Ethics and Business Conduct Annual Report 2018 Embedding Ethics throughout the World Bank Group What We Do The Staff of the Ethics and Business Conduct Department The World Bank Group’s (WBG) values- and ethics-driven work- matters, EBC reports to the twin goals are to eliminate place at the WBG. EBC’s three Managing Director and Chief extreme poverty by 2030 and to business lines—Outreach, Train- Administrative Officer of the boost shared prosperity for the ing, and Values (OTV); Ethics WBG.  bottom 40 percent of each Advisory Services (EAS); and developing country.  For the Business Integrity Review (BIR)— Every year, thousands of Bank diverse workforce of the Bank are responsible for maintaining Group staff interface with EBC. Group, integrity, ethical behavior, this environment. The Ethics and OTV provides staff with knowl- and adherence to corporate Business Conduct Annual Report edge and understanding of our values are critical to the success 2018 presents EBC’s achieve- core values and the WBG’s of these goals.  ments for fiscal year 2018 and behavioral expectations, and aspirations for the future. multimedia trainings on conflict The Ethics and Business Conduct management, sexual harassment, Department (EBC) provides EBC is headed by the Chief Ethics and other timely topics. EAS outreach and training, advisory Officer, who is independent and offers advice and guidance to services, and investigations to reports directly to the President staff on navigating ethical secure a safe, respectful, and of the WBG. For administrative dilemmas and avoiding conflicts 2 Contents of interest as well as complying WHAT WE DO . . . . . . . . . . . . . . . . inside front cover with the WBG Staff Rules and The Staff of the Ethics and Business Principles of Staff Employment. Conduct Department (EBC) BIR conducts primary inquiries into allegations of misconduct, WORDS FROM OUR LEADERSHIP . . . . . . . . . . . . . 2 and may open cases and oversee investigations to determine President, the World Bank Group 2 whether enough evidence exists to Managing Director and Chief Administrative warrant further action. Officer, the World Bank Group 3 Chief Ethics Officer, Ethics and EBC has 27 seasoned staff and Business Conduct Department 4 consultants with specializations in business, compliance, communica- OUR CORE VALUES . . . . . . . . . . . . . . . . . . . . . . . . . . 7 tions, education and training, Embedding Ethics throughout the ethics, employment and labor law, World Bank Group international relations, fraud and anti-corruption as well as macro- economics.  Our diverse staff, from EBC BUSINESS LINES . . . . . . . . . . . . . . . . . . . . . . . 8 19 countries, have held positions Outreach, Training, and Values— at international finance institu- A New Strategy for Instilling Ethics tions, multilateral development and Values Understanding 8 banks, and the United Nations and Ethics Advisory Services—Helping to in nearly all WBG institutions. Mitigate Conflicts of Interest 16 Business Integrity Review—Improving The 2020 vision for EBC is to be a Our Investigations of Misconduct 24 world-class ethics department, adhering to best practices in investigations, training, and SPECIAL REPORT . . . . . . . . . . . . . . . . . . . . . . . . . . 33 advisory services, and setting Sexual Harassment—Taking Every standards in corporate ethics—in Measure Possible to Prevent Wrongdoing the promotion of ethical attitudes and behaviors in all the activities ON CALL . . . . . . . . . . . . . . . . . . . . . inside back cover of the institution. These practices Contact EBC are embedded in decision making and in the evaluation of the relevance, impact, and efficiency On the cover (left): A boy raises his hand in class in Burundi; Credit: UNICEF Burundi/Colfs. (Top right): EBC ensures that of the department.   WBG staff are grounded in the institution’s core values, displayed here. They are the basis for our embedding ethics throughout the WBG. Photo World Bank / Stevan Jackson. (Bottom right) World Bank Group Headquarters. Photo: World Bank / Simone D. McCourtie 1 President’s Message E very staff member at the World Bank Group The remaining core plays an important role in reaching our twin values—integrity, goals: to end extreme poverty by 2030 and to teamwork, and boost shared prosperity among the poorest 40 respect—are embedded in everything we do. Harass- percent around the world. In 2018, we launched the ment of any kind is incompatible with our values and World Bank Group’s refreshed core values to guide the way we aspire to work together. This is an area our work and improve how we work with each other. where we must maintain the highest ethical standards as an institution to help our people better serve our Our core values—impact, integrity, respect, team- clients in every country. work, and innovation—articulate what we care about most. They inform our decisions and shape our The World Bank Group’s department of Ethics and relationships with our clients and our partners. In Business Conduct strengthens our core values and short, they help us become a better Bank Group, so helps staff conduct operations the right way. We we can improve how we serve the poorest and most have a duty to avoid conflicts of interest; EBC vulnerable everywhere in the world. supports World Bank Group colleagues in this effort. And we have a duty to use our resources as efficiently When we infuse how we design, develop, and imple- and effectively as possible; EBC promotes efficient ment our programs with our core values, we can operations and addresses any suspicion of misuse accelerate progress toward our goals. Our new of resources. Human Capital Index, for example, is rooted in the first core value, impact. The Index gives heads of Our mission is literally etched on the wall at the state and ministers of finance a very clear picture of entrance to our headquarters: “Our dream is a world how much more productive their workers could be free of poverty.” How we accomplish that mission is with full health, a complete education, and the skills as important as the mission itself. I’m confident that needed for the future. together, we can bring our core values to life in meaningful ways and reflect those values in every- IFC’s Creating Markets campaign is also making an thing we do to deliver on our goals and end poverty impact, with solutions that multiply farm yields, on the face of the earth. boost job engagement, and power up solar energy. The Famine Action Mechanism (FAM), the first global partnership-driven technology to predict and help prevent famine, epitomizes the value innovation. Jim Yong Kim President The World Bank Group 2 MDCAO’s Message For the first time, this year’s report highlights how the WBG is improving our approach toward sexual harassment, a top priority of senior management. You may read more about this in the report as well as get an overview of the varied areas of EBC’s work, including outreach and training, the conflicts of I am pleased to present this year’s Annual Report interest program, investigations, and advisory for the World Bank Group Ethics and Business services. Conduct Department. I wish to welcome our new Chief Ethics Officer, Jorge Our clients around the world and our shareholders Dajani, whose leadership is helping to bring about a are relying on us—now more so than ever—to deliver cultural change to the WBG based on transparency, for the world’s poorest. This is clearly laid out in the trust, and accountability. I would also like to thank recent capital increase commitments and our former EBC head Ousmane Diagana for his dedica- compact with shareholders, the Forward Look. EBC’s tion, innovation, and strategic leadership. work fosters an ethical and values-based culture, which makes delivery on our commitments possible. In closing, I want to reiterate my support to the work of EBC and to the overall goal of making the World The World Bank Group aspires to maintain a safe, Bank Group a leader in excellence, both in what we respectful, and healthy workplace. Our vision to do and how we do it. embed ethics throughout the Bank Group will allow us to implement the highest standards of governance and accountability in our institution. One of EBC’s achievements last year was the launch of our Shaolin Yang refreshed core values, helping to bring to life our Managing Director and Chief Administrative Officer commitment to truly live our values every day at work. The World Bank Group 3 Chief Ethics Officer’s Message T he WBG’s Ethics and Business Conduct Bank Group. The Department is increasingly focused on services are easily shifting the institution’s culture by embed- accessible and confidential, and the team is respon- ding ethical values in everything the WBG does. sive: 93 percent of close to 1,000 queries received in Transparency, trust, and accountability need to be fiscal year 2018 were addressed within two days. at the center of everything we do. And this culture The Outreach, Training, and Values Unit has reached shift must start from within, beginning with EBC, to more than 4,600 staff in HQ and 33 country offices, strengthen our role as a cohesive and proactive while leading the work in refreshing the Bank Group’s department. EBC is ensuring that ethics is present core values and the elaboration of the new Code of throughout the decision-making process of the Bank Ethics and Conduct. Furthermore, Ethics has been Group. Our first and best line of defense is to create gradually increasing its presence and synergies with a culture where staff, managers, and leaders are other areas of the Bank Group, including its involve- trained and empowered to make ethical decisions. ment in key committees to mitigate risks in areas such as audit, enterprise risk, and procurement. In this report on EBC’s activities and performance in fiscal year 2018, we highlight some of our key In fiscal year 2018, EBC actively worked to address priorities: prevention, fostering a respectful work and resolve misconduct. More than 250 allegations environment, and addressing misconduct. were received, with harassment being the primary source of misconduct. Moreover, in the wake of the Prevention is a key priority. The Ethics Advisory #MeToo and #AidToo movements and increasing Services Unit is essential to prevent potential efforts by the WBG to address sexual harassment, conflicts of interest and reputational risk to the CONTINUES ON PAGE 6 4 Moving Forward EBC made significant strides during fiscal year 2018. Still there is much more for us to do to grow from “good” to “excellent” and to create a fully safe workplace environment. Here is what we will need to do to attain these goals: EBC will launch a new three-year holistic and people-centered strategy that will include benchmarking EBC’s policies and procedures against best practices. EBC aspires to become the Center of Excellence in Ethics, evaluating results based on detailed empirical evidence and further fostering our corporate culture based on values. Our ultimate goal is to embed ethics throughout the entire decision-making process in the World Bank, IFC, MIGA, and ICSID. EBC will continue to demonstrate leadership in fighting any kind of harassment in the workplace, walking the talk on our values of respect, integrity, and teamwork. EBC will seek to improve WBG staff perception through more proactive outreach and communication. The goal will be to develop greater trust in the department as a promoter of ethics and provider of ethics services, not a policing department or overseer.  