2018 ANNUAL REPORT OF THE OFFICE OF THE OMBUDSPERSON OF THE OF AMERICAN STATES

TABLE OF CONTENTS

EXECUTIVE SUMMARY 3 OFFICE OF THE OMBUDSPERSON 4 Status of the Office of the Ombudsperson 4 Required Actions to Structure the Ombuds Office according to CP/RES. 1055 (2036/15), CP/INF.7223/15 rev. 1 and IOA Standards of Practice 5 CASE MANAGEMENT AND OMBUDS SERVICES 6 User or Visitor Profile 6 Issues Brought to the Attention of the Ombudsperson 8 WORKPLACE ENVIRONMENT HIGHLIGHTS AND RECOMMENDATIONS 8 Workplace Environment Highlights 8 Risk Factors 9 Recommendations for workplace environment improvement 10 Recommendations for a Robust Internal Ombuds Mechanism 11 Annex 1: IOA Standards of Practice 12 Annex 2: Uniform Reporting Categories (IOA) 13 Annex 3: Issues Definitions 15 Annex 4: Comparative Key Operational Factors 16

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EXECUTIVE SUMMARY

This annual report is presented to comply with Resolution AG/RES. 1 (LIII-E/18) (“To request the Office of the Ombudsperson to present a work plan to the Permanent Council no later than January 31, 2019, and an annual activities report to the General Assembly through the Secretary General, and that he addresses the recommendations of the Ombudsperson.”)

This report will focus on assessing the current status of the Office of the Ombudsperson (OMB); underlining required actions to structure the office according to CP/RES.1055 (2036/15), CP/INF.7223/15 rev. 1, and IOA Standards of Practice (SoPs); reporting on 2018 case management and OMB services; and finally, providing highlights and recommendations for a better workplace environment and a robust internal off-the-record mechanism.

The Office of the Ombudsperson was approved to be created as an oversight body by the Permanent Council in the CP/RES. 1055 (2036/15), CP/INF. 7223/15 rev. 1 on September 30, 2015, to provide OAS staff with an institutional mechanism that guarantees and promotes their rights and discreetly processes complaints about possible violations of those rights; to be responsible for ensuring observance of the rights of the Organization’s human resources; to operate autonomously; and to report to the Permanent Council on its activities.

The OAS OMB is a member of and adheres to the International Association (IOA) and its Code of Ethics and Standards of Practice (SoPs): Independence, Confidentiality, Impartiality, and Informality. (Please see Annex 1 for a breakdown and details of the SoPs).

There has been great progress made by the previous two Ombudspersons in establishing the office, managing cases, engaging OAS personnel, and collaborating with the different areas of the institution, however, there is still vital work to do in structuring the OMB for it to operate efficiently, to provide most needed services to all personnel, and to function according to CP/RES. 1055 (2630/15), CP/INF. 7223/15 rev. 1, and the standards of practice. The most relevant areas to work on relate to budgetary minimum requirements, independence, autonomy, legal framework, the position of the Ombudsperson, self-sufficiency of the office on its daily operations, and addressing some privacy and confidentiality concerns about the office facilities and service reports.

As the only off-the-record alternative dispute resolution (ADR) mechanism, it is critical for the OMB to be structured, to have the correct legal framework and resources, and to operate independently and autonomously according to professional best practices, for it to follow in practice what the Permanent Council intended when the office was approved and which is captured in theory.

In terms of case management, the OMB has managed a caseload of 80 users1 presenting 155 issues during 2016; 68 users during 20172; and 78 users presenting 255 issues during 2018.

In essence, the main and most recurrent concerns presented by personnel have been related to areas of evaluative relationships (23% in 2016, 18% in 2017, and 27% in 2018); career progression and development (17% in 2016, 6% with a high decrease in 2017, and 11% in 2018); legal, regulatory,

1 “User” or “visitor” refers to personnel using the Ombuds Services under the Organizational Ombuds profession. 2 No number of issues or report presented to the Permanent Council was found. Data and information for year 2017 is based on a brief analysis with highlights and percentage of issues presented to the General Assembly. For 2018, summary data of visitor, case, and issues were provided to the Ombuds without a progress report or analysis. This will limit the possibility for future aggregate historic data analysis for the OMB. Page 3

financial and compliance (14% in 2016, high increase in 2017 to 27%, and sharp decline to 9% in 2018); peer and colleague relationships (13% in 2016, no data for 2017, and 15% for 2018).

