9 Establishing grievance redress
mechanisms
A grievance is an issue, concern, problem or claim relation to the development of a new policy that
(perceived or actual) that an individual or group wants affects their business.
to have addressed and resolved. Grievance redress
mechanisms are the formal systems through which It is important to make a distinction between
stakeholders can lodge any grievances that arise relating “feedback” and “grievances”. A provider of feedback
to the design, implementation or assessment of policies. does not expect a specific response or resolution.
These mechanisms can take a variety of forms, although In contrast, for a grievance, the complainant seeks
they are typically independent of the entities that are the a direct response or redress. Feedback that is not
subject of grievances. Grievance redress mechanisms effectively dealt with may escalate into a grievance.
are vital to safeguard policies, secure adequate Grievance redress mechanisms are usually separate
protection for human rights, and ensure just transitions from the collation of feedback through the usual
to greener and low-carbon economies. stakeholder engagement processes.
Checklist of key recommendations Grievance redress mechanisms are not intended
or expected to replace established legal channels
• Provide the necessary legal instruments to for prosecuting wrongdoing. Effective grievance
enable the grievance redress mechanisms and redress mechanisms serve as a “first line” of
to deliver a response, to provide redress, or response to stakeholder concerns, complementing
to pass the grievance to a more powerful relevant national legal and administrative processes.
decision-making body such as in the justice Effective integration within the national legal system
system or government and clear guidelines for referral may be important
• Establish grievance redress mechanisms for a grievance redress mechanism to function
that are accessible to all stakeholders, effectively.
socioculturally appropriate, gender-sensitive
and tailored to the local context Effective grievance redress mechanisms help to:
• Ensure the impartiality and independence of
• ensure accountability by providing a channel
grievance redress mechanisms, employing a
through which stakeholders can hold
consistent, credible and objective approach in
actors accountable for their obligations and
all investigations and decisions
commitments
• Secure the safety and rights of all
stakeholders who use grievance redress • serve as an early warning system by helping
mechanisms, where necessary ensuring to identify problems and close gaps in a timely
anonymity and/or protection of complainants and cost-effective manner, thereby avoiding
from potential reprisals escalation of problems into more entrenched
• Ensure that grievance redress mechanisms or complex disputes
are responsive, and process grievances in an
efficient and timely manner • identify recurring problems or grievances that
may escalate by helping to identify underlying
systemic issues that need to be addressed
9.1 Importance of grievance redress • ensure respect for rights by providing a
mechanisms channel through which human rights abuses
can be detected and redress obtained
Policies involve and impact a range of stakeholders.
Potential grievances could be very broad in scope. • tackle corruption by providing a secure
For example, a grievance might involve indigenous channel for victims and whistle-blowers to
peoples and local communities that have been seek and achieve redress.
negatively impacted by a hydropower or renewable
energy project, or may be lodged by a company in
Part II: Key elements of effective stakeholder participation 45
9.2 Defining the type and scope of mechanisms is appropriate to deal with their
of a grievance redress mechanism concern.
Grievance redress mechanisms can take different Effective national grievance redress mechanisms
forms and have different functions depending on should be able to address a broad scope of concerns
the context in, and purpose for, which they are at the point of initial receipt and processing. Where
established. It is a key recommendation to provide the grievances received fall outside the remit of the
necessary legal instruments to enable the grievance grievance redress mechanism, an effective referral
redress mechanisms to deliver a response, to provide system should be in place to ensure that grievances
redress, or to pass the grievance to a more powerful are addressed through the appropriate channels or
decision-making body such as in the justice system institutions. The onus should be on the grievance
or government. Grievance redress mechanisms redress mechanism, not the complainant, to ensure
can be judicial or non-judicial. Judicial grievance the best avenue for redress.
redress mechanisms have the advantage of having
the “teeth” to sanction wrongdoing, which a non- Grievance redress mechanisms should align and
judicial grievance redress mechanism usually cannot. conform with the existing legal and institutional
However, non-judicial grievance redress mechanisms frameworks established in the relevant country.
can provide an important alternative to processing a
grievance through the national legal processes, which
can sometimes be lengthy or ineffective.
9.3 Establishing accessible channels
It is important to define the scope of a grievance to submit grievances
redress mechanism, and provide clear guidance
to potential users on what they can expect from It is a key recommendation to establish grievance
the mechanism, what issues the mechanism deals redress mechanisms that are accessible to all
with and what issues are outside its remit. Types of stakeholders, socioculturally appropriate, gender-
grievance redress mechanisms include: sensitive and tailored to the local context. The
grievance redress mechanism should be tailored to
• community-based grievance and dispute the needs and context of the potential users. For
resolution mechanisms example, secure channels for verbal communication
of grievances (which are transcribed and reported)
• operational-level mechanisms to handle may be most appropriate where literacy is low,
grievances relating to a specific project whereas in other contexts written or online
reporting schemes may have the greatest reach and
• national human rights institutions that accessibility.