We will increase the speed of our investigations, especially sexual harassment cases, and improve the transparency, efficiency, and fairness of the investigatory process through a series of process and rule changes; the department will increase reporting outcomes on a periodic basis. We will further develop and enhance our training, communications, and advisory activities to ensure that we can proactively provide value-added services to every staff member of the WBG. We will persevere to add value to the Bank Group’s processes, beyond sorting out individual disputes. For instance, EBC will become an active member on WBG risk and procurement committees. In the future, EBC will also develop guidelines for operational conflicts of interest within the World Bank Group. We will implement an onboarding Declaration of Interests (DOI) program to ensure that all individuals hired from outside the Bank Group at the GH or GI levels, or who are promoted from within the Bank Group from GG to GH, complete a DOI within 30 days from the date of their onboarding. This will allow the EBC team to immediately identify and manage potential conflicts of interests. 5 the number of sexual misconduct allegations more than tripled to 35 in fiscal year 2018. Sexual harassment is antithetical to our core values of respect, integrity, and teamwork, and we are determined to tackle this issue head on. For that reason, the WBG’s senior management tasked EBC with institutional coordination and implementation of a holistic and people-centered strategy to scale up prevention and improve the current system for addressing cases of sexual misconduct. EBC is collaborating with Internal Justice Services (IJS) in this endeavor. Our objective is to manage a fair, transparent, and effective process, based on accountability and aimed at building the trust necessary to create a culture where those who bring allegations are listened to, where their concerns are remedied, and where they do not have to fear for their career or their wellbeing in coming forward. In such an environment, staff must be equipped with the tools to address any type of ethical concern or instance of misconduct. EBC will continue to raise awareness through targeted training, communications, events, and other outreach efforts. Finally, EBC will adopt a three-year strategy to catalyze a change in the WBG’s culture and to ensure that staff are able to continue to work in an environment grounded in ethics. This is not just about “ticking boxes” to guarantee compliance with the Bank Group’s Code of Ethics and Conduct and the Staff Rules. The work of my department must be geared toward empowering staff across the Bank Group to make ethical decisions that prevent misconduct from occurring. This will require a joint effort by the entire institution, including WBG management, staff, and key stakeholders. I hope you find interesting reading about EBC’s progress in 2018 and our common vision for our shared future. Jorge Dajani Chief Ethics Officer The World Bank Group 6 Our Core Values What We Care about Most impact teamwork We help our clients solve their greatest We work together to achieve our goals development challenges • We seek diverse views, perspectives and experiences • We use our convening power, commitment to • We encourage challenging ideas and constructive excellence, and deep professional expertise to disagreements facilitate outcomes that improve people’s lives • We collaborate across boundaries and borders • We make decisions that prioritize impact over politics or process • We collectively own team deliverables, decisions and accountabilities • We stay at the cutting edge in our fields of expertise • We celebrate and reward team successes • We leverage the best knowledge and expertise available, from within and outside the WBG • We partner with our clients with flexibility and agility integrity We do what is right respect • We hold ourselves, our clients and our partners to the highest ethical standards We care for our people, our clients, our partners • We put the interests of the WBG and our clients first and our planet We ensure our words are consistent with our actions • • We treat everyone with dignity and compassion • We take ownership of our actions and decisions • We embrace diversity and pursue inclusion of • We communicate with honesty and transparency backgrounds, identities, cultures, work styles and • We question actions that are inconsistent with perspectives our values • We remain humble in carrying out our mission • We support work-life balance of our colleagues across the globe • We apply policy and standards with fairness and innovation consistency We learn and adapt to find better ways of • We promote sustainable solutions in our operations doing things and in our work environment • We challenge assumptions and take informed risks • We approach our work with curiosity and passion • We reflect on, and learn from, mistakes and failures • We capture, apply and share knowledge consistently • We ask for and learn from feedback 7 Outreach, Training, and Values A New Strategy for Instilling Ethics and Values The Outreach, Training, and Values (OTV) team is responsible for managing the EBC outreach, training, and values activities for WBG staff. In the past fiscal year, we focused on becoming more proactive and deliberate in what we do and how we do it by priori- tizing. This strategy guided us as we decided where to focus our outreach, and developed such products as the well-received, timely e-learning module “Preventing and Addressing Sexual Harassment at the WBG,” created at a critical time. OTV’s goals in outreach and training are to help WBG staff acquire: (1) knowledge and understanding of our core values, common ethical issues, and ethical and behavioral expectations; (2) the right skills and tools for navigating ethical dilemmas and OTV team (left to right): Leonard Newmark, Olesya Gafurova, OTV situations; and (3) a strong ethical and values-based Manager Trang Nguyen, Junko Saito, Deepa Mahesh, and Mary Anne Magpoc. Not pictured: Stella-Monica Mpande. mindset over time. 8 Xiaolei Zeng, audit supervisor and VP of DARE (left) talks about invisible identities, including unseen disabilities. From left to right: Monica Oldham (Senior HR Specialist) and April 10, 2018, Ethics at Work learning session, with keynote speaker Souleymane Bachir Diagne (Columbia University Professor of French and Philosophy) and OTV Manager, Trang Nguyen. Impact OTV stays at the cutting edge of training and learning expertise to deliver original, engaging products that are driven by ethics and the core values, delivered institu- tion wide both face to face and online. • In fiscal year 2018, OTV connected with 4,615 staff (see Table 1.1) through outreach and training activities, both directly and by videoconference. We reached staff in Washington, DC, and the following 33 country offices: Accra, Addis-Ababa, Amman, Antananarivo, Bangkok, Brasilia, Buenos Aires, Bujumbura, Cairo, Chennai, Dar es Salaam, Dili, Djibouti, Islamabad, Istanbul, Johannesburg, Kabul, Khartoum, Kigali, Kyiv, Luanda, Manila, Maputo, Monrovia, Mumbai, Nairobi, New Delhi, Ouagadougou, Pretoria, Pristina, Skopje, Tegucigalpa, and Yaoundé. • Through our flagship product—“Creating Table 1.1 Outreach to WBG Staff Worldwide, FY18 a Respectful and Harassment-Free Workplace”—OTV has helped leaders Ethics at Work lectures 416 and their teams across the WBG to Ethics Awareness seminars 2,098 engage in impactful, meaningful conver- “Creating a Respectful and Harassment-Free sations about how each member, and the Workplace” conversations 2,101 team collectively, can contribute to strengthening the work environment. Total outreach 4,615 Feedback from participants has been 9 very positive, and OTV will significantly increase this activity in response to increased demand next fiscal year. • EBC will continue to strengthen partnerships with the Human Resources Development Vice Presidency (HRDVP) and the Staff Association to regularly engage staff and communicate the WBG core values. We are in the process of developing a guide to help leaders converse with their teams about how to put the values into action. We worked with leaders to pilot these conversations in fiscal year 2018 and anticipate making the guide available to all leaders in early 2019. Chart 1.1 Snapshot of OTV-Facilitated Conversations Delivered, FY18 10 EBC Counsel Yasmeen Nasser Al Tabbaa, Investigator, presents to WBG staff at EBC’s “Creating a Respectful and Harassment-Free Workplace” facilitated conversation. Integrity Of institution-wide significance, EBC led the drafting of a new Code of Ethics and Conduct, oriented closely with the core values, in fiscal year 2018. • The refreshed WBG core values were presented to the Bank Group on May 2, 2018. EBC coordinated this initiative on behalf of the WBG under the direction of the Values Steering Committee, with selected vice presidents from across the WBG. The working group, with representatives from the Staff Association, HRDVP, IFC, and MIGA, played a critical role in translating staff inputs into the new core values. They are a direct result of the candid views and inputs that over 1,000 staff shared through more than 40 face-to-face focus group discussions in Washington, DC, and country offices. These talks were followed by an online engagement targeted to all staff at all levels, and designed to ensure the new core values embraced the diversity of the WBG family. • EBC drafted a