Update on the Internal Justice and Related Services FY2014

Human Resources Committee

Official Use Only

January 14, 2015

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Abbreviations and Acronyms

ACS Administrative and Client Support AFR Africa Region CD Country Director CM Country Manager CO Country Office EAP East Asia and Pacific Region EBC Office of Ethics and Business Conduct ECA Europe and Central Asia Region ECR External and Corporate Relations ETT/ETC Extended Term Temporary/Extended Term Consultant FY Fiscal Year HQ World Bank Group Headquarters Washington, DC HR Human Resources HRBP Human Resources Business Partner HRC Board of Executive Directors’ Human Resources Committee HRDVP Human Resources Vice President HSD Human Services Department IEG Independent Evaluations Group IFC Internal Finance Corporation IJ Internal Justice IJC Internal Justice Council IJS Internal Justice Services INT Institutional Integrity Vice Presidency ITS Information and Technology Solutions LEGIA Institutional Administration Department of the Legal Vice Presidency MEF Office of Mediation Services MNA Middle East and North Africa Region OMB Ombuds Services PRS Peer Review Services RTC Renewable Term Contract RWA Respectful Workplace Advisor SA World Bank Group Staff Association SAR South Asia Region STT/STC Short Term Temporary/Short Term Consultant WBAT World Bank Administrative Tribunal

Table of Contents

I. INTRODUCTION ............................................................................................................................... 1

II. STATISTICS ON THE USAGE OF THE IJS AND THE ADMINISTRATIVE TRIBUNAL ... 3

Visitor Numbers: ..................................................................................................................................... 3

Issues: ....................................................................................................................................................... 4

Budgets and Processing Times ............................................................................................................... 5

Cost of Conflict ........................................................................................................................................ 7

Demographics .......................................................................................................................................... 8

User Satisfaction.................................................................................................................................... 13

Evaluation Studies ................................................................................................................................ 14

III. INCREASING ACCESS FOR COUNTRY OFFICE STAFF ...................................................... 15

IV. OTHER INITIATIVES .................................................................................................................... 16

Communications ................................................................................................................................... 16

Outreach ................................................................................................................................................ 16

Training ................................................................................................................................................. 17

Conflict Competencies .......................................................................................................................... 18

Addressing the Fear of Retaliation ...................................................................................................... 18

Internal Justice Week 2014 .................................................................................................................. 19

Case Management System – GoPro .................................................................................................... 19

ANNEX 1: CASELOAD STATISTICS ................................................................................................. 20

I. INTRODUCTION 1. The Internal Justice Services (IJS) provide an annual update on their activities to the Board’s Human Resources Committee (HRC). The current update covers Fiscal Year 2014 (FY14) from July 1, 2013 to June 30, 2014. 2. During FY14, the number of visitors using the IJS increased, and as in past two years, the growth in usage was concentrated in the informal services (Respectful Workplace Advisors, Ombuds Services, and Mediation Services). In its FY14 Annual Report, Ombuds Services (OMB) reports that they saw an increased number of visitors with concerns related to the Change agenda, and some staff communicated the stress associated with a period of prolonged uncertainty. For the last two years, Mediation Services (MEF) has had a record caseload, which is currently 60 percent above historical averages. Peer Review Services (PRS) a record caseload, which doubled since its inception in 2009 (from 25 cases in FY09 to 50 cases in FY14). The World Bank Administrative Tribunal (WBAT) saw a 35 percent increase in its caseload over that of FY13.

Highlights of FY14

• The number of staff contacting an RWA in FY14 maintained an increasing trend with an increase of approximately 13 percent in FY14 over FY13.

• OMB saw a 13 percent increase in Country Office (CO) based visitors and a 71

percent increase in visitors of Sub-Saharan African and Caribbean origin.

• MEF had notable changes in the population that they served with: (i) a 17 percent increase in CO staff; (ii) 10 percent increase in GA-GD staff; (iii) an increase of 10 percent from Part II nationals; and (v) an 8 percent increase from IFC staff.

• In PRS, the average processing time for all cases decreased from 4.1 months in FY13 to 3.1 months in FY14. At the same time, the number of Panel Reports submitted to senior management for review and decision increased 36percent.