OFFICE OF THE OMBUDSPERSON

The Office of the Ombudsperson (OMB) is an oversight body and the only conflict resolution mechanism outside of OAS formal channels. It is independent in structure, autonomous, and it collaborates with the different stakeholders within the organization in order to prevent, address and manage workplace conflicts. If given the proper resources, staffing, legal framework, and hierarchical level according to standards of practice, the OMB can effectively reduce reputational risk, reduce costs associated with escalation of conflict, and make the organization more productive and efficient.

Some of the services that the OMB can provide to users are: evaluation of options, objective feedback, information about policies, referral to other instances, conflict coaching, fact finding, shuttle diplomacy, , facilitation, and improvement of workplace environment based on Ombudsperson’s observations, analysis of trends, and recommendations.

These services benefit individuals as they get a better understanding of their situation, can discuss possible options in a safe and confidential environment, are empowered to address conflict early on, and get the opportunity to reduce tension and communicate concerns to another party through an impartial professional. Management benefits as it receives periodic information and recommendations related to identified trends, systemic issues, and policy gaps for its analysis and action to improve workplace environment and reduce conflict escalation. The organization benefits from cost savings, reduction of reputational risks, and better workplace environment, which translates into more productive personnel and better results.

Status of the Office of the Ombudsperson In terms of office facilities, the location selected for the OMB is beneficial as it is outside of common traffic, has several points of entry and is not captured by security cameras. It remains pending to restrict the access to the office with the installation of a card reader and a doorbell, and to resolve a high concern with the office space contiguous to the office, which shares an interior door with the OMB and represents a red flag for assurance of privacy and confidentiality of communications to OMB users. The recommendation is to include it as part of the OMB to provide office space for interns (there is currently one intern and the OMB expects to have at least one at the time through the year) and for the technical staff that the OMB is expecting to have in the near future. These elements are essential to comply with confidentiality, one of the principles of the Standards of Practice.

Regarding access to OMB information, educational materials, access to the Ombudsperson and engagement, there is a functional website containing most relevant information and links to resources, policies, and OMB contact information. There is also a Skype account as a possible communication channel. Furthermore, former Ombudspersons built relationships with key stakeholders, which have proven to be beneficial not only to the OMB but to the organization as a whole. They introduced the services of the OMB to OAs personnel by conducting outreach events and also created the first marketing materials for the office. There is a need to update the website and brochures; to work on outreach; and to plan visits to key country offices as they have never been engaged directly, are very vulnerable, and fear retaliation.

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The OMB has made great progress since 2015 when it was created and began offering services to OAS personnel3, however, there is an urgent need to provide necessary and independent resources (budgetary and staffing) and to structure the office, the Ombuds position, and daily operations according to standards of practice for the OMB to function appropriately, effectively, and in accordance with the mandate that approved the OMB as an oversight body.

Daily operational approval processes and services that can potentially expose the privacy or confidentiality of users of the OMB or in any way prevent the Ombudsperson from providing services or addressing concerns to all personnel, including those located outside headquarters, need to be updated to reflect in practice, what the Permanent Council intended with the OMB, which goes hand-in-hand with the IOA Standards of Practice for the profession.

There has been collaboration with the OMB as well as relationship building with OAS stakeholders, particularly with the Secretary General and staff at his office, the President and members of the Staff Association, representatives from the different Permanent Missions who want to ensure the effectiveness of the OMB, and of course, with OAS personnel, eager to have the only off-the-record mechanism fully functional and established according to the standards of practice. There is no doubt that there are good intentions and expectations across all stakeholders and hopefully, priority will be given during the next few months to establish an OMB that can be reliable and effective for many years to come.