new Code of Conduct to replace the 2009 code. Distributed to staff for input in early fiscal year 2019, the revised code is aligned to our core values and is meant to be positive and aspirational, focusing on expected behaviors rather than replicating the Staff Rules in a strict manner, as in the past code. The final draft will be submitted to senior management by the end 11 of calendar year 2018, and the new Code of Ethics and Conduct will go into effect in early January 2019. The document espouses the highest ethical standards and emphasizes that our actions reflect our words. • OTV continued to provide “Ethics Awareness” training throughout the fiscal year, both by responding to requests coming from business units and as part of organizational priorities such as staff orientation for 354 new employees at IBRD and IFC. OTV delivered training to employees at staff meetings and during retreats for units including the Integrity Vice Presidency and the Corporate Secretariat; Brown Bag Lunches for the WBG Domestic Abuse Prevention Program and Global Partnership for Education; and regular sessions for the WBG Internal Justice Services’ Respectful Workplace Advisors, and Country Directors and Country Managers. Above: Ethics Officer Stella- Monica Mpande engages with WBG staff at EBC sponsored “Creating a Respectful and Harassment-free Workplace” workshop. Right: OTV Manager Trang Nguyen presents a case study at a “Creating a Respectful and Harassment-Free Workplace” facilitated conversation at IFC. 12 Respect In fiscal year 2018, respect was evident in our efforts to include as many different views and inputs, and reach as many staff, as possible, as well as expose staff to new perspectives. • OTV continued to raise awareness of ethical issues through the Ethics at Work lecture series by inviting outside speakers to engage with staff. Attendance was typically standing room only, with total attendees at 416. We held three Ethics at Work lectures in fiscal year 2018, all highlighting themes related to respect: “Curiosity: A Missing “Bullies Be Gone: A “Our Identity— Link in Human Potential” Guide to Understand- It’s Complicated” Explored both intellectual ing and Beating Them” Examined how identity and social curiosity as Addressed the issue of can affect how we a key to boosting workplace bullying. behave at work. human potential. Box 1.1 OTV Focus on Country Offices Over the fiscal year, OTV expanded our outreach to country offices. We focused on the Latin America and Caribbean, South Asia, and Middle East and North Africa regions, particularly in areas where we had not recently been present or where there were special needs from the country offices. In addition to deploying our DC-based team, we leveraged our senior-level Chief Counsel based in Nairobi (see Box 1.2) and hired a Senior Ethics Officer based in Chennai to respond to ethics-related inquiries more efficiently and effectively. They will lead the development of products geared specifically to country office needs. In Nairobi, EBC delivered sessions on general ethics issues and political activities. In Chennai we also delivered multiple sessions of “Creating a Respectful and Harassment-Free Workplace” and supported the Chennai leadership to begin a conversation on how the WBG’s core values are relevant to the Chennai office. 13 Teamwork While EBC’s outreach and training is managed by the OTV team, we ask colleagues from both the Ethics Advisory Services (EAS) and Business Integrity Review (BIR) units to deliver training and facilitate conversations, presenting “one EBC” to our clients across the WBG. This approach helps our clients put a face to EBC staff who may be providing them advice on how to manage a potential conflict of interest or carrying out an investigation on their behalf. We also team up with staff from other units such as Human Resources and the Ombuds Office to deliver our outreach and training activities. In addition, OTV partners with many departments across the World Bank Group to deliver training to staff. • We partnered with Human Resources to deliver “Giving and Receiving Feedback” in Nairobi, New Staff Orientation on a monthly basis, and a special orientation program for staff going to fragile, conflict, and violence affected countries. • OTV delivered targeted training to IJS Respectful Workplace Advisors to support them in their role as first-line support to staff. • EBC participated in events organized by partners such as Internal Justice Services Week and Diversity & Inclusion Day. On February 28, 2018, WBG staff attend the curiosity and learnability Ethics at Work • OTV’s manager is a member of the staff-led Working Group on Sexual learning session hosted by the Ethics and Business Conduct Harassment, and a member of the HR-led Performance Management Department (EBC). Steering Committee, which was tasked with recommending a new approach to performance management for the WBG. Innovation Innovation has been at the heart of OTV’s activities this past year in terms of developing new products and approaches, including e-learning, videos, facilitation activities, and others. The results of OTV’s efforts, such as the highly praised “Creating a Respectful and Harassment-Free Workplace” and new e-learning courses show the passion and curiosity with which each training product is developed. In fiscal year 2018, OTV launched two e-learning modules: • “Conflict of Interest Risk Management for Your Project” was launched in fall 2017. It targets World Bank Group staff, clients, and partners, and provides participants with the skills to identify, assess, and manage conflict of interest risks by using a variety of scenarios commonly seen in development projects. In fiscal year 2018, this course was completed by 48 staff and 77 external partici- 14 pants, such as donors, members of civil society, government counterparts, and private sector representatives. Considering the participation numbers, EBC will promote “Risk Management” more widely in fiscal year 2019. • “Preventing and Addressing Sexual Harassment at the WBG” was developed in house and launched in June 2018 (see the Special Report on Sexual Harassment, page 33). Box 1.2 EBC Outreach to Africa In addition to delivering on EBC’s mandate, Nairobi-based EBC staff have supported a number of regional and international organizations to adopt or revise their own policies on sexual harassment, sexual exploitation, and abuse. In keeping with the values of teamwork and innovation, during fiscal year 2018, EBC Nairobi provided technical support to: • the African Economic Research Consortium by sharing best practices as well as pertinent policies, rules, and procedures to assist the regional organization in setting up its own ethics unit; • the African Union by assisting the African Union High-Level Committee as it grappled with effec- tively and pragmatically addressing staff concerns related to ethics, workplace conflict, and oversight; and • the implementation support mission for the Kenyan Judicial Performance Improvement Project, which is based on increasing access to courts and timeliness of judicial services, quality decision making, and fiduciary compliance. In addition, the Nairobi-based Chief Counsel was invited by the World Intellectual Property Organi- zation, a United Nations agency based in Geneva, to deliver a presentation on the WBG ethics framework and recurring ethics themes in international organizations, particularly international financial institutions. EBC Nairobi was also invited by USAID to a knowledge-sharing event attended by 100 representa- tives from international and local USAID implementing partners. The Chief Counsel shared about the WBG policies and processes in place to build staff confidence in the IJS at the World Bank Group, to handle misconduct, prevent retaliation, and establish a respectful workplace culture in the Bank Group. 15 Ethics Advisory Services Helping to Mitigate Conflicts of Interest Every business day, the Ethics Advisory Services (EAS) team responds to an average of four requests for advice and guidance on following the WBG values and complying with the Staff Rules and Principles of Staff Employment. In addition to providing a high volume of compliance expertise, the EAS team manages the two Declaration of Interests (DOI) programs of the WBG, the ethics helpline, and in partnership with the Global Environment Facility (GEF), during fiscal year 2018 acted as Ethics Officer of its Ethics Committee and implemented the first DOI program for its Council. In fiscal year 2018, EAS received 925 requests for advice, an increase of 9 percent over the previous year’s 846 queries. Thirty-four percent of all queries EAS team (left to right) Gabriela Beal, Suzhe Jia, EAS Manager received related to questions about outside activities Sylvie Dossou, Dawn Mpati, Stan Simpson, and Selina Talengie and outside employment. This includes questions Katenga-Kaunda. 16 EAS Senior Counsel Dawn Mpati (center) presents to WBG staff at an EBC “Creating a Respectful and Harassment-Free Workplace” facilitated conversation. about holding board positions in outside entities, teaching, and publishing. About 14 percent of the queries received related to relationships, which encompasses questions about the recruitment of relatives of staff by the WBG, and the assign- ment of spouses or domestic partners also at the WBG, or Table 2.1 EAS Advice by Category, FY16–FY18 intimate relationships between staff members. The remainder of Subcategory FY16 FY17 FY18 our advisory work involved answer- Outside Activities & Employment 284 311 317 ing a mix of queries mainly related Future or Former Employment 112 103 94 to gifts, political activities, and Close Relatives/Relationships 112 112 129 financial conflicts of interests (see Table 2.1). Vendor Procurement 50 60 95 External Services 48 48 42 Gifts, Medals, & Honors 42 47 61 Personal Financial Interests 20 17 21 Public Statements & Disclosures 32 40 63 Operational 29 20 6 Other 48 88 97 Total 777 846 925 17 Impact EAS experts are trained to be agile to address client needs swiftly and effectively. The high number of EAS cases, especially in ethical areas concerning close relatives and spouses, outside activities (other), outside employment, and procurement, made this a challenge. EAS staff were able to respond to 93 percent of queries within 48 hours in fiscal year 2018, an increase of 3 percent over fiscal year 2017, and 68 percent of queries in one day. To support the WBG’s policy of simplification and agile