• The Tribunal’s caseload increased by 35 percent over the previous year. Of the 20

cases decided in FY14, 19 were from HQ-based staff.

• During FY14, EBC brought to senior management’s attention the ethics and reputational risks associated with six areas and recommended action items to mitigate these risks. One of these areas is addressing staff fears of reprisal for reporting unethical conduct.

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3. The Bank Group’s IJS is structured as follows:

4. This year, the Human Resources Committee (HRC) requested that the Update include the findings of the Review of the 2009 Reforms to the Appeals Committee (now Peer Review Services) and the World Bank Administrative Tribunal. They also requested a briefing from EBC on allegations/investigations of retaliation. Both are reflected in this Update. 5. The Internal Justice Council (IJC): The IJC is an advisory and coordinating body that oversees issues relating to Internal Justice. The Council is made up of representatives of the Internal Justices Services units, including EBC, INT and the Executive Secretary of the WBAT (as an observer). Partner Services including External and Corporate Relations (ECR), Human Resources (HRD), Legal (LEGIA), the Staff Association (SA) are also represented. The remainder of the Update is organized as follows: Section II analyzes statistics on usage; Section III describes efforts to increase access to Country Office (CO) staff; and Section IV discusses other initiatives.

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II. STATISTICS ON THE USAGE OF THE IJS AND THE ADMINISTRATIVE TRIBUNAL

Visitor Numbers: 6. In FY14, the IJS continued to compile data concerning the usage of its services and the WBAT. The data consists of numbers of visitors and cases, issues raised, processing time, and demographics about the users of the system, and was made available on the IJS intranet website. 7. The percentage of staff seeking assistance through the Internal Justice Services and Administrative Tribunal has grown slowly but steadily from 7 percent of regular and term staff in FY09, to 11 percent in FY141. During the past fiscal year, the main growth came from OMB and the RWA Program, alongside a significant increase in the use of MEF and PRS. In FY14, the RWAs continued to be the primary resource for CO staff with 86 percent of the RWAs based in COs. The majority of RWA contacts were CO staff. The share of visitors from COs remained higher for RWAs (75 percent) than for OMB (42 percent). However, notably in FY14, the gap in relative usage of OMB services between Washington-based staff and CO staff declined.

8. In FY14, the number of cases in MEF increased by 10 percent over FY13 and a 25 percent increase from FY12. A slight reduction in cases from Washington, DC-based staff was compensated by an increase in the CO caseload, which was 41 percent of the total. PRS also had a 12 percent increase in the number of filings in FY14 over FY13. The World Bank Administrative Tribunal’s caseload rose steadily in FY14 with a 35 percent increase in the number of cases. As in the past, the vast majority of cases (95 percent) are handled in the informal services (OMB/RWA and MEF). The significance is discussed below under “Cost of Conflict.”

1 Short-term, extended-term and special assignment staff are also entitled to use the Internal Justice Services and the Administrative Tribunal. Since their numbers fluctuate significantly, we have calculated percentages of staff using IJS using the numbers of regular and term staff only. Usage by contract type is covered in the Demographics section.

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325 408 509 564 535 604

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16 1320

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Figure 1. Number of Staff using the Internal Justice Services andAdministrative Tribunal (FY09-FY14)

RWA OMB MEF PRS WBAT

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Issues: 9. The types of issues raised by staff using the IJS are shown in Figure 2 below. As in the past six years, human resource-related issues (benefits and compensation, ending employment, entering employment, performance, promotion, and reassignment) have increased steadily, and they now represent just over one-third of the concerns raised by staff in FY14. During FY14, Respectful Workplace Issues (interpersonal conflicts, misconduct, and retaliation) were the second most likely set of issues to be brought to the IJS. Managerial skills and behavior issues (failure to manage, favoritism, unavailability, unresponsiveness, unclear or confusing messaging) also saw a significant increase in FY14. 10. Although staff raise concerns about retaliation to Internal Justice (IJ) and related services, only EBC has the authority to investigate such claims. EBC reports a significant increase in the number of formal retaliation claims, from 5 in FY13 to 13 in FY14. Of the retaliation claims, one was substantiated.

