Procedural Guidelines for Conducting Inquiries Related to Allegations of Misconduct

1. The purpose of these guidelines is to describe the process that would be followed in conducting inquiries related to allegations of misconduct. Inquiries by the Ethics Officer will be based on fundamental fairness in procedural terms, including with respect to providing those against whom allegations are made notice of investigations and an opportunity to be heard, efforts to ensure balance and thoroughness, appropriate confidentiality, and freedom from reprisal.

Initiation of inquiries

2. Inquiries related to allegations of misconduct may be initiated at the direction of the Managing Director or the Director of the Human Resources Department (HRD) or, upon the complaint of other parties, at the initiative of the Ethics Officer, subject to approval by the Oversight Committee. Allegations or complaints of misconduct should be submitted in the form of written and signed memoranda, describing the concern pertaining to possible misconduct, to the Director of HRD or the Ethics Officer. The Ethics Officer will not act on anonymous allegations except when they relate to circumstances involving risks to the physical safety or health of the person accused or others.

3. Staff should be reassured that those who bring complaints or provide information in good faith regarding possible misconduct are guaranteed full protection from reprisal. It should be understood, however, that malicious and unsubstantiated charges of misconduct would constitute intimidation under the Fund's policy on harassment, thus providing a basis for potential disciplinary action.

Preliminary inquiry

4. The Ethics Officer will conduct a preliminary inquiry into allegations of misconduct by a party other than the Director of HRD or the Managing Director, following the procedures set forth in paragraphs 5 through 8 below. The Ethics Officer may also conduct a preliminary inquiry into allegations of misconduct on the request of the Director of HRD or the Managing Director; however, such preliminary inquiry will not be subject to review and approval by the Oversight Committee.

5. In reviewing allegations or complaints of misconduct, the Ethics Officer will schedule a confidential meeting with the person who filed the complaint (complainant) to review the written memorandum bringing forth charges, to confirm understandings about the key facts and issues involved, clarify the expectations of the complainant, and determine whether an inquiry is warranted.

6. The Ethics Officer also will review any evidence supporting the allegation or complaint and will interview possible witnesses or others who may be in a position to provide information pertaining to the charge of misconduct. In this connection, the Ethics Officer will interview the person against whom an allegation of misconduct has been made (the respondent).

Conclusion of preliminary inquiry

7. Based on the findings of such a preliminary inquiry, the Ethics Officer will submit to the Oversight Committee a brief report, containing the relevant facts presented by the complainant; additional information or evidence—including access to electronic mail and/or telephone records and possible witnesses—needed to assess the case; and recommendations concerning the appropriate scope of any further investigation—including the extent of coordination with other offices, such as the Office of Internal Audit and Inspection, the Security Office, or law enforcement authorities—that might be warranted.

8. Based on the recommendations of the Ethics Officer, the Oversight Committee will determine whether a formal investigation is warranted, the appropriate parameters of such an investigation, and which offices should be involved in conducting it. Alternatively, if a formal investigation does not appear to be warranted, the Committee could refer the matter to the Director of HRD for follow-up.

Formal investigation

9. A formal investigation commences upon referral of a matter to the Ethics Officer by the Managing Director or the Director of HRD, or by the Oversight Committee as described in paragraph 8. Once the formal investigation has commenced and at such time as the available evidence points to misconduct on the part of a particular staff member, the Ethics Officer shall, before interviewing that staff member, inform him or her that an investigation has begun, the reasons for the investigation, and the major elements of the case.

10. The respondent will be given reasonable opportunity to respond in writing in order to explain his or her position with respect to the charges and/or evidence presented by the complainant and to present his or her own evidence, including the names of witnesses who might corroborate the respondent's statements.

11. The Ethics Officer will formally review evidence pertaining to the case, including the evidence presented by the complainant and the respondent. He or she also will interview witnesses or others who may be able to offer information or evidence related to the investigation. All interviews shall be conducted discreetly. 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.

12. In carrying out investigations, the Ethics Officer shall have the right to direct access to staff members, contractual employees, and vendor personnel. All are expected to cooperate with the Ethics Officer and to make available all pertinent information. However, the Ombudsperson may decline to cooperate 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 would be referred to the Oversight Committee for resolution. The Ethics Officer may decide, at his or her discretion, whether to agree to a request by a staff member, contractual employee, or vendor personnel to be accompanied by an attorney or other person in interviews by the Ethics Officer.

13. Upon completion of his or her investigation, the Ethics Officer will prepare a written report to the Director of HRD or, in the case of B-level staff, the Managing Director containing the following:

• summary of the allegation and nature of the charges;

• a description of the evidence that the alleged misconduct did, or did not, occur;

• opinion—in cases involving harassment—about whether a reasonable person would define the behavior in question as offensive and the extent to which that behavior might interfere with work or create an intimidating, hostile, or offensive work environment; and

• conclusions about whether there was misconduct or whether evidence was insufficient to make a finding.

Resolution

14. Based on the findings of the Ethics Officer, the Director of HRD—or the Managing Director, in the case of B-level staff—decides, in accordance with General Administrative Order No. 33, on the disciplinary action, if any, to be taken.

15. In cases where there is insufficient evidence to make a finding of misconduct, the Ethics Officer's report on the investigation would be referred to only if future allegations of misconduct, involving the complainant or the respondent, arose, or if the case became the subject of a Grievance Committee proceeding.