processes, EBC plans to abolish the Outside Interests Committee (OIC) and replace it with decisions by the Chief Ethics Officer. The Staff Rules referring to the OIC will be changed in fiscal year 2019, in close consultation with the Staff Association, IJS, Legal Vice Presi- dency, and HRDVP. Integrity As the value of integrity states: the interests of the WBG and our clients come first. Corruption and poor governance are major challenges to the institution’s twin goals. One of the best ways to mitigate potential conflicts of interest and corrupt practices is to require transparency and disclosure. • EAS oversees two Bank Group DOI programs, which are designed to mitigate real or perceived conflict of interest risks. The Senior Management Team and Vice Presidents DOI Program required the 42 most senior individuals in the organization in fiscal year 2018, including the Bank Group President, to complete a declaration that is summarized and publicly posted on the Internet. At the start of their appointment, all new vice presidents receive individual briefings on compliance with the conflict of interest requirements of the Bank Group, and senior management regularly consult EAS for guidance on conflicts of interest concerns. There were no unresolved issues in fiscal year 2018. The Staff DOI Program required 2,466 manager-level staff members, as well as designated staff in other sensitive roles, in fiscal year 2018 to complete a confidential DOI that was reviewed by EAS and internal consultants. Eighty-seven percent were closed at initial review, and the balance will be finalized in due course. At the close of fiscal year 2018, EAS was finalizing the Staff DOI Program for the year, with 95 percent of the cases closed. • The Staff Rules address staff members’ ability to participate in employment outside the WBG. While some activities do not require approval, others do. For employees in certain staff grade levels, requests to engage in particular activities are considered by the Outside Interests Committee. The OIC comprises representatives from throughout the Bank Group and considers staff members’ 18 Ethics Awareness session held at HQ. requests to provide services to a for-profit entity or initiative, paid services to a nonprofit entity, unpaid services to a nonprofit entity that has a business relationship with the Bank Group, or services to a government. In fiscal year 2018, the OIC considered 15 requests to engage in outside em- ployment and activities from staff members employed at grade levels GF and above. Ten of the requests were approved. Chart 2.1 EAS Consultations by Grade Level, FY18 Outside employment and activities is a GH+ subject area where EAS sees most misunder- standing from staff about Staff Rules. Many 27% UA & UC* staff accept board positions in outside 10% private entities without realizing that they 4% Non-Classified require approval because such concurrent 8% GA to GD external employment is restricted by the 51% WBG. Private sector employment is not permitted. GE to GG •I  n Chart 2.1, higher levels of consultation *UA/UC grades are designated for JPAs, the Chair of the at the senior level show the high ethical Staff Association, staff on Special Assignments, as well commitment of the managers in the as staff hired through the partnership programs (i.e., institution. Low use of service by STCs is, Donor Funded JPOs, Saudi Recruitment, Global or Voice in part, because some conflict-of-interest Secondment). Source: HR’s Quarterly Business Reports. rules do not apply to the consultants. 19 Respect The members of the Ethics Advisory Services team help staff avoid potential conflicts of interest. Particularly in fiscal year 2018, this action flourished into a deeper and more widespread trust in and respect for the EAS’s ability to advise accurately, confidentially, and promptly. • The increase in EAS queries from 846 to 925 in fiscal year 2018—a jump of 9 percent—can be attributed to a combination of factors. There is broad and growing awareness among staff of EAS’s availability and a greater satisfaction with EAS’s answers to bring about positive outcomes in terms of interactions with staff. This gradually leads to an increase in favorable word-of-mouth recommendations among colleagues on the unit’s advisory services. There is also a rise in trust that staff and consultants across the Bank Group can confidentially discuss difficult situations with EAS with a clear expectation that questions will be answered swiftly and accurately. In fiscal year 2018, staff expressed satisfaction and trust related to services and advice provided by EAS. This year staff expressed increased satisfaction in EAS’s services. Staff found EAS’s guidance on WBG Staff Rules particularly helpful. Teamwork EAS guides staff to align their professional conduct and private interests with ethical standards. The team members also reinforce the special responsibility of staff to avoid situations and activities that might reflect adversely on the organi- zation, compromise its operations, or lead to real or apparent conflicts of interest. • In fiscal year 2018, Ethics Advisory Services worked closely with the BIR and OTV teams on Ethics and Business Conduct Department initiatives. For example, EAS staff are an active part of the intake team to determine if or when an Professor of Business Psychology at University College London, Tomas Chamorro-Premuzic, shares his findings on curiosity and learnability at the Ethics at Work learning session. 20 allegation should be channeled to investiga- Chart 2.2 EAS Case Percentage by WBG Institution, tions or if it could be handled as a conflict of FY18: Advice Given by WBG Institution interest. EAS staff also regularly participate in delivering “Creating a Respectful and IFC Harassment-Free Workplace” seminars, 21% among other activities. MIGA 1% 4% Others (ICSID, •E  AS partnered with the Global Environ- GEF, GPE, etc.) ment Facility (GEF) in fiscal year 2018 to 74% World Bank serve the role of Ethics Officer for the (IBRD & IDA) Ethics Committee of the GEF Council. While EAS has provided support in design- ing ethics policies for partnerships in the past, this is the first time that we were acting as an Ethics Officer for the governing body of a partnership. In this capacity, EAS provided substantial input, reviewed, and proposed amendments to the Policy on Ethics and Conflicts of Interests applicable for all GEF Council members, alternates, and advisors. EAS also designed and implemented the first DOI program for the GEF Council, achieving 100 percent compliance with the corresponding reporting obligations. • EAS directed onboarding of all new WBG staff and the IFC induction program regularly. Innovation EAS asks for and learns from feedback about service quality. The direct, person- to-person feedback captures the experiences and input of complainants, witnesses, and subjects involved in reviews of allegations of suspected misconduct. Ratings are consistently good. • Going forward, EAS will implement a systematic survey to our clients in order to collect anonymous feedback on the quality and timeliness of the service provided. • The EAS team will soon set up an onboarding DOI program. In line with interna- tional best practices, all individuals hired from outside the Bank Group at the GH or GI level, or who are promoted from within the Bank Group from GG to GH, will complete a DOI within 30 days from the date of their onboarding. This will allow EAS to immediately identify and manage potential Conflicts of Interests (COI) instead of waiting for the next DOI cycle and identifying potential COI months after the onboarding. 21 Preventing and Addressing COIs The EAS team handles each conflict of interest case by applying knowledge gained over years of finding better ways of doing things while abiding by the rules set by the EBC in concert with the Bank Group. Here we share some of that knowledge through sample cases and policy feedback. CASE: A firm in which a short-term consultant (STC) had an ownership interest competed in a procurement process to provide services under a Bank-financed project. The STC in question was working for the Bank on the same project at the same time. The Task Team Leader (TTL) of the project requested EAS’s guidance to resolve the potential conflict of interest. EAS advised the TTL and Project Imple- Financial mentation Unit (PIU) to consider and manage the conflict of interest risk, and conflict consequently, the PIU decided not to award the contract to the STC’s company. of interest Additionally, EBC recommended that the TTL inform management of the imple- mented mitigating measure. REMARKS: Bank policy requires that staff members cannot have interests in firms participating in procurement processes under a Bank-financed project. A conflict of interest may arise when a staff member has competing professional and personal interests that can make it difficult to fulfill duties impartially. We are required to perform our duties in a manner that preserves integrity—one of the WBG’s five core values. CASE: A close relative of a WBG staff member was appointed advisor to a high-level government official. In the new role, the relative became the focal point at the government agency for all WBG matters in the specific country office. This meant that potentially, the staff member, who is located in the same country office, could be working directly with the close relative on official WBG matters. Family EAS worked with the management team to put in place a risk management relationship strategy to ensure that the ongoing work program of the staff member did not conflict include tasks that would overlap with the official duties of the close relative. of interest Management established a country office focal point (who is not the relative) to be responsible for communications between the WBG and the government agency. Additionally, management sent a general correspondence to all staff in the country office to remind them of their obligation to keep nonpublic WBG informa- tion confidential, and to be cautious with regard to information shared in public forums and other social media. REMARKS: A perception of favoritism and nepotism likely arises when close relatives work together, whether they both work within the WBG or if one of the relatives works in a WBG counterpart. To avoid such perception, the WBG policy is that close relatives and spouses should avoid working on the same matters (even when in counterpart entities), because working together brings them into routine professional contact, which creates conflict of interest risks. 