Note: All of the units utilize the same categories for issues raised by staff members. In some cases, more than one issue is the subject of the dispute. The categories include the following sub-issues:

• Human Resource-Related Issues (benefits and compensation, ending employment, entering employment, performance, promotion, reassignment);

• Respectful Workplace Issues (interpersonal conflicts, misconduct, retaliation, discrimination, sexual harassment);

• Managerial Skills and Behavior (failure to manage; favoritism; unavailability; unresponsive, unclear or confusing messaging; abuse of authority);

• Conflict of Interest

• Other Issues (compliance issues, domestic issues, jurisdiction, physical work environment, policy, quality of operations and other).

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FY09 FY10 FY11 FY12 FY13 FY14

192 223 272651 634 640170 197 252

366 375 431

370441

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490 406483

98147

179

183 193177

Figure 2. Issues raised by Staff to the Internal Justice Services and Administrative Tribunal (FY09-FY14)

HR Issues Managerial Skills and BehaviorRespectful Workplace Issues Conflict of InterestOther Issues

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Budgets and Processing Times 11. As shown in Figure 3, PRS saw a significant decrease in the average processing time from 4.1 months in FY13 to 3.1 months in FY14, which was a 25 percent decrease for all cases filed. In MEF, the average processing time for all cases was 47 days, although some of the cases were quite complex, requiring as many as 205 days. Other less complex cases needed as few as two days. The WBAT also reported a continued decrease in processing time in FY14. It is not possible to calculate a meaningful “processing time” for either OMB or RWA as their work is informal and the level of service varies widely depending on the type of issue and follow up.

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47 46 38 47

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94 99

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Figure 3. Average processing time for MEF, PRS and WBAT cases (FY09-FY14)

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12. The administrative budgets and staffing for the IJS and Administrative Tribunal have been kept stable over the past 3 years, despite a growing caseload. Figure 4 shows the actual expenditures per unit. Every effort is being made to work more efficiently. For example, in FY14 changes were made to the way in which the PRS and Mediation Offices conducted CO outreach and training, with greater use of videoconferencing and regional mediators. This contributed to the reduction in overall expenditures for these two units, despite a growing caseload. In addition to increased caseload, needed upgrades to the case management system, and expansion of the network of volunteers led to some growth in budget expenditures. However, it is important to note that in no case did expenditures exceed allocations.

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$317 $575 $553 $484 $452 $511 $271

$334 $157 $306 $116 $280

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$623

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$972 $974$1,069

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$971 $991$971

$1,458

$1,732$1,715

$1,725$1,481

$2,167

US$

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Figure 4. Administrative Budget (Actual) for IJS Offices and WBAT FY2009-2014

WBAT

PRS

MEF

OMB

RWA

IJS Coordination

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Cost of Conflict 13. The cost of conflict to the organization and its staff can never be calculated precisely. We can measure the expenditures of the individual Internal Justice and related units and, employing the usage figures, calculate a rough “cost per case.” However, an exact measure would have to include (a) the cost of legal services (LEGIA to advise managers and represent the institution before the Tribunal, SA to advise staff, outside legal counsel to argue cases before the Tribunal); b) monetary compensation awarded in PRS and Tribunal cases, (c) the time that managers, staff, HR, RWAs, PRS Panel Members and Staff Association counselors spend in conflict resolution, and (d) such intangibles as lost productivity and morale.

14. In line with its legal immunities, the World Bank Group is obligated to maintain a viable internal conflict resolution system, which in turn means that there will always be some associated fixed costs. The system is geared towards resolving conflict at the lowest possible level and effectively uses volunteers in combination with professionals as a means of expanding access. Given that the informal services address (95 percent) of the cases/visitors, Figure 5 shows that the costs associated with resolving conflict within the Bank Group is kept to a minimum.

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Figure 5. Indicative Costs per Case (US$) by UnitFY2009 - FY2013

RWA OMB MEF PRS

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Demographics 15. Gender Distribution: The total population of the Bank Group is comprised of 52 percent female and 48 percent male. Figure 6 shows that women were much more likely than men to use the informal services of an RWA or OMB in FY14. More women also used MEF than men, and in PRS, the number was split fairly evenly with slightly more men using PRS than women. During FY14, more men brought cases to the WBAT than did women. A significantly greater number of women brought cases before WBAT in FY14 over FY13, and the FY14 figures were more in line with those of FY12.

