Effective Grievance

Redress Mechanisms

by

Sanjay Agarwal

September 11, 2013; Washington DC

(for MoMP, Afghanistan)

Social Development Department

The World Bank
 Agenda
• Building Trust – The Feedback Loop
• The Importance of Grievance Redress
• Building Blocks of Effective GRMs
• GRM Value Chain
• Barriers to Filing Grievances
• Setting up a Basic GRM
• Grievance Redress Indicators
• Questions for Self-Assessment
Building Trust – The Feedback Loop
 What is a GRM?
“A Grievance Redress Mechanism is a system by which queries
or clarifications about the project are responded to, problems
that arise out of implementation are resolved and grievances and
grievances are addressed efficiently and effectively”
– Kalahi-CIDSS, Philippines

Some Common Characteristics of Effective GRMs:

• multiple grievance uptake locations and multiple channels for receiving
grievances;
• fixed service standards for grievance resolution;
• prompt and clear processing guidelines (including reviewing procedures and
monitoring systems);and
• an effective and timely grievance response system to inform complainants of the
action taken
Why is Grievance Redress Important?
Intrinsic value:
• Gives voice to the marginalized
• Builds greater trust and mutual respect between citizens and project
authorities
Instrumental value:
• Helps project management by enhancing efficiency as resources are targeted
properly
• Provides feedback in a systematic and timely manner
• Generates awareness and demand among citizens to utilize the services
properly
• Deters project-related fraud and corruption
• Allows beneficiaries to express their voices creating a sense of ownership
BUT
Effective grievance redress takes time, money, and manpower
 Risks Associated with GR
• May create tensions between citizens and project authorities
• May be captured by some people/CSOs better able to access the
GRM rather than those that represent community interests
• Depth of citizen involvement may be superficial
• Sub-optimal due diligence, rigor and/or financial investment
hampers GRM functioning
• Disproportionate focus on front end rather than back end work
limits the functioning of a GRM
• Making it easy to complain increases grievance volume
 GRM – Nam Theun Hydroelectric Project, Laos PDR
• Total project cost - $20
million (IDA grant)
• Significant resettlement
(6,300 people in 15 villages)
• 3 step process - (i) Village
Grievance Committees; (ii)
District Grievance
Committee; (iii) Provincial
Court
• Engaged a local NGO to
advise and counsel affected
persons
 GRM – Hubei Yiba Highway Project, China
• Total project cost - $2.2 billion
(of which $150 million IBRD
Loan)
• Significant resettlement
(`10,000 people)
• GRM design included multiple
access points, appeals process,
& a centralized database
• Later included a SMS based
system but people preferred
submitting complaints through
village authorities.
 Building Blocks of GRMs

• Commitment: Integrating GR into the project’s DNA by including GR in

job descriptions; provide staff and resources
• Six Principles: Fairness; objectiveness and independence; simplicity and
accessibility; responsiveness and efficiency; speed and proportionality; and
participation and social inclusion
• People: Dedicated and passionate GR personnel; continuous training and
learning
• Processes: Outlining and publicizing GR policy and procedures for six stages
of value chain
• Analysis: Regularly review and act upon grievances data and trends
Example: Grievance Redress Principles –
NCEP, Indonesia