22 CASE: In the past year, the Outside Interests Committee granted approval for a staff member to accept nomination and appointment to a position in a commission on housing at a country or municipal level. The commission advises the Country Executive and Country Council on ways to handle issues associated with common ownership of property in communities and adjudicates housing disputes between Outside residents. The OIC approved the request provided that (1) the position is unpaid; employment— (2) the staff participation in committee and council matters takes place on the public office staff’s own personal time and without using WBG resources; (3) the position is held in a personal capacity; (4) the staff’s WBG affiliation is not referenced (the staff is not representing the WBG) in connection with the position; and (5) the country does not have any business relationship with the WBG while the staff member is involved in country administration matters. REMARKS: EAS receives many queries about whether WBG staff may hold public office. The WBG makes a distinction between national public office and other public office positions. A staff member who evidences intent or undertakes by conduct or stated decision to become a candidate for or accept an appointment to national public office is required to resign from WBG employment. For any other public office, staff are required to seek approval from the OIC. EAS performs the Secretariat function for the OIC and provides advice and guidance to staff about outside activities in which they may engage. CASE: A full-time staff member requested permission to perform mission-readiness training activities at an outside private entity. REMARKS: The OIC denied the request because it considered the activity to be a paid consulting service provided to a for-profit entity, rather than a permissible teach- ing activity within the meaning of the Staff Rules. Part-time teaching is allowed under Outside the Staff Rules provided that the immigration laws permit the activity in the country employment— where the staff member is stationed. The Staff Rules lean toward interpreting teaching versus teaching in an academic context, that is, lecturing, delivering talks at conferences, private writing, and contributing to academic research or to the design of academic courses. consulting Although each request is considered based on its own facts, the Staff Rules state that the OIC will generally not approve a request from a staff member holding an appointment at grade GF or above, or under an ungraded position, or Extended Term Consultants at level EC2 or above, who is providing full-time service to the WBG, to engage in self-employment for profit or to perform any paid services for any outside private entity, whether as employee, director, partner, or otherwise. 23 Business Integrity Review WBG Chief Ethics Officer Jorge Dajani speaks at the October 18, 2018, UK Department for International Development event in London on “Putting People First: Tackling sexual exploitation and abuse, and sexual harassment, in the aid sector.” Improving Our Investigations of Misconduct The vast majority of WBG personnel uphold the highest ethical standards in the work environment and communicate and act with honesty and trans- parency. A few, regrettably, do not. Their behavior hurts the integrity and reputation of the WBG and the functioning of its individual offices and some- times the lives of their coworkers. As part of our mandate, BIR diagnoses and manages incidents when staff bring forward concerns about potential misconduct. BIR’s core objective is twofold: (1) to serve as impartial and independent fact finders; and (2) to provide a fair opportunity and process by which staff can clear up any uncertainty BIR team (left to right): Yazid Al-Eryani, Kosta Nesterov, Jose Luis Martinez, Ashok Rau, Simisola Adejumo, Lemlem Workalemahu, if or when their activities or behavior is called into BIR Manager Jodi Glasow, Doreen Kapakasa, Sylvia Winborne, question. BIR’s intent is to stop misconduct in all its Adebisi Oyelade, Suzan Sgaier, Jules Baughns, and Philip Caine. Not pictured: Yasmeen Nasser Al Tabbaa, and Eliane Kabwa. forms whenever or wherever it occurs. 24 When an investigation is completed, BIR provides a report to the Vice President, Human Resources (HRDVP), a basis from which the HRDVP can decide whether the staff member’s behavior constitutes misconduct, and what sanction, if any, to impose. BIR also helps to ensure that the Bank Group’s Staff Rules, policies, and procedures are consistently followed. Disposition of Cases Stages: Intake Preliminary Investigation Report to inquiry HRDVP Not every allegation received by BIR results in an investigation. The process of reviewing an allegation of misconduct involves four stages: (1) intake; (2) prelimi- nary inquiry; (3) investigation; and (4) report (see Table 3.1). Here is a breakdown of how BIR disposed of the 250 allegations in fiscal year 2018: 1. Intake Upon receipt of an allegation, EBC assesses the information gathered to determine 115 IN FISCAL whether the complaint, if proven, would YEAR 2018, 115 constitute misconduct under Staff Rule 3.00. ALLEGATIONS OF MISCONDUCT If it does not, EBC may refer the complaint to WERE CLOSED another appropriate area of the WBG, such AT THE INTAKE as the Internal Justice Services or line STAGE. management, to address the matter. EBC also may offer guidance, consultation, and advice if the complaint is not suitable for review through an investigation. 2. Preliminary Inquiry If an allegation is within EBC’s mandate and a less formal intervention is not appropriate, 97 IN FISCAL EBC conducts a preliminary inquiry to YEAR 2018, 97 determine whether there is a sufficient basis ALLEGATIONS OF MISCONDUCT for a formal investigation of the allegation. WERE CLOSED At this stage, EBC seeks to discover the facts AT THE of the case by collecting evidence, including PRELIMINARY INQUIRY STAGE. interviewing witnesses and reviewing documents. During this stage, EBC assesses the allegation to determine if the evidence is credible and verifiable. 25 3. Investigations When EBC finds a sufficient credible basis for investigating the allegation, the department 19 IN FISCAL YEAR begins a formal process. A written Notice of 2018, 19 Alleged Misconduct is issued to the subject ALLEGATIONS OF MISCON- staff member to inform him or her of the DUCT WERE allegations and seek a response. An investi- CLOSED AT THE gation enables EBC to establish whether INVESTIGATORY STAGE. there is strong enough evidence of miscon- duct or whether the case should be closed. 4. Report After the formal investigation stage, if EBC determines that there is sufficient evidence 19 IN FISCAL to support an allegation of misconduct, it YEAR 2018, 19 prepares a report of its findings for the ALLEGATIONS OF MISCONDUCT HRDVP to review. The HRDVP determines RESULTED IN whether the evidence supports a finding of INVESTIGATION misconduct, and if so, decides on the appro- REPORTS THAT WERE SENT TO priate disciplinary sanction. THE HRDVP FOR REVIEW AND A breakdown of EBC’s findings in the 19 DECISION. allegations and the resulting disciplinary decisions can be found in Table 3.4. 283 allegations Table 3.1 How BIR Managed Cases, FY18 TOTAL NUMBER OF ALLEGATIONS processed PROCESSED IN FY18 283 CLOSED: 250 Brought forward from previous year (FY17) Reported in FY18 31 252 33 carried Total number of allegations closed in FY18 250 over Closed at Intake 115 Closed during Preliminary Inquiry 97 Closed during Investigation 19 Reports to HRDVP 19 Total number of allegations carried over to FY19 33 26 Impact BIR makes decisions about allegations that prioritize impact. The unit addresses each allegation during a preliminary inquiry to determine whether an investiga- tion is required, keeping in mind the concerns of the reporter and moving forward with sensitivity to all parties involved. In doing so, the investigators adhere to the principles of due process and fairness, holding ourselves to the highest standards. • BIR measures its impact not by the number of allegations that result in investi- gative reports sent to the HRDVP, but by the number of allegations that the team has mitigated and addressed. As reflected in the numbers, the majority of allegations are closed at the intake, preliminary inquiry, and investigation stage. What is the basis for closing at these stages? The decision to close an 24% allegation is due to a variety of factors. For example, staff often approach BIR 60 consultations seeking advice. Our investigators provide counsel and guidance to staff in assisting how and where to best resolve their concerns. Of the 250 allegations closed in fiscal year 2018, BIR provided complainants with advice and consul- REFERRALS: tation in 60 allegations (24 percent). For those matters that were not suitable 22 for investigations, BIR referred the parties to different services in the IJS for resolution in 22 allegations (8 percent). 8% • In other instances, some complainants simply wanted to come forward to create a record but did not want BIR to move forward with a review. This happened in approximately 29 allegations (12 percent). In 15 allegations (6 percent), BIR did not have jurisdiction to review the matter as the issue raised was not alleged misconduct. In six allegations (2 percent), BIR could not reach the reporters, as the allegations were filed anonymously, and therefore the matters were closed. Finally, in only one allegation (0.4 percent), BIR closed the matter as the parties reached a mediated settlement. • In the remainder of the 98 allegations (40 percent), BIR determined that the concerns alleged involved inappropriate behavior, but did not rise to the level of misconduct and/or there was insufficient evidence to support misconduct. In the majority of these cases, BIR contacted management and encouraged management to address the subject’s inappropriate behavior through perfor- mance management, counseling, and monitoring. In those cases where BIR served the subject with a notice of alleged misconduct, BIR informed the subject of his or her inappropriate behavior and explained how it was inconsis- tent with the WBG’s Staff Rules and Code of Ethics and Conduct. Many times, after interviewing the subject, the subject was not aware of the impact that the alleged behavior had on the complainant.  Alternative remedies were identified to resolve the matter, such as management intervention and moni- toring of behavior. 