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161234

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429376

77 236

Figure 6. FY14 Demographics of IJS and WBAT UsersGender

Male Female

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16. Part I/Part II: Overall in FY14, more Part II staff used the IJS than Part I. As reflected in Figure 7, Part II staff used the RWA program far more than Part I staff. One of the reasons for the greater use of RWAs by Part II staff is that the majority of Part II staff are located in COs where most of the RWAs are based. Another factor may be preferences for resolving conflicts through peers instead of formal structures. More Part II nationals used MEF, as is the case with PRS. The WBAT is evenly split with 10 cases from Part I nationals and 10 cases from Part II nationals in FY14.

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116

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6322 10

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Figure 7. FY14 Demographics of IJS Users Nationality

Part I Part II

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17. Grade Level: Historically, GA-GD staff use IJS much less often than their GE+ colleagues. As shown in Figure 8, in FY14, the statistic remains consistent with GA-GD staff proportionally more likely to use the services of an RWA than any other service and staff at level GE+ using the IJS in greater numbers. During FY14, only one GA-GD staff filed a case with the WBAT. Some reasons for the low rate of usage of IJS and WBAT among GA-GD staff may be concerns about hierarchy and relative power, and the cost of legal advice and representation.

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39

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Figure 8. FY14 Demographics of IJS and WBAT UsersGrade level

GE+ GA-GD

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18. Contract Type: Figure 9 indicates the breakdown by contract type. Staff holding open-ended/regular contracts were more likely to use the IJS than other contract type during FY14. In general, staff on Short Term or Extended Term contracts tended not to use the IJS, and when they did, they favored the informal services of OMB and MEF. This demographic is not tracked by the RWA Program.

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Figure 9. FY14 Demographics of Users of IJS and Administrative TribunalContract Type

Open/Regular Term ETT/ETC STT/STC

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19. Country Offices: Forty-four percent of all Bank Group staff are based in COs and 56 percent in HQ. As shown in Figure 10, CO staff members use the informal services of the RWA Program and Ombuds Office to a much greater extent than the other services, most likely due to the close proximity of RWAs (85 percent in COs) and the availability of an Ombudsman based in Asia. A key objective of the IJS reform was to increase services provided by the IJS to COs, and as in past years, recourse to MEF by CO staff has increased due to the presence of Regional Mediators. Also, as a result of a PRS Panel Member recruitment in March 2014, there are now additional panelists based in the field.

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Figure 10. FY14 Demographics of IJS and WBAT Users Location

HQ CO

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User Satisfaction

20. OMB, MEF, and PRS disseminate feedback surveys to assess and enhance their performance. 21. In FY14, OMB saw an increase in response rates with the use of the web-based survey tripling in FY14. Respondents based in COs accounted for 61 percent of the web responses. Overall in FY14, OMB sent 364 feedback surveys and received 72 replies by July 8, 2014. This is a response rate of 20 percent compared with a 14 percent response rate in FY13. 22. Survey respondents are mainly consistent with the profile of OMB visitors with one exception – the percentage of CO respondents (16 percent) remains low compared to the number of visitors from COs (42 percent). OMB expects to see an improvement in response rates with the transition to a fully electronic system in FY15. 23. OMB’s feedback survey focuses on two areas: (i) Performance Process Objectives i.e. confidentiality, impartiality, and respectful treatment and (ii) success in meeting visitor’s needs. In FY14, OMB continued to receive positive feedback concerning performance process objectives in terms of treating visitors respectfully, maintaining confidentiality, providing clear advice/information, and explaining OMB’s role and guiding principles. The average percentage of positive responses for FY14 was 95 percent, which was an increase of one percentage point compared with the previous reporting period. Concerning OMB’s assessment in meeting the visitors’ needs, the percentage of positive responses on whether the reasons for using OMB were fulfilled increased while the percentage of responses on whether the visitor received helpful advice or information decreased – both by four percentage points.

