IMF Ethics Officer - Terms of Reference

February 28, 2000

Preamble

1.  The position of Ethics Officer has been established to provide the services of an impartial person to inquire into alleged violations of the International Monetary Fund's (IMF) rules and regulations and Code of Conduct. The principal aim is to provide assistance in resolving such matters in a manner that contributes to the good governance of the IMF and helps to maintain its reputation for probity, integrity, and impartiality. The Ethics Officer shall accordingly conduct inquiries; provide, on request, advice to management, the Director of the Human Resources Department (HRD), and others, on the application of ethics rules; and, participate in training programs aimed at increasing awareness on ethics issues.

Appointment and period of service

2.  The Ethics Officer will be appointed by the Managing Director, after consultation with representatives of the Staff Association Committee. He or she will not have had prior employment with the IMF and will initially be appointed on a contractual basis for two years. Prior to the end of that period, the Managing Director, in consultation with the Staff Association Committee, will decide whether to renew the Ethics Officer's contractual appointment for a further and final period of three years.

3.  The Ethics Officer's appointment will be on a part-time basis, and he or she will be expected to select working hours consistent with confidential and convenient access to the Ethics Officer and the execution of the duties of the office.

4.  The Ethics Officer's appointment may be terminated prior to the end of his or her contractual agreement by the Managing Director only in the event that the Ethics Officer engages in misconduct.

Duties and responsibilities

5.  In exercising his or her duties, the Ethics Officer will be independent of any official, department, office, bureau, or other organizational entity of the IMF except as provided in paragraphs 6 and 7. He or she will report directly to the Managing Director.

Investigation of misconduct

6.  At the direction of the Managing Director or the Director of HRD, or at his or her own initiative subject to prior approval by the Oversight Committee, the Ethics Officer will conduct investigations based on allegations and complaints of misconduct brought to his or her attention by other parties.

7.  The Oversight Committee has three functions. First, it approves the commencement of an investigation at the initiative of the Ethics Officer if, in its judgment, there is sufficient cause to go forward with the matter. Second, the Committee will retain the discretion to exercise ongoing oversight of any investigation conducted by the Ethics Officer, e.g., involving particularly complex or significant allegations of misconduct. Third, it rules in the event that a staff member appeals a request by the Ethics Officer for access to confidential and/or personal information in the context of any investigation by the Ethics Officer. The Oversight Committee shall be composed of three senior officials of the IMF, appointed by the Managing Director, with the Director of HRD as Chairperson ex officio. The terms of the two senior officials other than the Director of HRD will be for five years and may not be renewable, except that one of the initial appointees will be appointed for a nonrenewable term of 2½ years. A member of the Oversight Committee who faces a conflict of interest in a particular case should recuse himself/herself from that case. The members of the Oversight Committee shall treat all matters brought to their attention by the Ethics Officer on a strictly confidential basis.

8.  When inquiring into allegations of misconduct, the Ethics Officer shall have the right of direct access to all staff members, contractual employees, and vendor personnel.1 All have a duty to cooperate with the Ethics Officer and to make available all pertinent information related to their service with the IMF. Departments and offices are also expected to cooperate.2 However, the Ombudsperson may decline to respond to the Ethics Officer by reason of his or her duty to preserve confidentiality. In the event of a dispute regarding access to information or records (other than information or records of the Ombudsperson), including confidentiality concerns, the matter will be referred to the Oversight Committee for resolution. The Committee shall determine whether the information requested is relevant to employment with the IMF, including the standard of behavior required by the Code of Conduct. The rules on access to e-mail and electronic and telephone records shall apply to the Ethics Officer.

9.  The Ethics Officer shall coordinate the activities of his or her office with those of (i) the Office of Internal Audit and Inspection on matters involving financial impropriety or the misuse of IMF assets or property; (ii) the Security Office on matters involving the physical safety of IMF staff or possible damage to IMF premises or property; and (iii) law enforcement authorities on matters involving the possible violation of criminal laws.

10.  Based on the reports of the Ethics Officer, the Director of HRD or, in the case of B-level staff, the Managing Director will determine any disciplinary actions to be taken in individual cases of misconduct.

External requests

11.  The Ethics Officer shall deal with alleged failures of staff to fulfill their legal obligations, including, inter alia, allegations raised by the spouse (or former spouse) or domestic employee of the staff member, and notices of levy issued by taxing authorities, in consultation with the relevant IMF departments and affected staff.

Annual report

12.  The Ethics Officer shall issue an annual report, to be made available to all IMF employees, specifying the number and general nature of matters brought to his or her attention and describing the outcome of his or her work over the prior twelve-month period.

Confidentiality

13.  In performing his or her duties, the Ethics Officer is expected to be prudent and judicious. The Ethics Officer is to maintain strict confidentiality with respect to information known to him or her in fulfilling the duties of office, except that he or she may disclose information to others on a strict "need to know" basis. In contacts with individuals, the Ethics Officer will explain the extent to which, in his or her judgment, it may prove necessary to divulge information provided by them to others.

Advisory duties

14.  The Ethics Officer is expected to provide guidance to HRD and the Managing Director to ensure that IMF policies, procedures, and practices reinforce and promote the ethical standards called for under the Code of Conduct, and that the ethical standards pertaining to employment with the IMF are clearly understood. In the latter context, the Ethics Officer will be expected to assist in designing and promoting programs to inform and educate staff and to participate in such programs, such as by organizing and delivering workshops. On request, the Ethics Officer will also counsel managers, staff members, contractual employees, and vendor personnel on questions of ethics. This role does not replace the need for staff to obtain approvals through the appropriate channels for external activities. Staff will not suffer adverse action if staff acted on the basis of advice given by the Ethics Officer on a matter, provided that all material facts have been accurately disclosed and that the staff member has acted in accordance with the advice given.

1Executive Directors and their staff shall not be subject to investigations of misconduct by the Ethics Officer.
2The Ethics Officer is authorized to access personnel records and to instruct the Technology and General Services Department (TGS) to access e-mail and telephone records when necessary for an investigation.