27 • This year, BIR efficiently closed 115 cases at intake and a further 97 cases during the preliminary inquiry. Nineteen cases were referred to the Bank Group’s Vice President of Human Resources Development (see Table 3.2). • It is noteworthy that BIR closed 14 more cases in fiscal year 2018 (248) than in fiscal year 2017 (234) despite receiving 24 more cases this year than in fiscal year 2017 (228 cases in fiscal year 2017 and 252 in fiscal year 2018). Table 3.2 Types of Allegations Reviewed that Resulted in This is due in part to the heightened Reports to HRDVP, FY16—FY18 focus on prioritizing sexual harass- ment allegations and bringing Cases FY16 FY17 FY18 resolution to these matters in a Abuse of Authority 1 0 2 more timely and efficient manner. Discrimination 1 0 0 In fiscal year 2018, the time to complete the 19 investigations that G-5 Domestic 1 1 2 resulted in sending a report to the Harassment 1 1 7 HRDVP varied between 115 days Misuse of Bank Resources 12 6 1 and 322 days, with an average Non-Compliance with Staff Rules 7 8 3 time of 181 days. Personal Legal Obligation 2 0 0 Sexual Harassment 2 2 4* Total 27 18 19 *See Special Report on Sexual Harassment, page 33. Integrity We do what is right. EBC is focused on the average time required to investigate a sexual harassment case. We are currently fast-tracking these cases to shorten the length of investigation. Respect EBC and the Bank Group pride ourselves on embracing diversity and pursuing inclusion. When alleged discrimination is reported to BIR, it is taken extremely seriously. We will investigate the issue in greater depth to ensure action is taken when necessary. • In fiscal year 2018, BIR reviewed seven allegations of discrimination. These included alleged instances of discrimination based on race, nationality, reli- gious/creed, and gender. None of these allegations resulted in a report of 28 investigation or finding of misconduct, on par with 2017. EBC recognizes that discrimination can be hard to prove because of its nature, which is often covert and subtle. EBC, therefore, is reviewing the process by which the World Bank Group addresses alleged discrimination to make it easier for staff members to successfully bring forward a claim of alleged discrimination, increase the effectiveness of EBC reviews, and provide more support to potential victims. • BIR tries to address allegations of inappropriate behavior that may not amount to misconduct through consultation, advice, and performance management— empowering managers and staff to make decisions within an ethical frame- work that translates into accountability and ownership. Teamwork EBC helps WBG staff make the right choices rather than taking a punitive approach. We provide training and guidance on ethical issues to create a secure workplace and an efficient, effective environment in which to work toward the WBG mission. • EBC is engaging with the WBG Working Group on Sexual Harassment to promote conversation. In May 2018, we invited a speaker from Georgetown University to share its activities related to preventing and addressing sexual harassment. • In fiscal year 2018, BIR substantiated 19 cases, and the HRDVP reviewed BIR’s reports and gave appropriate sanctions. Eleven cases substantiated were from 19 BIR cases HQ and the remaining cases were from country offices. In terms of disciplinary action by grade level, one staff member was at GK, four were GH, seven were GG, one was level GE, two cases were at levels GA–GD and the balance were substantiated STCs and STTs. In descending order by category of misconduct, the largest 11 HQ shares (1) were related to harassment (six)—one was linked to sexual harass- 8 C OUNTRY OFFICES ment (see page 30 for details about the outcomes of all the sexual harassment allegations)—and (2) were in connection with non-compliance of Staff Rules (six), two were associated with misuse of WBG resources, two were related to G-5 issues, and one was connected with abuse of authority (see Table 3.3). • BIR works in close collaboration with the entire IJS system. Investigators consult with and refer cases to the Ombuds, Peer Evaluation Review, and Mediation teams as well as the Staff Association. • BIR’s manager is a member of the staff-led Working Group on Sexual Harassment. • Outreach and training activities were often followed by one-on-one consulta- tions with staff members either in person or by phone or email. As a result, EBC Nairobi regularly receives requests for guidance on ethical matters or reports of 29 workplace complaints. The office personnel work with Washington, DC-based colleagues in the BIR and EAS units. EBC Nairobi supports country staff in addressing and resolving workplace concerns and disputes early on by providing timely coaching and intervention. • In addition, EBC Nairobi staff supported the DC BIR team with investigations in the Madagascar and Kenya country offices by carrying out interviews with parties and other support. Table 3.3 Allegations Substantiated by EBC and HRDVP Disciplinary Decisions, FY18 notes cases originally reported as sexual harassment * Categories of Allegations Subject’s Location as Substantiated by EBC HRDVP Decision Grade Level CO Abuse of Authority 1. Barred from rehire beyond current contract GE CO * AMS 6.20 (Breach of Information Security 1. Written censure indefinitely; GG 2. barred from rehire beyond current contract Policy) HQ Failure to Comply with 1. Written censure for three years; GD G-5 Code of Conduct 2. removal of the privilege to employ a G-5 indefinitely HQ Failure to Comply with 1. Written censure for three years; GG G-5 Code of Conduct 2. removal of the privilege to employ a G-5 indefinitely HQ Harassment 1. Ineligibility for future WBG employment; Consultant 2. written censure to remain in personnel file indefinitely; 3. permanent restriction from access to WBG premises HQ Harassment 1. Written apology; GH (Hostile Work Environ- 2. enrollment in anger management classes within ment) 30 days; 3. restitution for losses attributable to miscon- duct; 4. demotion from GH to GG; 5. ineligibility for promotion for a period of three years HQ Harassment 1. Written apology to Contractor to be presented GC (Hostile Work Environ- in person; ment) 2. attend unconscious bias training; 3. demotion from GC to GB; 4. ineligibility for promotion for three years 30 Table 3.3 continued Categories of Allegations Subject’s Location as Substantiated by EBC HRDVP Decision Grade Level HQ Harassment 1. Written censure indefinitely; GG (Hostile Work Environ- 2. ineligibility for promotion for two years ment) HQ Harassment 1. Decision pending GG (Hostile Work Environ- ment) CO Harassment (Failure to 1. Oral censure, which is delivered to the Subject GG Observe Norms of by way of HR letter; and Prudent Professional 2. a written and oral apology to be provided by the Conduct) Subject to the complainant CO Misuse of Resources 1. Hiring restriction on future WBG employment; Temporary (Misuse of Bank Assets) 2. access restriction to all WBG premises; (UC) 3. full restitution to the WBG; and 4. written censure to remain in personnel file indefinitely HQ Misuse of Resources 1. No misconduct GH (Theft) HQ Non-Compliance with 1. Demotion from GH to GG; GH Staff Rules (Conflict of 2. no promotion for three years; Interest) 3. written censure for three years HQ Non-Compliance with 1. Permanently barred from rehire; GH Staff Rules (Conflict of 2. admittance to WBG is restricted Interest) CO * Non-Compliance with Staff Rules (Conflict of 1. Permanently barred from rehire; GG 2. admittance to WBG is restricted Interest) CO * Non-Compliance with Staff Rules (Conflict of 1. Termination of employment from the WBG GG Interest) HQ Non-Compliance with 1. Oral censure GK Staff Rules (Disclosure of Confidential Information) CO Non-Compliance with 1. Demotion from GE to GD; GE Staff Rules (Intentional 2. ineligibility for promotion for two years; Misrepresentation of Facts to Be Relied Upon) 3. written censure indefinitely CO Sexual Harassment 1. Ineligibility for future employment at the WBG Consultant (Hostile Work Environment) 31 Innovation • In fiscal year 2018, BIR reacted to the WBG’s changing landscape caused by the #MeToo and #AidToo movements with new ideas. For instance, in response to the increased allegations of sexual harassment, EBC, ITS, and members of an informal working group designed and implemented a new easy tech tool for reporting allegations, thus streamlining the overall process. • The types of allegations of misconduct that BIR receives vary (see Chart 3.1 and Table 3.4). In fiscal year 2018, of the 252 allegations received, 79 allega- tions involved issues associated with harassment (31 percent). This category includes behavior such as bullying and inappropriate verbal and written commu- Chart 3.1 Allegations Received by BIR by Category, nications. Harassment is the main source FY18 of complaints received, so EBC rapidly stepped up efforts to address this issue. Discrimination — 3% 2% — G-5 Domestic Issues Retaliation For example, as part of a comprehensive Misuse of 4% Harassment and holistic strategy to address these Bank 7% 31% types of behaviors, BIR investigators Resources 8% actively participated in delivering the Personal Legal “Creating a Respectful and Harassment- Obligation 14% Free Workplace” training with staff Abuse of 17% Non- across the WBG. Authority 14% Compliance Sexual with Staff Harassment Rules Table 3.4 Allegations Received by BIR by Category, FY15–FY18 Allegation received Number of cases FY15 FY16 FY17 FY18 Harassment 88 49 60 79 Non-Compliance with Staff Rules 64 74 60 44 Sexual Harassment 7 10 11 35 Abuse of Authority 48 26 31 34 Personal Legal Obligation 14 17 18 20 Misuse of Bank Resources 36 19 21 18 Retaliation 15 11 11 11 Discrimination 10 8 7 7 G-5 Domestic 15 15 9 4 Total 297 229 228 252 32 Moderator WB Senior Vice President and World Bank Group General Counsel Sandie Okoro, with discussants Co-Chair of staff-led Working Group on Sexual Harassment, Marianne Fay, WB CEO Kristalina Georgieva (speaking), and Managing Director and WBG Chief Administrative Officer Shaolin Yang. Photo credit: Joseph Grant Ellis/PhotoLab. Special Report: Sexual Harassment Taking Every Measure Possible to Prevent and Address Wrongdoing Summary EBC is listening, taking action, and making changes. We will hold offenders accountable, and create an environment of trust. EBC will employ the best international practices and lessons learned so that all staff and those impacted by our work are always safe, and we all are empowered to report allegations with- out fear of retaliation. This is a collective WBG strategy that will determine our ability to uphold our core values. Sexual harassment is antithetical to the World Bank Group’s core values of respect, integrity, and teamwork. The WBG prohibits any type of sexual harassment. 