24. During FY14, MEF received 44 Neutral Service Evaluations from staff who had participated in mediations or facilitations as main participants, representatives, or in another capacity. The feedback received shows that a majority of the users believe the Case Intake process was accessible, efficient, and respectful. They also agreed that they received clear information from MEF. The mediation process was safe and respectful and users indicated they would recommend mediation to others. Further, the mediators were evaluated as being respectful and impartial. They also helped the parties to both speak and listen and were able to clarify alternatives.

25. PRS sent 72 surveys to the Parties and Advisors in FY14 and received 33 replies, which was a response rate of 46 percent. Overall, PRS received favorable feedback from the Parties with 79 percent indicating that the panel treated them fairly and considerately when reviewing their cases. Further, 69 percent agreed that peer review provided an opportunity to be heard in a fair and impartial manner. However, as in past years, users of the peer review process have indicated that the process is difficult to understand and PRS continues to look for ways to simplify and clarify the process for users.

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Evaluation Studies 26. In FY14, the IJS launched a Review of the 2009 CRS Reforms to the Appeals Committee and Administrative Tribunal. As a result of the review, the Bank Group made significant changes to the then Appeals Committee (ACO) and Administrative Tribunal. With respect to the ACO, it was determined that the fundamental cause for tension was that it straddled a fault line between a peer review body and a quasi-judicial body, which was being pulled in both directions. To resolve this tension, the Bank Group introduced measures to return ACO to its roots as a true peer review body and to shift the judicial processes to the Administrative Tribunal. The ACO was transformed into PRS, and its processes were streamlined to make it a less time-consuming, cumbersome and legalistic process. The role of counsel in the peer review proceedings was revised to level the playing field between staff and management. Both parties to a case – staff and managers – now have access to in-house attorneys for counseling, guidance and advice. In addition, managerial accountability was strengthened as managers now have to represent themselves during the peer review process. Decision-making authority is now in the hands of the line Vice President, in consultation with the HR Vice President, rather than the HR VP alone. Reforms to the Administrative Tribunal were designed to enhance its perceived and actual independence. These changes related to the selection process for Tribunal judges, budgetary independence, ability of appellants to go directly to the Tribunal for cases involving termination and misconduct investigations, the importance of oral hearings and its physical relocation. The reform called for a review of the changes after an appropriate period of experience. 27. The review was conducted by three competitively-selected external consultants with significant experience in international organizations’ internal justice systems and in conducting these types of reviews. Their report was submitted on January 4, 2015, and has not yet been reviewed by management. The reviewers’ overall findings are that the 2009 reforms largely achieved their objectives. Outreach to country offices increased, along with greater recourse by country office staff to IJ services. Streamlining of procedures (particularly in PRS) led to a significant decrease in case processing time (see Figure 3). The consultants noted the positive contribution of the HR Corporate Case Management Unit in resolving conflicts and ensuring that IJ-related decisions are carried out. They saw the increasing case load as indicative of greater trust in the services. The reviewers attested to the overall viability of the Internal Justice System and reaffirmed its adherence to access to justice and due process standards. Although the reviewers compared and contrasted the practice at comparable organizations, they noted that the internal justice system at individual institutions must fit the institution’s particular governance structure and culture – that there is no one ideal structure to which all must adhere. They suggested some further enhancements to the functioning of the World Bank Group’s internal justice system, such as streamlining performance management case procedures, ensuring adequate resources for hearings at the Tribunal and developing clear guidelines for awarding remedies. These recommendations will be considered by the Internal Justice Council and recommendations made to the President and the Senior Management Team by March of this fiscal year. 28. Although not part of the Review of the 2009 CRS Reforms, the study on The State of Race at the World Bank Group, co-sponsored by the HRDVP and the Staff Association, examined access to the IJS by staff of African origin. The study concluded that there were no inherent biases in the World Bank Group’s Internal Justice and related services. It found that individual concerns

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about discrimination are best handled by the Office of Ethics and Business Conduct. However, it noted that offices such as OMB/RWA, MEF, PRS and WBAT are not the appropriate services to handle issues that relate to a class of staff. Senior Management is discussing the study’s recommendations on handling concerns about discrimination.

