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Overseas Private Investment Corporation 

Office of Accountability 

Operational Guidelines Handbook for Problem-Solving and 

Compliance Review Services 

2014 
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1. Table of Contents

This handbook describes the operational guidelines that OPIC’s Office of Accountability applies 

in addressing externally generated requests for its services. The handbook is organized as 

follows: 

i. Glossary

ii. Overview

iii. Eligibility

iv. Assessment

v. Problem Solving

vi. Compliance Review

vii. Communications and Public Disclosure

2. Glossary

Affected Stakeholders – Members of project-affected communities and workers at OPICsupported Projects who believe they are or could be harmed by the environmental or social 

(including human and labor rights) effects of a Project. This term does not include commercial 

competitors to the Client. 

Client – An organization that has executed a financing or insurance agreement with OPIC. For 

purposes of this definition, a Client may also be an entity that is implementing the Project in 

question. 

Management – OPIC’s Executive Staff (see www.OPIC.gov). 

Office of Accountability (OA) – The OA Director, OA staff, and external consultants. 

Parties – Entities that have agreed to participate in a problem-solving process, typically the 

Affected Stakeholders and the Client. 

P&CEO – OPIC’s President and Chief Executive Officer.

Project – Any transaction supported through OPIC’s insurance, reinsurance, direct loans or loan 

guaranties, including support through financial intermediaries. 
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Requestor – Either the Affected Stakeholders or the Client identified in a request to the OA. 

Problem-solving requests may be submitted by Affected Stakeholders or Clients. Compliance 

review requests may be submitted by Affected Stakeholders.1

 

3. Overview of the OA 

3.1. Mission

The OA’s mission is to 1) provide a forum for affected stakeholders and clients to address 

concerns and conflicts around the environmental or social effects of Projects, and 2) evaluate and 

report on OPIC’s compliance with its environmental, social, human rights, and labor rights 

policies.

3.2. Guiding Principles 

Consistent with its governing documents, the OA seeks to provide services in a manner that is: 

 fair in its treatment of all those involved a conflict; 

 objective by avoiding pre-conceptions and applying a rule of reason; 

 accessible and responsive to potential Requestors; 

 transparent and predictable in interactions, while respecting confidentiality; 

 flexible in the tools it can mobilize to address requests; 

 independent of OPIC’s operations; and

 cost-effective and efficient. 

3.3. Authorities 

Problem-solving authority is the authority to review and attempt to resolve conflicts between 

Affected Stakeholders and Clients relating to environmental and/or social aspects of Projects. 

This authority does not include assessing the accuracy of any allegations made about the conflict, 

nor does it include imposing a solution to the conflict. Rather, it seeks to create conditions such 

that Parties will arrive at a mutually acceptable resolution. 

Compliance review authority is the authority to review and report on complaints or concerns 

regarding OPIC’s compliance with its governing statutes, rules, policies, and procedures related 

to the environmental, social, worker rights, and human rights effects of a Project. This authority 

does not extend to review of any entity other than OPIC, such as Clients and public authorities. 

 

1 OPIC’s Board and its P&CEO may also request compliance reviews. The guidelines in this 

handbook only address requests submitted by Affected Stakeholders and Clients.
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Nor does compliance review authority extend to allocating responsibility for harm among OPIC, 

the Client, or others.

The two OA authorities cited above are designed to achieve positive outcomes from Projects; 

neither service includes the authority to unilaterally compel Client or OPIC actions. 

4. Eligibility

4.1. Requests to the OA should contain the following elements:

4.1.1. The identity(ies) and contact information of the Requestors. 

4.1.2. A description of the subject Project and involved Client sufficient to be identified 

by the OA. 

4.1.3. For requests from Affected Stakeholders, allegations of harm resulting from or 

expected to result from environmental or social effects of the Project. 

4.1.4. For requests from Clients, a description of either a dispute with Affected 

Stakeholders or the potential for such a dispute to emerge concerning some 

environmental or social aspect of the Project. 

