The Complaints Handling Policy and Procedures in Islamic Relief
23/04/12
Islamic Relief Pakistan
Governing the organizational interaction with aid workers, right holders, contractors, suppliers and any other specified stakeholders in Pakistan
Background and Introduction 6
Significance of Complaints Handling 6
Defining a Complaint 7
Feedback: 7
Complaint: 7
Myths about complaints handling 7
Barriers in lodging a complaint 7
Benefits of Handling Complaints 8
Salient Features of the Policy 8
Administrative investigation not a substitute for criminal investigations 9
Timeframe for acknowledgement, redress and response 9
Anonymous complaints 9
Malicious Complaints 9
Scope of the Complaint Policy 10
The right bearers 10
The duty bearers 10
Geographical scope 10
Timeframe 10
Subject matter 10
Complaint Categorization 10
Breach of Protection Responsibilities 11
a. Non-communication about Humanitarian Code of Conduct 11
b. Cultural Sensitivity 11
c. Vulnerability 11
d. Social Impact 11
e. Environmental Impact 11
f. Needs assessment 11
g. Selection criteria 11
h. Technical Standards 11
i. Beneficiary Representation 12
j. Beneficiary Awareness 12
k. Breach of Entitlements 12
l. Ability to complain 12
How to Handle the Breach of Protection Responsibilities 12
Complaint Receiving Channels 12
1. Through complaint box: 12
2. Over the phone: 12
3. During the field visits and events: 12
4. Complainant visit to office: 12
5. Through community committees: 13
6. Through post: 13
7. Through e-mail at: 13
Investigation Committees 13
Response to the complainant 13
Redressing a complaint 13
Appeal Process 13
Complaint Referral 14
Compliance Method 14
Breach of Personal Responsibilities 14
a. Violation of Employee Code of Conduct 14
b. Violation of equal opportunity 14
c. Denying Staff Development 14
d. Work assignment issues 14
e. Technical support 15
f. Retaliation 15
How to handle the breach of personal responsibilities 15
INDIVIDUAL GRIEVANCE PROCEDURE 15
COLLECTIVE GRIEVANCE PROCEDURE 16
ELIGIBILITY 17
INFORMAL REVIEW 17
FORMAL REVIEW 17
TIME REQUIREMENTS 18
WRITTEN GRIEVANCE 18
APPEAL OF THE SUPERVISOR’S OR DEPARTMENT/DIVISION MANAGER’S RECOMMENDATIONS 18
HEARING COMMITTEE 19
HEARING PROCESS 19
DECISION 20
GENERAL PROVISIONS 20
ADMINISTRATIVE REVIEW 21
INFORMAL REVIEW 21
FORMAL REVIEW 22
TIME REQUIREMENTS 22
WRITTEN COMPLAINT 22
PROJECT / DEPARTMENT / DIVISION MANAGER ADMINISTRATIVE REVIEW PROCESS 22
REVIEW BY THE COUNTRY DIRECTOR 23
DOCUMENTATION 23
TIME LIMITS 23
GENERAL PROVISIONS 23
Compliance Method 24
Breach of Organizational Responsibilities 24
a. Fraud & Corruption 24
b. Procedural Non-Compliance 24
How to Handle the Breach of Organizational Responsibilities 24
1. Receiving the Complaints 24
2. Screening of the Complaints 24
3. Preliminary investigation 25
4. Initiating an investigation and appointing the Investigation Team 26
5. The Investigation Manager 26
6. Contacting the Complainant 27
7. Interviewing the Complainant 28
8. Contacting the Subject of Complaint (SoC) 29
Suspending the SOC 29
9. Interviewing the Subject of Complaint (SoC) 30
10. Interviewing other witnesses 30
Supporting the witness 31
Anonymous witness statements 31
11. Informing the relevant parties of the outcome of the complaint 32
12. Where the investigation ends and disciplinary proceedings start 33
13. Reporting and Storage 33
14. Victimization and Retaliation 33
15. Responding to Safety Risks 34
16. Compliance Method 34
General Guidelines for any Investigation Process 35
1. An investigation should never be conducted alone 35
2. Investigation Terms of Reference (ToR) 36
3. Background Reading and Documentary Evidence 36
4. Preparing for Investigation Interviews 37
5. DOs and DON’Ts of Good Interviewing 41
6. The four stages of interviewing 42
7. Note-taking, interview statements and sign-off 44
8. Completing an Investigation Report 45
a. Who writes the Investigation Report and who reads it? 45
b. How to write an Investigation Report 46
Learning and Improvement through Complaints Handling 49
Annexes 49
Annex-1: Complaint handling log-sheet 49
Annex-2: Tabulated Exhaustive Categorization of Complaints 49
Annex-3: Sample Investigation and Reporting Template 49
Annex-4: Complaint Registration Form A 50
Annex-5: Complaint Registration Form B 51
Annex 6- TORs for Focal Person “Internal Complaints” 52
Annex-7 TORs for Preliminary Investigation Team (PIT) 52
Annex-8: Complaints Mechanism Monitoring Checklist 53
Annex-9: Complaints Handling Process Flow 55
Background and Introduction
During any humanitarian/development intervention there exist a huge power imbalance between aid givers and aid receivers, if not addressed effectively this power imbalance complicates the situation leading to subsequent problems and issues at various levels. IR recognizes that every effort to reduce vulnerabilities and strengthen capacities would lead to progress and development for the people we work with during all types of humanitarian & development interventions. With this recognition, IR ensures that its programming remains beneficiary focused at all the stages and during the course of project implementation communities have their say in variety of ways and channels. We understand that every successful business see an effective complaints procedure as an important way to get feedback and improve on meeting customer needs. Since we exist to meet the needs of our project beneficiaries and protect their dignity, this is even more relevant.