III. INCREASING ACCESS FOR COUNTRY OFFICE STAFF 29. During FY14, the offices of the Internal Justice Services continued with their efforts to improve access of CO staff to their services. Outreach to CO staff remains a priority for OMB. Regular visits by OMB provide important opportunities to visit staff in person and a chance to present information about the IJS. These visits also offer an opportunity to better assess the needs and challenges of CO staff. Most of OMB’s CO outreach was conducted in AFR, EAP, and SAR regions in FY14. OMB reports that the importance of outreach is reflected in the fact that about 22 percent of all cases and 55 percent of CO-based cases were the result of mission travel conducted by the Ombudsman. 30. Having an Ombudsman based in the field has allowed for greater efficiency and frequency of OMB travel to COs especially in the EAP and SAR regions. In FY14, OMB’s combined caseload from EAP and SAR increased by 26 percent.

31. In MEF, the Regional Mediators have increased access by CO-based staff. In FY14, 41 percent of all cases initiated served staff located in COs. MEF staff and Regional Mediators visited 26 COs in FY14 to conduct a 90-minute presentation concerning the IJS as well as a half-day training on “Conflict Competencies.” These outreach activities were an important way to consolidate relationships between the Regional Mediators and key local stakeholders, while at the same time, providing information and building skills for CO staff. 32. In March 2014, PRS launched a recruitment campaign for new Panel Members, including additional panelists based in COs. PRS also took the lead in conducting a videoconferenced outreach session to the Baghdad Country Office partnering with the Regional Mediator, Internal Justice Services Coordinator, the Respectful Workplace Advisors Program Officer, and a PRS panelist based in the CO. PRS also partnered with other units Bank-wide to provide outreach sessions which included staff members based in COs.

33. The Tribunal continued its country office outreach begun in FY13 by visiting countries in Asia in FY14.

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IV. OTHER INITIATIVES

Communications 34. IJS Cohesion and Re-Branding: In March 2014, it was decided to simplify the “umbrella” name of the services, and accordingly, the name “Conflict Resolution System” was subsumed under the broader name of “Internal Justice System.” In early FY15, the name was further revised to “Internal Justice Services. It was agreed that re-branding efforts would be undertaken to create further recognition and awareness of the IJS and related units among WBG staff.

35. Communication Strategy: A communications strategy was implemented in FY14 with the aim of continuing to increase staff awareness of the Internal Justice Services. Among the communications efforts were five Today articles: (i) "The Who, What, Where, When and How of the Bank Group's Conflict Resolution System;" (ii) "Navigating Workplace Conflict during a Time of Change;" (iii) "New Peer Review Services Chair Gerard Byam;" (iv) "An Interview with Alison Cave, Conflict Resolution System Coordinator;" and (v) "Are You Looking to Make a Difference in the Workplace?" launching the PRS Panel Member recruitment.

Outreach

36. The IJS conducts outreach and training to improve the capacity of staff to handle and resolve workplace conflicts. In terms of outreach, in FY14:

• RWAs conducted 180 outreach presentations to their work units; the majority of these were

in the Country Offices.

• The majority of OMB’s outreach was conducted in the AFR, EAP, and SAR regions. The importance of outreach efforts is borne out in the statistics. Approximately, 22 percent of all cases and 55 percent of the CO-based cases were a result of Ombudsman mission travel.

• As part of the Tribunal’s obligation to enhance outreach efforts and to make staff aware of

the resources available to them, the Secretariat visited COs in Africa and Asia in fiscal years 2013 and 2014. The mission was not undertaken in response to any particular concerns about any office, but rather to enhance CO staff’s understanding of the workings of the Tribunal.

• The IJ Coordinator continued to provide direct outreach to new managers and those

changing assignments. The outreach, which included information on dispute resolution resources for staff and managers within the WBG and individual discussions, reached 102 managers.

• The IJ Coordinator’s Office provided briefings to intact teams and specific groups of staff (ACS, ITS, IEG, Inspection Panel) on resources for resolving conflicts in the World Bank Group.

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Training 37. The main IJS training activities in FY14 were:

• The RWA Program held six training sessions in Dakar, Nairobi, and Hanoi, and a total of 85

RWAs were trained: 62 attended the RWA Core Module I Fundamentals for RWAs and 23 met the required RWA Core Module II Advanced Skills.

