency. The ombuds may become an advocate within the entity for change where the process demonstrates a need for it.

(3) Confidentiality. An ombuds does not disclose and is not required to disclose any information provided in confidence, except to address an imminent risk of serious harm. Records pertaining to a complaint, inquiry, or investigation are confidential and not subject to disclosure outside the ombuds's office. An ombuds does not reveal the identity of a complainant without that person's express consent. An ombuds may, however, at the ombuds's discretion disclose non-confidential information and may disclose confidential information so long as doing so does not reveal its source. An ombuds should discuss any exceptions to the ombuds's maintaining confidentiality with the source of the information.

LIMITATIONS ON THE OMBUDS'S AUTHORITY

D. An ombuds should not, nor should an entity expect or authorize an ombuds to:

(1) make, change or set aside a law, policy, or administrative decision
(2) make binding decisions or determine rights
(3) directly compel an entity or any person to implement the ombuds's recommendations
(4) conduct an investigation that substitutes for administrative or judicial proceedings
(5) accept jurisdiction over an issue that is currently pending in a legal forum unless all parties and the presiding officer in that action explicitly consent
(6) address any issue arising under a collective bargaining agreement or which falls within the purview of any existing federal, state, or local labor or employment law, rule, or regulation, unless the ombuds is authorized to do so by the collective bargaining agreement or unless the collective bargaining representative and the employing entity jointly agree to allow the ombuds to do so, or if there is no collective bargaining representative, the employer specifically authorizes the ombuds to do so, or
(7) act in a manner inconsistent with the grant of and limitations on the jurisdiction of the office when discharging the duties of the office of ombuds.

REMOVAL FROM OFFICE

E. The charter that establishes the office of the ombuds should also provide for the discipline or removal of the ombuds from office for good cause by means of a fair procedure.

ORGANIZATIONAL OMBUDS

An organizational ombuds facilitates fair and equitable resolutions of concerns that arise within the entity. In addition to and in clarification of the standards contained in Paragraphs A-F, an organizational ombuds should:

1. be authorized to undertake inquiries and function by informal processes as specified by the charter
2. be authorized to conduct independent and impartial inquiries into matters within the prescribed jurisdiction of the office
3. be authorized to issue reports
4. be authorized to advocate for change within the entity.

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