IRP recognizes the right of stakeholders especially the right holder and project beneficiaries to complain and seek redress in a safe, accessible and dignified manner. IRP recognizes complaint handling mechanism as one the most important functions to materialize its values and commitment to continually improve management practices and its programs.
Significance of Complaints Handling
Our commitment to our vision, mission and values guides us not only to be vigilant by introducing various forms of controls over various program dynamics but we must allow our stakeholder to practice all those freedoms that nurture a friendly and conducive environment during the whole service delivery process. This combination of vigilance and freedom at all times results enhanced organizational performance, image and learning.
Below is our comprehension of the word COMP-LAINT. The first four letters of the word explain and talk about causes of complaints the last five letters explain the organization-wide effects of effective complaints handling.
C…Clarity: A complaint involves some sort of lack of clarity at one level or another. This deficit may be manifested in the form of bad communication before or during a formal or informal relationship.
O… Obligation: A breach of actual or perceived obligation or responsibility may develop into a complaint.
M… Maturity: Inexperienced and rudimentary policy, behaviors and interactions demonstrate lack of maturity and thus greater chance of complaints. If we are able to handle complaints we would be able to reach organizational maturity.
P…Persistence: Ability to implement agreed policies and procedures would be considered as persistence and such inability would cause complaints.
L… Learning: Our commitment to handle complaints would surely enhance our ability to learn comprehensively for improved performance in future.
A… Adaptation: Our complaints handling commitment helps us in dealing with new situations and bringing our ability to adjust without facing any bureaucratic hurdles.
I…Information: Any complaint carries valuable information that may be interpreted and analyzed for short term and long term adjustments, referrals and responses.
N... Negotiation: Organizational culture that encourages the openness and discussion would lead to ownership and hence ensure sustainability.
T... Trust: An important benefit of complaints handling is that it builds and inculcates culture of trust among the staff and communities and hence increased enthusiasm and dignity that would ultimately reduces the staff turnover and beneficiary dissatisfaction.
Defining a Complaint
Inputs that reach an organization because of its determined activities can be put into the following two broader categories:
Feedback: Inputs which are not due to grievance these are rather suggestions, comments or viewpoints. Feedback can be considered, discussed, challenged, used or disregarded, it is not mandatory to respond to feedback.
Complaint: It is the right of project beneficiaries, target communities and other specified stakeholder to question and receive a response from IRP about any real or perceived violation of their rights and procedural non-compliance including corruption and bribery. A complaint is a formal way of voicing concern against actual or perceived violation of rights.
Myths about complaints handling
1. Complaints are the same as feedback.
2. We should only listen to one type of complaint and ignore other types of complaints.
3. People in our culture either do not want to complain or would level wrong allegations against others and IRP.
4. It is not good practice to have more than one channel for people to submit a complaint.
5. Anonymous complaints can be ignored.
6. Informal complaints mechanisms are as good as formal mechanisms.
7. People who work with IRP would never use their position to get ‘special’ favors
8. We shall receive more complaints than we can actually deal with.
Barriers in lodging a complaint
1. Unknown negative fallout against the complainant
2. Lack of confidence of a complainant over the organizational systems
3. Absence of any formal complaints handling procedure
4. Absence of any precedents of safe redress
5. Overwhelming stress/anxiety/depression created by the vulnerability conditions.
6. Possibility of stigmatizing by the community
7. Usually the disaster affected communities are poorest of the poor as well, with fragile egalitarian make up. All the vulnerable communities and individuals have to strive for other pressing needs and keep on living at subsistence level.