• Human Resources Community of Practice: IJ Units provided training to HR Business Partners

on Workplace Dynamics and lessons learned from PRS and Tribunal cases. • Mastering the Role of Country Director/Country Manager: As in previous years, MEF

partnered with other IJS units to deliver two 2.5-hour training sessions offered to new CD/CMs.

• Mastering Management and Leadership Program: IJS conducted a session for new managers at the revamped Management Leadership Mastery course, offered to WB managers for the first time. MEF collaborated with PRS and the CRS Coordinator to deliver two 2.5-hour training sessions for WBG managers participating in the program.

• New Staff Orientation: All units within the IJS conducted New Staff Orientation

presentations. During FY14, a new presentation was developed with a focus on defining the concept and nature of conflict; how it is addressed at the WBG; and information on the resources available for staff.

38. During FY14, MEF conducted seminars, presentations, and training designed to introduce innovative approaches to conflict analysis. These concepts are being developed by researchers in the fields of dispute resolution and dynamic systems and have the potential to greatly increase our capacity to understand and tackle complex, dynamic situations both within the Bank Group and in Bank Group Operations worldwide. MEF also provided 383 Bank Group staff with training in the following courses.

• Dynamic Systems Theory and Practice: During IJS Week 2013, two half-day training sessions

were offered by Dr. Peter Coleman, and two colleagues from Columbia University’s Advanced Consortium on Cooperation, Conflict and Complexity. A total of 182 Bank staff members attended the presentations.

• Workplace Dynamics of Cooperation and Conflict: The training was attended by Bank staff

from HQ and COs on June 19, 2014, using learning from the Dynamic Systems training, applied to the workplace.

• Conflict Competencies: The training course was available in both face-to face and e-learning

format to staff via the Learning Management System (LMS). In FY14, a total of 172 Bank staff completed the face-to-face version of the course, and 60 percent of the participants in the Conflict Competencies course were based in a CO.

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Conflict Competencies 39. Notably in FY14, the Bank Group incorporated conflict resolution skills as Core Competencies. These skills are essential elements in creating a more collaborative working style to raise awareness among staff and managers and provide new incentives to develop conflict competence. The indicators of this Core Competency are: (i) manage conflicts proactively and collaboratively; (ii) identify needs and support others to improve conflict management; (iii) take responsibility for the quality of conflict management and climate; and (iv) provide examples and inspiration on conflict management in the competency, “Collaborate within Teams and Across Boundaries.”

Addressing the Fear of Retaliation 40. In FY14, Senior Management placed major emphasis on addressing the “fear of reprisal” in the workplace. The FY14 Employee Engagement Survey indicated a widespread fear of retaliation, with only 46 percent of staff agreeing with the statement “I can report unethical behavior without fear of reprisal.” Although staff members raise concerns about retaliation to many internal justice and related services, EBC is the only unit that is empowered to investigate such claims.

41. The World Bank Group’s Whistleblower Protection Policy (Staff Rule 8.02), along with Staff Rule 3.00, is designed to protect staff who report misconduct, cooperate with an investigation and/or use the Internal Justice Services. Despite these policies, staff (particularly those on term contracts and at grades GA-GD level) fear reporting unethical behavior or, in some cases, simply disagreeing with someone in power. As might be expected, uncertainties related to the Change process have exacerbated the fear. To address this, the Internal Justice and related services have launched campaigns designed to (a) dispel myths by reporting facts; (b) emphasize the confidentiality of consulting with any Internal Justice service; (c) reach out to managers to explain the advantages of early dispute resolution and the prohibition against retaliation and reprisal; and (d) equip staff and managers with conflict management skills.

42. The Office of Ethics and Business Conduct has taken the lead in developing an action plan in this area. EBC has launched a communications campaign, developed a mandatory training for managers, ”Enabling Collaboration and Preventing Retaliation” (launched in FY15), and partnered with the Integrity Vice Presidency to present a series of brown-bag lunch sessions, as well as globally accessible webinars which focus on helping staff better understand the Bank Group’s investigative processes.

43. In terms of culture change, Senior Management is putting emphasis on collaborative leadership and workplace behaviors. This takes the form of modelling from the top, cascading through the leadership ranks and incentives for collaboration.