33 There is increased awareness of sexual harassment in the WBG, in part because of the #MeToo and #AidToo movements, but also because of the WBG senior leadership’s commitment and unambiguous communication on the issue. In addition, the Ethics and Business Conduct Department has followed up with increasing training and raising awareness. Other WBG units have contributed significantly. In particular, the staff-led Working Group on Sexual Harassment has surveyed all staff members on sexual harassment. The outcome of the survey and recommendations from the Working Group is that we need to do more to address sexual harassment effectively. EBC has already implemented a number of changes in fiscal year 2018. We facilitated conversations on “Creating a Respectful and Harassment-Free Work- place” for over 2,000 staff members in 17 locations. We developed an e-learning course on sexual harassment that every staff member must complete. We made more explicit in the WBG Staff Rules that taking part in sexual exploitation and abuse is defined as misconduct. In cooperation with ITS, we posted a form online to enable anyone to report an allegation of sexual misconduct against a WBG staff member. As a result of increased awareness, we view the fact that there is triple the number of allegations over past fiscal year as positive, and expect them to increase even more in 2019. How many allegations of sexual harassment were received? WBG is convinced of the need to do more. Anonymous Alleged victims One allegation was of the sexual At the request of the made by someone harassment WBG President, EBC who did not reveal Thirteen victims commissioned an their identity. 13 spoke up and 1 external review by reported allegations Witnesses 5 themselves. independent experts Five reports were to assess the WBG made by bystanders or witnesses. 2 14 Managers policies, procedures, Fourteen allegations and practices relating External to were made by the WBG to sexual harassment managers, who have Two reports were an obligation to and identify possible made by non-WBG report to EBC. improvements. On the staff. basis of all the information accumu- lated in the past year, including the external review, EBC has led a new three-year action plan to address sexual harassment, which is expected to be adopted at the end of calendar year 2018 (see below). 34 Sexual Harassment at the WBG: Classification of the allegations received The Facts in Fiscal Year 2018 Growing from 11 in fiscal year 2017 to 35 in 2018, Quid pro quo allegations of sexual harassment were reported by sexual harass- 9 staff at various levels, including managers, vic- ment occurs tims, witnesses or bystanders, non-WBG staff, and when submission to sexual one anonymous complainant. advances or requests for sexual favors are ALLEGATIONS OF SEXUAL HARASSMENT made a condition 26 REPORTED TO EBC of employment or used as the basis for employment Typically, the types of allegations of sexual decisions. harassment that are reported to EBC fall into two categories: quid pro quo sexual harassment and Hostile work environment hostile work environment sexual harassment. sexual harassment occurs when sexual conduct or other actions interfere with a staff Quid pro quo sexual harassment occurs when member’s work or create an submission to sexual advances or requests for intimidating or offensive work environment. sexual favors are made a condition of employment 1 Sexual assault or used as the basis for employment decisions. For 9 Touching example, a manager gives a staff member a poor 11 Comments/gestures performance review because the employee will not 4 Requests have a sexual relationship. 1 Sharing/displaying offensive material Sexual harassment in the realm of hostile work environment occurs when sexual conduct or other actions interfere with a staff member’s work or create an intimidating or offensive work environ- ment. For example, a colleague continues to make unwelcome sexual innuendoes even though the recipient has indicated that the behavior is unwelcome. It is important to note that with respect to both types of sexual harassment, the impact on the victim—not the intent of the perpetrator—is the key factor. In the category of hostile work environment, in fiscal year 2018, there was one sexual assault, nine instances of touching, 11 comments or lewd gestures, four requests of a sexual nature, and one instance of sharing offensive material. The allegations came predominantly from the World Bank, with a proportionately smaller number emanating from IFC. This is still a significant increase for IFC because no case of sexual harassment was reported in the past few years, indicating a pattern of underreporting. 35 HOW EBC RESPONDED TO THE 35 CASES During its review of allegations in fiscal year 2018, EBC found sufficient evidence to investigate and to support findings of misconduct in four cases. In two of these four cases, allegations involved a number of citations of alleged misconduct, including quid pro quo sexual harassment. Upon review of these concerns, EBC established that the parties had engaged in a consensual sexual relationship and that the Number of allegations by institution supervisor had failed to disclose the relationship and resolve any inherent conflicts of interest IFC arising from the relationship pursuant to Staff 3 Rule 3.01. In these cases, EBC sent a report of its findings to the HRDVP for review and possible 32 World Bank (IBRD and IDA) sanctions. In both of these matters, the HRDVP determined that the subjects had engaged in *0 MIGA, ICSID, misconduct. The resulting disciplinary sanctions GEF, GPE were termination of employment and permanent bar from rehire. * No allegations were reported. In the third of the four cases, EBC substantiated sexual harassment and the HRDVP found miscon- duct, resulting in the disciplinary sanction of ineligibility for future employment. In the fourth case, EBC did not find sufficient evidence to establish sexual harass- ment. However, EBC determined that the subject had violated WBG rules because the subject had downloaded and viewed sexually explicit material on the subject’s WBG phone. The HRDVP found misconduct and barred the subject from future WBG employment. EBC decided not to proceed with an investigation in 28 allegations (four of the 28 allegations closed were carried over from fiscal year 2017). EBC often addressed the concerns raised by reporters by speaking with the relevant parties and management. Of the 28 allegations closed, eight were closed at intake either because there was insufficient evidence or because reporters wanted to inform EBC without triggering an investigation. Ten were closed at preliminary inquiry and six cases were closed at investigation, most often because there was insufficient evidence or because the actions under scrutiny did not amount to misconduct. In these cases, the impact of the discussions with EBC should not be underestimated. The discussions assisted the alleged subjects to reflect on their alleged inappro- priate behavior and to adjust their behavior going forward. In some cases, EBC addressed the inappropriate behavior directly with the manager of the staff member. In this way, emphasis is placed on resolving the concerns through performance management rather than disciplinary measures. 36 In focus: How EBC handled sexual harassment allegations in FY18 = Allegations Received EBC Review Brought forward from Total number of allegations previous year FY17 04 closed in FY18 28 Reported in FY18 35 Closed at intake 8 Closed during preliminary inquiry 10 Closed during investigation 6 Reports to the HRDVP 4 Total number of allegations carried over to FY19 11 The result is that the inappropriate behavior is addressed, but by means other than a report to the HRDVP. Eleven allegations of sexual harassment were carried over for further review in fiscal year 2019. Since the end of fiscal year 2018, five of these cases had already led to reports to the HRDVP. It is noteworthy that of the 35 allegations of sexual harassment reported in fiscal year 2018, 15 of the reports were made by the alleged victims themselves. Thirteen were reported by managers, four were by bystanders/witnesses, two were by non-staff members, and one remained anonymous. The time required for sexual harassment cases to be fully investigated, with a report to the HRDVP, varied between 176 and 322 days, and was 227 days on average. EBC anticipates that the time required to complete investigations regarding sexual harassment claims to decline in the future. EBC has made a commitment to fast-track the review and preparation of the report with quality, rigor, and speed. 37 The EBC Complaint Process In Focus Investigations closed at each stage of the process Total Cases 8 10 6 4 CLOSED Stages: Intake Preliminary Investigation After report 28 inquiry/initial submitted to review HRDVP Once a complaint is brought to EBC, an intake is conducted to assess the nature of the complaint. This is to understand the allegation and decide if it falls under EBC’s mandate or should be referred to another office. If the allegation is within EBC’s mandate to investigate as set forth in Staff Rule 3.00, EBC con- ducts a preliminary inquiry, during which investigators gather information and evidence. Investiga- tors may also speak to witnesses. If investigators find that the allegation is credible and that there is sufficient information and evidence, EBC will initiate an investigation, notify the subject, and inform the reporter. Once the investigation is concluded, and if the investigators find that there is sufficient information to support the allegation, a report is prepared. It includes all the transcripts of interviews and any other evidence that was gathered during the investigation. The subject then reviews the report and all exhibits and may provide comments. EBC sends the report and all exhibits to the HRDVP for review and action, if warranted. EBC closes the case, and the reporter is informed that the case has been forwarded to the HRDVP. It is important to note that the investigators are impartial and independent fact finders and do not decide if misconduct occurred or what, if any, sanctions to impose. The investigators are advocates for the truth. In fiscal year 2018, EBC investigated 10 cases of sexual harassment, of which six were closed during the investigation and four were referred to the HRDVP for action based on the charge of sexual harassment. EBC is conscious of the need to increase the speed of such investigations and is now fast-tracking them. 38 Fiscal Year 2018 Reforms In fiscal year 2018, as directed by the President of the WBG, EBC rapidly stepped up actions to combat sexual harassment in all of its forms.  