4.1.5. An indication of whether or not confidentiality is requested and the reasons why. 

4.1.6. For problem-solving requests only, a statement that good faith efforts to resolve 

the issues have not proven satisfactory to the Requestors. This does not apply if the 

Requestors want the OA to keep their identities confidential due to concerns about 

potential negative repercussions from such efforts. 

Requests may be written in English or in the language of the Requestor. Requests may be 

submitted via email, fax, mail, or hand delivery. Instructions for submitting requests are found 

on the OA’s website (http://www.opic.gov/who-we-are/office-of-accountability). Requests may 

be submitted through an individual or an organization that the Requestors have explicitly 

authorized to act on their behalf in making the request. For example, workers at a Project might 

submit a request through their local labor union. Evidence must be presented of this authority. 

The OA will answer any questions about how to file a request. 

4.2. Eligibility determination 

When the OA receives a request for service, it determines the eligibility of the request. An 

eligibility determination is purely administrative and does not imply a judgment by the OA about 

the conflict. The OA uses the following criteria to determine eligibility: 

4.2.1. The request contains the information listed in 4.1. 
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4.2.2. The request relates to a Project that OPIC is supporting or is actively considering 

to support at the time of the request. OPIC’s support ends for eligibility purposes 

when its loan has been fully paid back, its insurance contract is terminated, or, in the 

case of financial intermediaries, when the financial intermediary is no longer 

invested in the project. 

4.2.3. The OA will not consider the following claims to be eligible for consideration: 

 matters previously considered by the OA, unless new information about them is 

presented in a new or updated request; 

 matters malicious or trivial in nature, or aimed at gaining competitive advantage; 

 procurement, contractual, or other purely commercial issues; 

 allegations that the existing policy framework is inadequate; 

 allegations of criminal activities; or 

 personnel matters other than labor rights (e.g. freedom of association, prohibitions on 

child labor, unsafeworking conditions, bonded labor).

After reviewing a request for eligibility, the OA will declare it to be eligible or ineligible. If the 

information provided is not sufficient to make this determination, the OA will request further 

information needed to make it complete. Upon determining eligibility, the OA will notify 

Affected Stakeholders, the Client, and Management in writing of its determination and 

reasoning. 

If the request is eligible, the OA will inform Affected Stakeholders and the Client of next steps. 

If the request is ineligible, the OA may suggest alternative means for the Requestors to have their 

concerns addressed. Regardless of the request’s eligibility, if it contains allegations that the 

Project is in violation of OPIC policy or U.S. law, the OA will refer the issues raised to 

Management for possible action. 

5. Assessment 

Once a request is deemed eligible, the OA will assess the situation. This step may include a site 

visit, which would have the following objectives: 

 Enhance the OA’s understanding of the interests of all relevant stakeholders by meeting 

with Affected Stakeholders, the Client, host government representatives, and others. 

 Ensure that Affected Stakeholders and the Client understand the range of options 

available to address the concerns raised in the request. These options include the OA’s 
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two services, OPIC’s authority to engage with its Client, the Project’s grievance 

mechanism, and in some cases public authorities.

 Elicit from the Requestors their stated preference for which services to mobilize and in 

what order. 

 If the Requesters prefer to mobilize the OA’s problem-solving service, determine the 

willingness of both the Affected Stakeholders and the Client to voluntarily participate in 

that process.

5.1. Assessment Outcomes 

Based on information obtained from the assessment, the OA will inform the Affected 

Stakeholders, the Client, and Management in writing about the services to be mobilized and 

future steps. 

In the course of conducting an assessment where the requestors focused only on problem 

solving, the OA may determine that a review of OPIC’s application of relevant policies would 

also be useful for institutional learning. If so, the OA Director will send a memo to the P&CEO 

recommending he/she request a compliance review. 

If the Project is being co-financed by OPIC and another financial institution that also has an 

accountability mechanism, the OA will seek to coordinate its services with that mechanism. 

5.2. Timing 

Timing guidelines for eligibility determination and assessment are as follows: 

 The OA will acknowledge receiving the request within five business days. 