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Internal Justice Week 2014 44. Traditionally, IJS has held a once-yearly “Internal Justice Day” outreach event. In 2014, this was expanded to a week of seminars, training and workshops. The first Internal Justice Week took place in November 2013 (November 11-15). The Week was launched with a high-level Leadership Round Table, “The Courage of Our Convictions.” The Round Table panelists were Sri Mulyani Indrawati, Sean McGrath, Ana-Mita Betancourt, Zhu Xian, and Guillermo Almada. Other sessions included: “Respectful Confrontation: Empowered Collaborative Engagement” with Joe Weston; “Lessons Learned in Peer Review;” “the Ladder of Inference;” “Managing Basic Human Needs as a Prerequisite to Understanding Conflict;” “Ethics at the Movies: A Light-hearted Look at a Serious Subject;” and The Five Percent: Resolving Seeming Impossible Conflicts” with Columbia University Professor, Dr. Peter Coleman. Some of the sessions were webcast and videotaped and made available for staff in COs during the week.

Case Management System – GoPro 45. In FY14, IJS decided to implement a new web-based Case Management System, GoPro, in all units in the IJS in FY15. The benefits of GoPro include the ability to gather and analyze more comprehensive information, provide greater accuracy in reporting, and create clear workflows of activities. The system will offer greater efficiencies in its capability to store case-related electronic information for those units that keep such data2, including documents, email correspondence, contacts, and milestone dates in a secure, central repository.

2 Due to their confidential and informal nature, OMB and the RWA Program do not keep case-related records. 19

ANNEX 1: CASELOAD STATISTICS

The annual case numbers can be broken down as follows:

OMB

During FY14, OMB saw 625 new visitors. This is an increase over the annual average between FY10 and FY13. Visits by most categories of staff increased in proportion with the overall increase. The main exception was a significant increase in the use of OMB services by Sub-Saharan Africans.

RWA

The number of staff members contacting an RWA maintained an increasing trend in FY14, with the total number of contacts reached at 604. Over the last six years, the Program has witnessed an annual average increase in contacts of 17.2 percent. The rise is in direct correlation with the increasing number of RWAs from 175 to 206 over the same six year period.

MEF

MEF opened 142 cases in FY14. Of the total caseload, 53 percent received neutral services, 27 percent were referred to other services after initial consultations, 7 percent were closed after the user or client decided not to move forward with mediation or withdrew the request. Thirteen percent of cases opened in FY14 are pending.

PRS

In FY14, of the 49 requests for review completed, 30 resulted in recommendations to senior management, with 9 in favor of the requesting staff member and 21 in favor of management. Senior management accepted all 30 of the recommendations. Of the remaining 19 cases, 4 were dismissed due to lack of jurisdiction and the remainder were withdrawn or settled.

WBAT

In FY14, the number of cases disposed by the Tribunal was 20, and there were no cases withdrawn due to settlement. There were 12 rulings in favor of the applicants considered on either jurisdiction or on the merits. WBAT dismissed five cases for attempting to re-litigate matters already decided by the Tribunal.

EBC

EBC reviews allegations of staff misconduct including harassment, abuse of authority, fraud involving Bank Group benefits, and staff noncompliance with personal legal obligations. In FY14 EBC handled 230 complaints. Of these complaints, 115 resulted in an initial review, and 36 resulted in a formal investigation. EBC also responded to 744 conflict of interest queries in FY14.

To address the fear of reprisal, in FY14, EBC recommended a series of measures to the Office of the President. These recommendations included: the implementation of mandatory training for

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managers to promote a retaliation-free workplace, and specific suggestions on setting the appropriate “tone from the top” with reference to reprisal behaviors.

INT INT’s Internal Investigations Unit is charged with investigating allegations of serious fraud and corruption involving World Bank Group staff, as well as corporate vendors whose contracts are financed by BB or Bank-Executed Trust Funds. During FY14, a total of 143 staff (e.g., regular staff, former staff, extended- and short-term consultants and temporaries) made protected (whistleblower) disclosures to INT.

In FY14, INT substantiated nine cases in total; five of these were staff cases and four were vendor cases. During the course of its preliminary inquiries, the INT also established sufficient evidence to show that allegations against four staff members were unfounded, thus clearing them of any wrongdoing (an equally important outcome for both the Bank Group and its staff).

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