handle more serious allegations of abuse or
mismanagement When designing a grievance redress mechanism, find
out what already exists and how people prefer to
• anti-corruption hotlines, integrity units or anti- deal with grievances, and involve stakeholders in the
corruption agencies to deal with allegations of process of creating the mechanism. It will often be
corruption, fraud or abuse of authority most appropriate, and possibly even more efficient
and effective (depending on proven performance), to
• mechanisms associated with international build upon or adapt existing mechanisms in the local
development and climate finance institutions or national context, rather than establishing new
(e.g. the Inspection Panel of the World Bank, mechanisms. In most cases, a variety of channels will
the Green Climate Fund’s Independent be required to ensure that all potential complainants
Redress Mechanism and Independent are able to submit their grievances. Depending on
Integrity Unit) the context, these channels can include:
• sectoral and multi-stakeholder grievance • dedicated email address or web page
mechanisms that address breaches in
commonly agreed standards (e.g. under the • verbal or written feedback at a drop-in centre
Roundtable on Sustainable Palm Oil).
• verbal communication at a meeting
When a citizen or community wishes to file a
grievance, it can be a complex and unwieldy • physical feedback box at an office or in a
process for them to identify which of a multiplicity public place
46 Stakeholder Participation Guide
• telephone hotline number the level of project implementation (see Chapter 7
for guidance on effective methods for providing
• text message (e.g. SMS) information to different stakeholder groups).
• social media (e.g. Twitter, Facebook). In publicizing the mechanism, it is important
to manage expectations of potential users by
Consider establishing specific approaches or making explicit its scope, mandate and functions.
channels to ensure access for different stakeholder Information that is important to provide includes:
groups. For example, although community meetings
may be the best mechanism to gather input from an • who can submit grievances
affected community, women or marginalized groups
may not speak openly in this context, so it may be • where, how and when grievances can be
appropriate to provide a distinct and safe space to submitted
collect their input.
• the scope of the grievance redress
It is a key recommendation to ensure the impartiality mechanism, including any limitations to the
and independence of grievance redress mechanisms, problems that can be dealt with and the
employing a consistent, credible and objective criteria that will be used to assess whether
approach in all investigations and decisions. grievances are accepted or rejected
Whichever channel or channels are established to
process grievances, it is important to build trust • the timelines, steps and processes for
in the system by guaranteeing impartiality and handling grievances
independence in the process of receiving and
handling grievances. The grievance mechanism • the types of responses and outcomes that can
should have no link to any of the bodies that might be expected
be the subject of the grievance; if such a link exists,
the impartiality and validity of the mechanism risk • the institutions that will be involved in
being compromised. handling grievances
It is a key recommendation to secure the safety • the possibility of submitting a grievance
and rights of all stakeholders who use grievance anonymously
redress mechanisms, where necessary ensuring
anonymity and/or protection of complainants from • the rights and protections provided for
potential reprisals. Anonymous reporting needs complainants
to be an option to support the safety and security
of complainants. Specific protections should be • how the information in a grievance case can
offered to complainants, especially in contexts where be shared and used.
whistle-blower protection is weak or non-existent.
9.5 Handling grievances
9.4 Publicizing the grievance redress
mechanism It is a key recommendation to ensure that grievance
redress mechanisms are responsive, and process
Once the scope of the mechanism has been defined grievances in an efficient and timely manner.
and the channels through which grievances will be Responsive mechanisms provide information on
received have been established, it is important to expected timelines and actions to be undertaken
publicize the mechanism widely with all stakeholders when the grievance is lodged. They also provide
and potential users, so that they are aware of regular and systematic information to the
channels available and what they can expect when complainant on the progress of their case until it
submitting feedback or a grievance. is resolved. Receiving, processing and resolving
grievances should be a systematic process
Define the best means of communication and that follows clear guidelines and principles of
outreach to build awareness of the mechanism in the objectivity, integrity, and respect for the rights and
context. For example, it may be most appropriate to confidentiality of all involved stakeholders. The
provide clear information on institutional websites, exact process to be followed will depend on the
or via information boards or community meetings at details of the case in question, but the core steps
Part II: Key elements of effective stakeholder participation 47
involved in receiving and processing grievances are response that deals with the issues raised. For more
as follows. complex cases, further assessment and engagement
with the complainant and other stakeholders may
Step 1: Record the grievance and acknowledge be required to jointly determine the best course of
receipt action. Finally, there will be cases where referral to
Once a grievance is received through one of the another appropriate mechanism or body, such as a
established channels, log it in the grievance data national ombudsman or human rights commission,
management system. Send the complainant a prompt is required to effectively handle the grievance.
acknowledgement, and information on the potential
follow-up actions and timeline. The joint Forest Carbon Step 5: Communicate the proposed response
Partnership Facility (FCPF) and UN-REDD Programme Whichever course of action is deemed most
Guidance Note for REDD+ Countries: Establishing and suitable to the case in question, communicate the
Strengthening Grievance Redress Mechanisms47 suggests proposed response to the complainant in a timely
that complaints should be acknowledged within and accessible manner. The joint FCPF and UN-
3–5 days of receipt. Even where a grievance is minor REDD guidance for grievance redress mechanisms
or can be directly resolved, record the details in the proposes that a response should normally occur
centralized system for monitoring and evaluation within 14–21 days of receipt of the grievance. Make
purposes. the rationale for the response clear, and explain the
complainant’s options for how to proceed. Options
Step 2: Assess eligibility might include accepting the proposed response,
To ensure consistency and objectivity, follow clearly appealing the proposed response, or seeking further
established guidelines to assess the eligibility of action via an alternative avenue for redress.