 The OA will refer the request to Management for information needed to determine 

eligibility and for comment. Management is expected to respond within 10 business days. 

 The OA will notify Affected Stakeholders, the Client, and Management of its eligibility 

determination within 20 business days of acknowledging the request, unless additional 

information from the Requestor or from Management is needed. 

 The OA will complete its assessment within 80 business days of the eligibility 

determination. 

The OA may extend the above time periods to allow for translation or other factors. Requestors 

will be notified of changes in the schedule. 
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6. Problem solving 

The problem-solving function focuses on finding ways for the Parties to address the issues raised 

in a request. The OA takes no position on the validity of the allegations made, nor does it impose 

solutions to the conflict. It seeks to build the Parties’ trust in the process and with each other in 

order to create conditions conducive to the resolution of the issues raised. 

6.1. Communication

In order to understand the underlying interests of the Parties to a problem-solving process, it is 

essential for the OA to establish and maintain a direct channel of communication and 

relationships with all of them, regardless of whether they secure assistance from other 

organizations. 

6.2. Timing 

A problem-solving process can take different paths, and the OA will seek to be flexible and 

responsive to the Parties’ preferences as long as there is progress towards a resolution. 

Accordingly, the OA may not be able to predict how many meetings will be required and how 

much time the problem-solving process will take at its outset. 

6.3. Tools 

The OA has the ability to mobilize one or more approaches to problem solving, including the 

following: 

 Convene a mediated dialogue table or multi-stakeholder roundtable led by an 

independent mediation specialist; 

 Conciliate between the Parties; 

 Facilitate direct negotiation by the Parties to generate a solution; 

 Promote joint fact-finding or commission technical studies; and 

 Engage the host country government through appropriate channels. 

The approach or approaches chosen will be based on consultation with the Parties. Unless 

otherwise agreed in advance with the Parties, OPIC bears the out-of-pocket costs associated with 

these approaches. 

6.4. Ground rules 

As an initial step in problem solving, the OA will convene the Parties to establish mutuallyacceptable ground rules. If mediated dialogue is to be used, for example, ground rules may 

address how the Parties will engage with each other, how each Party will be represented at the 
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dialogue table, the meeting venue and other logistical matters, the substantive scope of the 

dialogue, non-intimidation, and non-disclosure of sensitive information. The OA will seek to 

maintain the Parties’ adherence to pre-agreed ground rules during the dialogue and respect for 

local cultural norms as long as the integrity of the dialogue process is protected. 

6.5. Training 

The OA may offer training to strengthen the Parties’ capacity to effectively participate in 

whatever problem-solving approach is to be used. 

6.6. Agreements 

The problem-solving process is intended to generate agreements that are mutually acceptable, 

reached in a non-coercive manner, tangible, and time bound. The OA will ask that the Parties 

put in writing and sign any agreements reached during the problem-solving process. Some 

actions in the agreements, such as changes to a project, may require OPIC’s approval. 

6.7. Termination of problem solving 

The OA will terminate the problem-solving process if any Party withdraws from the process at 

any time for any reason. In addition, the OA reserves the right to terminate problem solving, if 

continuing it is unlikely to produce positive results. The OA may judge, for example, that trust 

cannot be established or the integrity of the process has been irreparably damaged. The OA will 

inform the Parties of its intentions to terminate in advance. 

6.8. Monitoring 

The OA will seek agreement from the Parties as to who will monitor implementation of 

agreements reached and how the monitoring will be conducted. 

6.9. Reporting 

The OA Director will report on the process and results of completed problem-solving action to 

the P&CEO, Management, and OPIC Board, regardless of the outcome. The OA will also 

prepare a final report on the problem-solving process that will be posted on the OA’s website. 

The OA will post any agreements reached on its website unless a Party objects. 