As part of our evolving strategy, EBC developed a mandatory e-learning course, “Preventing and Addressing Sexual Harassment at the WBG,” that explains how the Bank Group defines sexual harassment, discusses how we all can work together to prevent and address sexual harassment, and describes the many resources available to support our staff. EBC’s OTV unit significantly increased offerings of face-to-face conversations on the “Creating a Respectful and Harassment-Free Workplace” seminar, placing a greater emphasis on preventing and addressing sexual harassment at the WBG. These sessions were presented to 2,101 staff, including 1,130 based in Washington, DC, and 971 based in the following 16 country offices: Accra, Amman, Antananarivo, Brasilia, Buenos Aires, Cairo, Chennai, Dar es Salaam, Islamabad, Johannesburg, Kabul, Liberia, Maputo, Nairobi, Ouagadougou, and Pretoria. EASIER ONLINE REPORTING AND RESOURCES A form was made available on the Internet so that anyone in the world who wanted to report an allegation of sexual harassment against a WBG staff member could do so. Complaints can be made anonymously. EBC made information on sexual harassment more readily available for staff by launching a new internal website in fiscal year 2018. The site includes blogs, Q&As, links to other resources, and online reporting. Here staff can help prevent, report, and reduce sexual harassment in the workplace. Staff can type “antiSH” into the intranet browser. EBC understands that for the victim, reliving the experience of sexual harassment by retelling it will be difficult; similarly, it will be difficult to investigate alleged misconduct if the victim is not available. EBC encourages staff to come forward and report. Access the Visit the intranet Send an account Call 24/7, to Internet form page at of your experience report cases: at http://www. http:/antish to ethics_helpline 1-800-261-7497 worldbank.org/ @worldbank.org or, outside the US, reportsexual 1-877-576-2569 misconduct 39 WBG Staff Association Chair Daniel Sellen talks about system shortcomings and STAFF RULE 3.00 NOW BETTER DEFINES “SEXUAL EXPLOITATION offers a proposal for dealing AND ABUSE.” with it. On April 13, 2018, the WBG revised Staff Rule 3.00 (Ethics and Business Conduct Department), paragraph 6.01 (Allegations of Misconduct Addressed by EBC) to clarify and explicitly state that sexual exploitation and abuse is a sanctionable form of misconduct and is prohibited. Clarifying definitions of sexual exploitation and abuse were also adopted. THE WBG COMMISSIONED A REVIEW OF ITS POLICIES AND PROCEDURE BY EXTERNAL INDEPENDENT EXPERTS. To ensure that we are following best practices on addressing and preventing sexual harassment, the WBG enlisted a group of independent external experts to review the WBG policies, processes, and procedures related to sexual harassment, abuse, and exploitation. The review was carried out by Fatima Shaheed, a London barrister (QC) who is an expert in human rights; Merrick Rossein, a law professor from New York with years of experience in sexual harassment litigation and investigations; and Vicky Magley, a professor of psychology at the University of Connecticut who has specialized in studying sexual harassment in corporations. The experts will identify how the WBG can strengthen, modernize, and simplify reporting and reviewing allegations, and will give input on how to shape the institutional strategy and action plan on sexual harassment. The focus of the external review will be on increasing training, outreach, and communicating, and improving the manner in which allegations of sexual harassment are handled, and actions are taken when allegations are substantiated. CONTINUES ON PAGE 42 40 Increasing Awareness, Improving the System The Ethics and Business Conduct Department has the responsibility to implement most initiatives under the sexual harassment action plan throughout the World Bank, IFC, and MIGA. Many initia- tives require the collaboration of other services, especially Legal, Human Resources, the Health Services Department, and the Ombuds Office and other Internal Justice Services. EBC will be reporting to senior management frequently on its progress. The sexual harassment action plan will shore up prevention in order to: • increase awareness of what constitutes rapidly signaled as such to their subjects and harassment and avenues for reporting and that those who feel uncomfortable with the support; behaviors of others do not hesitate to say so; and • guarantee that such situations involving sexual harassment are addressed as early as • make sure that managers are attentive to possible, before they become misconduct; developing an environment free of inappropri- ate sexual conduct. • develop peer pressure so that behaviors incompatible with the WBG culture are The Strategy: People-Centered Approach Prevention Preventing sexual harassment and Improving the System enhancing a culture of respect Empowering Scaling up Communicating Transparent Developing Improving Creating a Improving Victim support Managers training to keep high monitoring synergies and regulatory new role: investigatory policy on agenda knowledge framework anti-harassment process coordinator The plan also intends to improve the system for reporting and addressing sexual misconduct, and increase trust in the system by introducing greater transparency, fairness, and efficiency: • improve and modify existing rules and • better support those who report sexual procedures; harassment or who feel sexually harassed, ensure that their career or personal wellbeing • make certain that cases where there is insufficient evidence are addressed, not by an does not suffer; and investigation, but through other remediation • carry out root cause analysis to identify how approaches that are more effective in such inappropriate conducts developed. cases; 41 International Cooperation on Good Practices The WBG has increased its role in international initiatives focused on preventing sexual harassment, including the United Nations (UN). EBC represents the WBG on the Chief Executives Board (CEB) UN Task Force on Addressing Sexual Harass- ment. The task force’s goal is to review policies to address and prevent sexual harassment; capacities to investigate allegations; and support and protection offered to victims. It aims to formulate a common and consistent approach to sexual harassment across the UN. The Chair of the CEB Task Force presented a progress report on the work of the task force to the CEB at the Board’s meeting in May 2018.  The work of the task force was in its final stages at the end of fiscal year 2018 and is expected to conclude in November 2018. The WBG will be able to draw upon its work with the task force to ensure that its approach to reviewing and preventing sexual harassment is aligned with the global international community. Throughout fiscal year 2018, EBC also met with the ethics officers of other international financial organizations and of the UN system to exchange informa- tion and good practices. WE ARE IMPLEMENTING A BOLD, HOLISTIC ACTION PLAN TO PREVENT AND ADDRESS SEXUAL HARASSMENT IN THE WBG WORKPLACE. During fiscal year 2018, EBC began planning a new three-year people-centered strategy to address and prevent sexual harassment in the workplace. We based the strategy on two pillars: prevention and trust. It is a strategy that moves the WBG, and specifically EBC, into a proactive mode rather than a reactive stance of waiting to receive allegations. EBC’s sexual harassment strategy includes: • disseminating information and training to make certain everyone is aware of what sexual harassment is and how to handle the unwelcome behavior in the workplace from the perspective of a victim, witness or bystander, and manager; President Kim gives opening • reviewing WBG policies and practices to determine whether together they remarks at an all staff town support the safe, ethics-based work environment EBC encourages; and hall on sexual harassment on March 12, 2018. • fostering a culture where harassment can be talked about openly and therefore confronted. 42 Dr. Lynne Curry, the author of Beating the Workplace Bully: A Tactical Guide to Taking Charge, shares her expertise on office bullying with facts, humor, and insight at the November 14, 2017, Ethics at Work event. EBC enables staff members (both past and present) to seek ethics-related advice or report suspected misconduct and other ethical issues. The department Contact informs employees, business partners, and other stakeholders of EBC’s services through a range of EBC communications and training programs. Most services are provided in English, which is the working language of the organization. Employees can seek advice directly from EBC staff during office hours or arrange to speak with team members at another convenient time. EBC maintains an email service account (ethics_helpline@worldbank.org) accessible to staff that is advertised on the external website. Staff members can also contact the multilingual Ethics Helpline by phone (202-473-0279, 1-800-261-7497 24/7. Advisory requests are treated with the highest possible level of confidentiality given the requirements of the case. Requests for advice can be made anonymously. For reports of suspected misconduct, all information is confidential and subject to disclosure on a strict need- to-know basis. Anonymous complaints are accepted. Ethics and Business Conduct Department Embedding Ethics throughout the World Bank Group TEL: 202-473-0279, 1-877-576-2569 from the United States. FAX: 202-522-3093 EMAIL: ethics_helpline@worldbank.org ETHICS HELPLINE: 1-800-261-7497 (24 hours, 7 days a week; multiple languages) INTRANET: http://ethics.worldbank.org INTERNET: http://www.worldbank.org/ethics For general queries, or public speaking or media requests, contact EBC’s Communications Officer Stevan Jackson at +1 (202) 458-5054 or by email: Sjackson@worldbank.org