the grievance. The criteria for eligibility should be
publicly available. If the grievance is assessed as Step 6: Close the case
falling outside the scope of the mechanism, clearly Once agreement has been reached with the
communicate this to the complainant, together complainant on the proposed course of action to
with the criteria used to reach this conclusion. If the address the grievance, implement the response and
grievance is assessed as falling within the scope of close the case. Collect evidence on the corrective
the mechanism, a detailed review and analysis will be actions taken (e.g. photos or documents, a record
required. of resolution, an agreement with the complainant, a
confirmation from the complainant).
Step 3: Review and analyse the information
Conduct an independent, objective and impartial Step 7: Handle appeals
review of the information submitted. In many cases, Ensure that an appeals process is in place in case
it may be relatively straightforward for the entity that complainants are not satisfied with the decision
received the grievance to identify and implement a of the grievance redress mechanism. The appeals
solution. In more complex cases, further investigation process should involve an independent panel that
and analysis may be required, involving multiple can objectively verify the outcome of a case. Inform
stakeholders. When dealing with serious allegations, complainants about their rights to appeal, as well
it may be necessary to collaborate with law as any alternative national legal or administrative
enforcement bodies. Systematically record all actions channels that may be available to address their case.
and findings, and send the complainant regular
communications on the progress of their claim.
Step 4: Develop a resolution 9.6 Monitoring cases and grievance
Flexibility is key to ensuring effective resolution redress mechanism effectiveness
of grievances, which may have a broad scope. An
effective grievance redress mechanism incorporates Careful records should be maintained within a
a variety of grievance resolution approaches, computerized data management system of all
and the complainant should have a say in which grievances received, as well as the actions taken to
approach is adopted. For relatively straightforward respond to them. Carefully maintaining records for
or common grievances, it may be possible for future analysis has two chief purposes:
the team handling the case to directly develop a
• to monitor the grievances that are received, in
order to identify common issues and potential
trends that may imply systematic capacity
47
Available at: www.forestcarbonpartnership.org/sites/fcp/
files/2015/September/FCPF_UN_REDDWebReady.pdf.
48 Stakeholder Participation Guide
issues or gaps that need to be addressed on a For guidance on grievance redress relating to REDD+
wider scale (e.g. by altering policy design) initiatives and actions in forest-rich countries, see:
• to evaluate the overall performance of the • FCPF and UN-REDD Programme Guidance
grievance redress mechanism and compliance Note for REDD+ Countries: Establishing and
with the principles of fairness, impartiality, Strengthening Grievance Redress Mechanisms49
accessibility and responsiveness. This will
ensure that weaknesses in the system are For guidance on non-judicial grievance mechanisms,
identified, and will allow adjustments to be see:
made to the processes and procedures, as
necessary. • SOMO’s The Patchwork of Non-Judicial Grievance
Mechanisms50
An oversight body should be established with
advisory authority to monitor performance and For guidance on grievance mechanisms to address
provide strategic advice about the grievance redress corruption, see:
mechanism. This can be an independent entity or a
multi-stakeholder body that includes government • Transparency International’s Complaint
and representatives of relevant stakeholder groups. Mechanisms Reference Guide for Good Practice.51
Transparency is a key element of any effective
review and evaluation process. Although there will
likely be case-specific information that is sensitive
and should not be shared publicly, it is important
to make aggregate information (e.g. on the types
of grievances received and the approaches used to
resolve them) publicly available to demonstrate the
effectiveness of the system. This can help to build
trust or, where necessary, signal cause for reform
(e.g. through improved public outreach).
9.7 Supporting the functioning
of grievance redress mechanisms
Ongoing resources, financial and otherwise, will
need to be identified and made available for the
functioning of grievance redress mechanisms. These
include resources for receiving and processing
grievances, as well as for providing redress, as
appropriate.
9.7.1 Further references
For guidance on the effective review of grievances
from communities affected by development projects
undertaken by climate finance institutions, see:
• Compliance Advisor Ombudsman’s A Guide
to Designing and Implementing Grievance 49
Available at: www.undp.org/content/dam/undp/library/
Mechanisms for Development Projects48 corporate/secu/Joint-FCPF--UN-REDD-Programme-Guidance-Note---
Establishing-and-Strengthening-Grievance-Redress-Mechanisms-EN.
pdf.
50
Available at: www.somo.nl/the-patchwork-of-non-judicial-
grievance-mechanisms-2/.
48
Available at: www.cao-ombudsman.org/howwework/advisor/ 51
Available at: https://knowledgehub.transparency.org/product/
documents/implemgrieveng.pdf. complaint-mechanisms-reference-guide-for-good-practice.