7. Compliance review 

7.1. General 

In a compliance review, the OA reviews and reports on OPIC’s implementation of relevant 

environmental and social policies and procedures with respect to an individual Project or a set of 

Projects about which a request has been made. The compliance review generates knowledge that 

Management can use to improve the environmental and social sustainability of the Project(s) 
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under review and of future Projects. The review focuses on OPIC’s actions rather than the 

client’s performance with respect to relevant OPIC policies, contract provisions or other client 

actions. 

7.2. Scope of review 

The potential scope of an OA compliance review includes OPIC’s implementation of policies 

and procedures governing environmental and social impacts, human rights, and worker rights. 

Because OPIC’s policies evolve over time, the benchmark for a compliance review is the same 

version of the policies that OPIC applied to the subject Project. A compliance review may 

examine 1) whether or not the set of policies applied was appropriate and adequate to prevent 

harm from the project, and 2) the actions taken by OPIC to implement relevant policies (up to the 

time when the request for review was submitted). In particular, the review examines whether or 

not appropriate implementation steps were followed and whether these steps were adequate to 

meet the objectives of relevant policies. 

Policy-related items that could potentially be reviewed constitute a hierarchy of U.S. laws, and 

OPIC directives, policies, and procedures, including: 

 OPIC’s statutory provisions such as sections 231 (n), 231A, 237 (m), 239 (g), and 239 (i) 

of the Foreign Assistance Act of 1961, as amended, and relevant report language. 

 OPIC’s 2010 Environmental and Social Policy Statement (ESPS), which encompasses 

much of the potential scope for compliance reviews. The ESPS contains requirements for 

Clients to comply with: applicable Performance Standards of the International Finance 

Corporation (IFC); IFC industry sector guidelines; applicable host country 

environmental, health, safety, and social laws; Labor Rights, which include 

Internationally Recognized Worker Rights (as specified Trade Act of 1974); and (for 

projects involving the construction and operation of dams) consideration of the core 

values and strategic priorities identified in the November 2000 Report of the World 

Commission on Dams. 

 OPIC’s procedures manual that explains how OPIC implements the ESPS. 

7.3. Appraisal 

The OA first performs an appraisal in order to determine if a full review is the appropriate 

response to the incoming request. In conducting the appraisal, the OA examines available 

project-related documentation, and discusses OPIC’s role in the project with relevant OPIC staff 

and possibly other stakeholders. The OA will refer the request to the relevant OPIC departments 

with a request for comment and information. The appraisal process identifies OPIC policies that 

are relevant to the incoming request, but does not evaluate OPIC’s compliance with them. 
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7.3.1. Appraisal Considerations 

Several criteria help guide the OA in determining whether or not the potential benefits from the 

information generated by a full review merit the time and resources involved in conducting it: 

1) How likely is it that the Project’s environmental or social impacts have harmed or 

may harm Affected Stakeholders? 

2) How strong are indications that the manner in which OPIC implemented its 

environmental and social policies and procedures is related to the harm or risk of 

future harm? 

3) To what extent has OPIC been working with the Client to address the underlying 

causes of harm? 

7.3.2. Appraisal Report 

The OA will prepare an appraisal report that includes its decision whether or not to conduct a full 

compliance review, the reasons for that decision, and possibly observations and suggestions 

relating to the subject Project or to future Projects. If the OA determines that a full review is 

warranted, the appraisal report will outline its scope and approach. 

The OA Director transmits the appraisal report to the P&CEO, Board, Requestor, and Client. If 

the appraisal report contains substantive observations about OPIC’s role in the Project to date, 

the OA will request that OPIC management prepare a response to them. If a full review is not to 

be conducted, the OA will close the compliance review component of the case after posting the 

appraisal report and any Management response on the OA’s website.

7.4. Full compliance review 

A full compliance review provides observations and analysis regarding OPIC’s application of 

relevant statutes, rules, policies, and procedures to the subject project. It is intended to generate 

knowledge that Management can use to reduce potential sources of harm and improve 

environmental and social outcomes by changing how OPIC applies its policies (e.g. due 

diligence, client engagement, clearances, and monitoring). 