Required Actions to Structure the Ombuds Office according to CP/RES. 1055 (2036/15), CP/INF.7223/15 rev. 1 and IOA Standards of Practice

For the OMB to be able to function according to the Resolution of the Permanent Council and standards of practice of the Ombuds profession there are certain minimum requirements that present a priority. The office should be established to adhere to the CP’s Resolution, International Ombudsman Association (IOA) Standards of Practice (SoP), and International practices (UN and UN umbrella organizations, WB, IMF, IADB, PAHO, adhere to the IOA SoP. The US Department of State, Federal agencies, and universities also adhere to it).

Budget and resources: There is a minimum budget necessary to finalize establishing and structuring the OMB according to requirements. It includes completing improvements of office facilities to comply with SoP privacy and confidentiality. Staffing the OMB in order to have a technical ADR professional who can help with meeting coordination, preparation of presentations, research, data analysis, and support with many important and recurrent OMB activities will allow the Ombudsperson to focus in conflict resolution prevention, management, recommendations, presentations, and efficient case management.

It also includes an estimate of two visits per year to establish first contact with priority country offices, whose use of services have been extremely low and have consistently raised concerns of vulnerability, fear of retaliation, and the feeling of disconnection and exclusion. They have sent messages, but have been reluctant to engage via telephone or e-mail mainly because of lack of privacy and trust and fear of retaliation. Initial face-to-face interaction is a priority to establish a relationship and build trust.

Independence and autonomy: The budget, structure, daily operations, and travel planning should be managed by the office to comply with the principle of independence and the mandate of autonomy.

3 This includes staff (career, continuing contracts, fixed-term, trust, managerial, local, and associate contracts), independent consultants and contractors, interns, volunteers, young professionals, and other. Chapter III. Article 17. Types of Personnel and Other Human Resources. Page 5

Legal framework: operational standards, terms of reference, and institutional documents related to the OMB should be revised and in a collaborative effort finalized to reflect CP’s Resolution and SoP.

Daily operations: operations to conduct the functions of the OMB, including services such as phone bills, the Ombuds e-mail and database, should reflect the principle and standard of practice of confidentiality and the OMB requirement to protect and guarantee privacy and to prevent possible retaliation.

Position of the Ombudsperson: the position was originally established and maintained for three years according to the standards of practice. Unfortunately, the position was advertised at a different level that does not comply with the standards of the Ombuds profession. This has negative implications on the OMB effectiveness and Ombudsperson’s influence to be able to improve the workplace environment of the OAS. The position should be reclassified as soon as possible for it to be effective, and to retain and attract highly qualified professionals.

As the only off-the-record alternative dispute resolution (ADR) mechanism, it is critical for the OMB to have the legal framework and resources (financial and otherwise) and to operate independently and autonomously according to professional best practices, for it to follow in practice what the Permanent Council intended when the office was approved.

CASE MANAGEMENT AND OMBUDS SERVICES

Case management has two main components: the visitor or user, and the issues or concerns raised by them. A single user could, and often does, raise several issues during his/her visit(s) or contact(s). Ombuds Services include: listening; providing information (policies, procedures, rules, etc.); evaluating options; coaching; reviewing material /communications from a neutral perspective; making appropriate referrals; conducting informal fact-finding; using shuttle diplomacy; conducting mediation and group facilitation; preparing and delivering presentations and training; collecting and analyzing data; and providing recommendations.

User or Visitor Profile The following graph represents the overall population of visitors to the Ombudsperson’s Office in 2018; it is evident that more females reached out the OMB with 65% of the total population, while only close to half of that amount were males at 35%. (Figure 1).

Figure 1

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Furthermore, most of the users were located in the headquarters of the OAS (90%) since it is more convenient for them to access the OMB services. Proximity and availability of the OMB play a big role for headquarters’ users. On the other hand, only 10% of the users were based in country offices, which indicate the evident and recurrent need to conduct more outreach activities and visits to establish better communication through a face-to-face interaction and to build trust with employees located in the country offices (See Figure 2).

Figure 2

The OMB provided most of the users with support in analyzing and evaluating their options and listening to their concerns since no additional action was required or desired by them. During this time, 78% of the issues were resolved through the Ombuds Office, and 14% of the cases are still active (See Figure 3).