8. Lack of understanding about rights of beneficiary community and their right to submit a complaint in case of any breach of beneficiary rights and entitlements.
Benefits of Handling Complaints
1. Bridge the communication gaps
2. To uphold the dignity of all stakeholders
3. To improve the trust between and among all stakeholders
4. Issues are identified in a timely manner
5. Clarifies different point of views
6. Stimulates and energizes the individuals and groups
7. Motivates the search for alternatives
8. Provides useful feedback for improvement
9. Provides mechanisms for adjusting relationships
10. Tests and extends the capacities of IRP and its beneficiaries
Salient Features of the Policy
IRP recognizes the right of all the aid workers, project beneficiaries and other members of the beneficiary community who have any direct or indirect stake into projects and functions to complain and seek redress. Different ways and means will be adopted according to the nature of the project and other social and cultural consideration to enable all the right holders to lodge complaints to IRP, each project site will have complaint handling mechanism in place. All the redress action will be taken according to the decision taken after investigation. In case complainant will be unsatisfied with the outcome he/she will be able to appeal against the outcome or the process. Responding to a complaint would be time-bound.
The Country Director of IR and Head of Humanitarian & Development Programs will be responsible to nominate focal points at each location. Each office will have a female nominee to be part of investigation team on complaints related to sexual exploitation and/or abuse. Agreement with the contractors will have a specific provision on dealing any issue between IRP and contractor and between contractor and community. The following are considered as the salient features of this policy document:
· Establishment of a comprehensive, robust and dignified mechanism.
· Easy and customized processes.
· Confidentiality of the complainant data at all the stages.
· Confidentiality of the staff data involved in any misconduct except the circumstance when top management decides otherwise explicitly.
· Competent human resource allocated to communicate, follow the procedure and adhere to commitment.
Administrative investigation not a substitute for criminal investigations
These guidelines outline the process to be undertaken in the event of an internal administrative investigation. Any such investigation should not be seen as a substitute for a criminal investigation when this is warranted.
Timeframe for acknowledgement, redress and response
All IRP staff would be required to forward each complaint received from any stakeholder to relevant complaint focal person (CFP) within 24 hours for registration and further processing. Each complainant would receive a written or verbal acknowledgement on his/her complaint within three days after receiving such complaint. Every registered complaint should be addressed within 15 days from the date of registration.
Anonymous complaints
Anonymous complaints are complaints in which the identity of the Complainant is not known. IRP recognizes the importance of treating anonymous complaints seriously because they may highlight issues that otherwise might not be brought to the organization’s attention.
Issues expressed anonymously will be considered at the discretion of IRP management. In exercising this discretion, the factors to be taken into account include:
a. The seriousness of the issues raised
b. The credibility of the allegations and the supporting facts
c. The likelihood of confirming the allegation through attributable sources
There may be sufficient background information and/or good leads to witnesses who can give strong testimony about the alleged incident.
A preliminary investigation will be the starting point for dealing with anonymous complaints.
Malicious Complaints
Investigation findings may prove that an allegation or complaint was intentionally false and made maliciously or in bad faith. In such a case, the investigators must report that a complaint was found to be malicious and should recommend that disciplinary procedures be initiated against the Complainant. It should be noted that just because a complaint is found to be unsubstantiated or untrue, this does not mean that the complaint was made maliciously.
IRP encourages its staff to report any incident, abuse or concern that they have witnessed, been made aware of or suspect. So long as a complaint has been made in good faith, there will not be any recrimination and retaliation against the Complainant.
Scope of the Complaint Policy
This document has been developed to deal all those issues that arise because of the interaction between IR and the stakeholders mentioned in this section. The scope includes right and duty bearers, geographical scope, timeframe and subject matter of a complaint. For the complaints outside the scope of the complaint policy it will be the sole discretion of the organisation to consider these or otherwise.
The right bearers
· Direct beneficiaries: Individuals and groups who are identified as our beneficiaries.
· Aid workers: All the staff members and volunteers appointed by Islamic Relief to provide any kind of services.
· Community members and groups: Individuals and groups who are not direct beneficiaries of the projects and may and may not be the residents of the target area.
· Any other individual or entity: Media, local government, I/NGOs any other specified stakeholder identified during stakeholder analysis.
The duty bearers
Individuals and groups who can become subject of investigation include IR staff, consultants, volunteers and contractors.
Geographical scope
IR is bound to respond to only those complaints that arise within its project areas.
Timeframe
IR is bound to respond to only those complaints that are lodged minimum 15 days before the completion of a project or program whatever is relevant in a given situation.
Subject matter
IRP is bound to respond to only those complaints that fall within one or more categories of complaints described in this document. (Annex-5)