7.4.1. Management of review 

The OA will manage the review and may participate in it directly. If OA contracts with outside 

consultants to assist, external experts who have provided non-OA services to OPIC in the 

previous 12 months will not participate in compliance reviews in order to ensure the 

independence of the process. 
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Once a review is initiated, the OA will have access to information and assistance from a variety 

of sources including: 

 OPIC staff and records – Discussions with OPIC staff will be conducted in 

accordance with applicable law and will be organized through a designated 

point of contact within OPIC. 

 Technical or legal consultants – The OA may arrange to have outside expert 

technical or legal advice provided in cases where it does not have all the 

expertise it considers necessary to make determinations in the specific case. 

 Requestor – The OA may consult with the Requestors. 

 Client – The OA may contact the Client directly or through an OPIC point 

of contact. 

7.4.2. Draft compliance report 

The OA Director will set forth findings from the review in a draft report, which will: 

 Summarize the information that was taken into account to produce findings 

and identify the sources of this information; 

 Provide observations as to OPIC’s compliance with relevant policies and 

procedures, as well as the causes of any deficiencies in compliance noted; 

and 

 If appropriate, offer recommendations for improving OPIC’s engagement 

with the subject Project and/or systemic recommendations for improving 

OPIC’s application of its policies to future projects.

The OA will circulate the draft report to Management for factual review and comment. 

7.4.3. Final compliance report 

Upon receiving comments from Management, the OA Director will finalize the report. The 

report is intended to provide the P&CEO with a basis for determining OPIC’s compliance with 

relevant policies, and for deciding whether any preventive or corrective actions should be taken. 

The Director will transmit the final report to the P&CEO and Board, with copies to Management. 

Once the findings have been discussed with Management, the Director will post the report on the 

OA website and notify the Requestors. 
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7.5. Management response 

The OA will request that Management prepare a written response to each project-specific or 

systemic recommendation contained in the compliance report. Management’s response, which 

will be posted on the OA website, includes any follow up actions that it considers to be 

appropriate. 

7.6. Monitoring and reporting 

The OA will 1) monitor implementation of any actions to be taken by OPIC in response to a 

compliance review, 2) report to OPIC’s P&CEO and Board on an annual basis, and 3) 

summarize its monitoring in the OA’s annual report.

7.7. Timing guidelines 

 The OA will seek to complete the appraisal report within 60 business days from initiating 

the compliance review phase of the case. 

 The OA will request that OPIC Management respond in writing to the appraisal report 

within 15 business days. 

 If a full review is called for, the OA will seek to complete it within six months. 

 The OA will request Management to respond in writing to the draft report within 15 

business days. 

 The OA will request that the P&CEO respond in writing to the final report within 15 

business days of submitting it to Management. 

The OA will provide written notice to Requestors if these time periods are to be extended. 

8. Communication and public disclosure 

8.1 Language

The OA will make provisions for its communications with Requestors to be in their local 

language or in a language that is locally understood. 

The OA will make provisions for its case-related reports or summaries thereof to be translated 

into the language of the requestors or into a language that is locally understood. 

8.2 Registry 

The OA has established a Registry on OPIC’s public website to provide information on the status 

of cases in which it provides problem-solving or compliance review services. Information 

provided on the Registry includes: 
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 Acknowledgement of incoming requests for service 

 Determinations of eligibility 

 Assessment reports 

 Agreements reached during problem-solving process 

 Problem-solving interim and final reports 

 Compliance appraisal reports 

 Compliance review reports 

 Management’s response to compliance appraisal and review reports 

 Monitoring reports 

 Notices that case has been closed 

8.3 Disclosure 

The OA abides by OPIC’s Privacy and Information Quality Guidelines. Confidential information 

provided to the OA in the course of problem solving and compliance review will remain 

confidential. 

8.4 Communications 

The OA will inform OPIC’s Board in writing of key case milestones (e.g. eligibility 

determination, assessment, completion of problem solving, Management response to compliance 

review) as they occur, and will otherwise report to the Board at least once a year. 

The OA will post an annual report of its activities, including the status of active cases, on its 

website.