Figure 3

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Issues Brought to the Attention of the Ombudsperson

Focusing in 2018, the category of issues that most users raised to the OMB was evaluative relationships (Figure 4). These issues involve questions or concerns related to supervisor-employee relationships; within this category respect or treatment, communication, and supervisory effectiveness were the most common concerns among users (See Annex 2 for reference).

The second most reported category of issues among OAS members during 2018 was associated to organizational, strategic and mission representing 20% of the overall complaints. This category involves issues or concerns related to leadership and management; use/abuse of positional power or authority; communication; and organizational climate (See Annex 2 for reference).

The third category with more concerns was peer and colleague. It was highlighted that issues related to respect or treatment, communication and conducts like bullying and mobbing were persistent in the OAS community. (See Annex 2 for reference).

It is possible to say that problems related to lack of proper communication and lack of respect, regardless of their situation of power, represent the major causes of conflict within the organization. The following graph clearly highlights the recurrence of these issues during 2018. It also allows identification of other category issues and the potential level of risk that those could represent for the organization.

Figure 4

WORKPLACE ENVIRONMENT HIGHLIGHTS AND RECOMMENDATIONS

Workplace Environment Highlights Following the recommendations made by the Ombudsperson’s Office in previous reports from 2016 and 2017, the General Secretariat acted in order to improve the workplace environment within the organization. For example, the General Secretariat approved a series of workshops for OAS staff, consultants and interns to provide them with tools to support the prevention of all forms of

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in the workplace. The purpose of these training sessions was to educate and raise awareness about ongoing issues that disrupt healthy relationships at the workplace. Although this exercise represented a major step towards the construction of a better workplace environment, workplace harassment concerns continued to rise during 2018.

According to the surveys conducted after the workshops, employees revealed that the issue of workplace harassment was not being addressed during these workshops as expected; many believed the training was focused on how to handle sexual harassment related conflicts. They also raised the concern that training is not adapted to cover OAS cultural differences and Latino specific nuances. Some of the responders raised the importance of a better staffed and resourced Office of the Ombudsperson; they made emphasis on the need of having an informal channel that can help them to better handle any work-related conflict.

Additionally, it was noted that the capacity to provide adequate levels of responsiveness to concerns of personnel working away from headquarters is still an ongoing concern. Even though the OMB has established and publicized alternatives for personnel located in country offices, only a few have taken advantage of these options. This, as mentioned earlier, can be attributed to fear of retaliation as well as to not having met the ombudsperson to be able to establish a relationship of trust to then feel comfortable expressing their concerns and conflict related matters.

During the past three years, the main and most recurrent concerns presented by personnel have been related to areas of evaluative relationships with 23% reporting this type of issue in 2016. By 2017 it decreased to 18% but it had a steep raise in 2018 reaching 27%, which makes it not only recurrent but a concern that should be given immediate follow up by management.

The second most frequent issue during this time frame has been career progression and development at 17% in 2016, followed by a considerable decrease to 6% in 2017 which coincided with changes in the competitive selection and promotion processes. In 2018 it almost doubled to 11%, which makes it an important issue to be reviewed by the Human Resources Department and management.

The third most common issue has been related to legal, regulatory, financial and compliance, which in 2016 reached 14% and experienced a high increase in 2017 at 27%. More specifically, users reported concerns about information privacy and security; the issue was addressed and in 2018 it reported a sharp decline to 9%.

In general, most people fear retaliation and inaction from management. These seem to be the main reasons prohibiting them from using the Ombuds Office and other available resources.

Risk Factors The main risk of having these issues in the organization is the loss of department productivity, followed by significant violations of policy and negative publicity for the organization. Please see the following graph for a better representation of these risks. (See Figure 5)

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Figure 5

Recommendations for improvement of workplace environment: For recommendations to serve their purpose, it is particularly important to keep in mind high recurrent concerns so that any strategic management action plan is linked to those concerns and inclusive of the different areas within the organization. It is also important to allow feedback and adjustments during implementation and additional feedback and evaluation at conclusion.

High recurrent concerns raised: respect and treatment; communication; supervisory effectiveness; equity of treatment; abuse of position or power; leadership and management; bullying and mobbing; job classification and job description; perceived harassment; perceived discrimination; standards of conduct; consistency in rule application; and need for additional mandatory training on topics related to workplace harassment, retaliation, and work environment issues.

● It is important to remind all personnel to read and to receive acknowledgement of the understanding of the OAS anti-harassment policy. It is particularly important to enforce the policy and to publish the annual circular with due regards to privacy.

● Training on topics related to issues of harassment; bullying; the need for respect and ethics at the work place; equity of treatment; and work distribution, should be absolutely mandatory for all personnel.

Additional training on how to welcome diversity and feedback, address and manage work-place issues, and guide teams in conflict related matters, should be mandatory to all personnel in supervisory positions. To avoid training fatigue, be mindful of resources, and attain more results, the above mentioned trainings should be designed by a high qualified professional knowledgeable of the culture and challenges of the organization. They should be short but high quality sessions inclusive of personnel in country offices and missions and should be connected to existing OAS policies.

● The Ombudsperson should meet face-to-face with personnel in country offices and OAS missions to make presentations about OMB services, establish relationships and channels of communication, and build trust. Personnel in country offices are particularly vulnerable and in need of tools to address workplace environment issues and conflict. They need to be empowered and assured of the OMB independence, confidentiality, and ability to work with them in resolving issues specific to their environment. Page 10

● An process or an orientation tool should be design to inform and guide not only new hires, but also existing personnel not familiar with some areas of the organization, on how to navigate and be a productive team member.

● Management should review and address existing gaps, disconnect, and inefficiencies related to job descriptions, performance reviews, and fair implementation of policies. These are recurrent areas of concern affecting the workplace environment and creating high levels of distress in personnel across the organization, including country offices. More specifically, personnel reported lack of clear communication with supervisors, lack of mutual understanding or adherence to main functions of the job and expectations, uneven work distribution generating unnecessary conflict with peers, personnel’s files and performance systems reflecting inaccurate information, and supervisors not taking the performance system seriously.

● There should be a clear and standard process for new approvers and signatories to register their signature when hired and for verification personnel to have it secured at a centralized location.

● Management should review the possibility of installing a security card reader to identify and block terminated personnel and high risk profile individuals from accessing the premises of the organization.

Recommendations for a Robust Internal Ombuds Mechanism  For the OMB to be effective in case management and conflict prevention and to provide essential services and function as the only off-the-record ADR mechanism, it is necessary for it to be established according to the Resolution of the OAS Permanent Council and SoPs as mentioned earlier. The office needs to be structured independently; including all budgetary and daily operations. This allows the OMB to assure users of the off-the-record communications, privacy of phone call bills, use of email outside internal networks, and autonomy of travel plans and daily operations independently from regular procedures and designed according to Standards of Practice to protect the privacy and confidentiality of personnel in headquarters as well as in country offices or missions.

 Additional budget and staffing in compliance with the SoPs are required for the OMB to be effective and responsive in providing services, managing cases, conducting observations and presentations, analyzing data, and providing quality recommendations according to Permanent Council’s mandate. Also, to allocate resources for outreach, marketing materials, and professional development. Timely responsiveness to priority issues or sensitive matters is negatively impacted by an understaffed office. There should be basic coverage when the Ombudsperson is away and support to OMB with coordination and preparations of workshops and training to address immediate needs or concerns of personnel.

 Operational standards, terms of reference, and institutional documents related to the OMB should be revised and in a collaborative effort finalized to reflect CP’s Resolution and SoP.

 The Position of the Ombudsperson should remain classified as it was originally established and maintained for the past few years, which reflects the standards of practice and more specifically, standards for similar organizations such as the United Nations. (See Annex 4: Comparative Key Operational Factors). Unfortunately, the position was advertised at a different level that does not comply with the standards of the Ombuds profession. This has implications on the OMB effectiveness and Ombudsperson’s influence to be able to improve the workplace environment of the OAS. The position should be reclassified as soon as possible for it to be effective, retain, and attract highly qualified professionals.

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Annex 1: IOA Standards of Practice

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Annex 2: Uniform Reporting Categories (IOA)

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Annex 3: Issue Definitions

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Annex 4: Comparative Key Operational Factors

4 Information based on the Review of the Organizational Ombudsman Services across the United Nations System, United Nations, Geneva 2015.

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