Confidential

Transparent

Proportional

Objective

Accountable

Easy

Fast and accurate

Participative
 GRM Value Chain

• Uptake - How are grievances collected? At how many locations and through what
channels? What is the organizational structure for grievances handling?
• Sorting and Processing – How are grievances categorized, logged and
prioritized? Who are they referred to? How are they addressed?
• Acknowledgement and Follow Up – Are complainants provided receipts? How
are they provided progress updates?
• Verification, Investigation and Action – How is information about the
grievance gathered to resolve it? How are grievances escalated to higher levels?
• Monitoring and Evaluation – How are grievances tracked? How is grievances
data analyzed? How are processes modified to prevent grievances from recurring?
• Feedback – How are GRM users and the public at large informed about the
results of investigations and the actions taken on grievances?
 Example: Grievance Redress Steps -
NCEP, Indonesia
1. Documentation
2. Grouping and distribution
– Grouping of grievances is done on the basis of level, categories and status
3. Cross checking and analysis
4. Grievance handling facilitation
5. Monitoring on the problem solving process
6. Special discussion on grievance handling
7. Reporting and broadcasting of information
8. Special action and sanction
Receiving Grievances – Where & How?
Example: Kalahi – CIDSS, Philippines
– Letters
– E-mails
– Text messages
– Verbal narration from walk-in complainants
– Phone calls
– Reports on visits to project offices and sites by project staff, independent
monitors, supervision teams, government officials, or any interested
persons or special groups like IPs, elderly people, etc.
– Reports of staff, consultants, NGOs, LGUs and journalists
– Call in questions, comments or grievances from radio programs
– Findings of WB supervision missions
– Media newscasts, newspaper articles, and other publications
 What are the Barriers to Filing
Grievances?
• Women, poor and marginalized communities face
numerous barriers in complaining such as -
– Illiteracy;
– Lack of knowledge about their rights;
– Local culture and traditions (including powerful interests);
– Mistrust in government and fear of retribution;
– Lack of access to technology;
– Perceived hassle in complaining; and
– Belief that project authorities will not act upon their
grievances.
Removing Barriers to Complaining - How?
• Some strategies to reduce these barriers are:
– Establishing grievance uptake locations in areas where poor and
marginalized people live;
– Engaging local intermediaries (community based or civil society
organizations) to facilitate submission of grievances;
– Deploying community-specific communication strategies to allay fears
about and increase comfort levels for submitting grievances;
– Ensuring that there is no formal or informal charge for making
grievances;
– Treating grievances confidentially;
– ???
GRMs Need to be Participatory and Socially
Inclusive!
 Gemi Diriya, Sri Lanka – Problem Solving Communication Tree
If a problem is found
If not resolved
Step 1: – or – within the
a dispute occurs… community, follow
step 2

Allow 2 weeks for

Step 2: Take to Maha Sabha or BOD Chair action, before step
or Social Audit Committee 3 85% cases
expected to be
resolved
Take to HUB leader Allow 2 weeks for
Step 3: Tel: 0* *********** Address: GemiDiriya Foundation, action before step 4
Which Road, Which Town, Which district, Sri Lanka
10% of cases may go
up to this level
Take to District leader
Allow 1 week for
Step 4: Tel: 0* ***********
**********@slnet.lk
Email:
Address: GemiDiriya
action, before step
Foundation, Which Road, Which Town, Which district, 5
Sri Lanka
3% of cases may
go this level
Take to Project Director Tel: 011 Allow 1 week for
2688947 Email: [email protected]
Step 5: Address: GemiDiriya Foundation, 7A Reid Avenue,
action, before final
Colombo 7, Sri Lanka
step 6
2% cases
Take to World Bank Email:
Response will be
[email protected] Address: 1818 H St NW,
Step 6: Washington DC 20433, USA provided Within 48
hours
Exceptionally 0.5%
cases
Offline and Online Grievance Submission
Examples: Australia & India
• Maharashtra – Lokshahi Divas (First Monday of every month)
• Gujarat – SWAGAT (Fourth Thursday of every month)
• Tripti, Orissa
• Centrelink, Australia –
– http://www.centrelink.gov.au/internet/internet.nsf/about_us/grievances.htm
• Karmayog, an NGO, Mumbai – Facilitates collection of suggestions and
grievances for all government departments in Mumbai
• SATYA (Suggest an Action to Transform Your Area)
• Corruption ROKO (Corruption Report On Karmayog Online)
• WARN (Write A Report Now)
 Grievance Sorting
Example: Kalahi-CIDSS, Philippines

Kalahi-CIDSS categorizes grievances into the
following four categories:
– Category 1: Comments, suggestions or queries
– Category 2: grievances relating to non-performance of
project obligations
– Category 3: grievances referring to violations of law
and/or corruption
– Category 4: grievances against project staff or community
members involved in project management
 Grievance Registration - Methods

Grievance Registers/Books - Manual Entry

Low start-up cost;

Low technology requirements

Grievance Redress Information System (GR MIS)

High start-up cost and technological requirements;

Effective for monitoring and tracking

SMS Based Grievance Redress Systems

Quicker information gathering;

Automatic data transmission to centralized database;

Inexpensive;

Wider coverage
Design One Centralized Grievance Registration Database;
Use Multiple Grievance Registration Methods
 Setting up a Basic GRM
GRM Area Activities
Complaint Receipt •Assign a specific email id, phone number.
•Set up an easy to access "Suggestion/Grievance box”.
•Designate a complaints handling officer to receive, log,
monitor or track grievances; grievances can be registered into
grievance log books manually.
•Modify the project website (if any) to create a permanent
sub-window that facilitates collection of complaints.
Complaint Processing •Suggest timeframes and procedures to receive, log, monitor
or track complaints and respond to complainants.
•Assign complaint resolution responsibilities to existing staff
Monitoring and •Design a simple, easy to use, excel-based or log-book based
Tracking Complaints complaint registration and monitoring database
•Regularly review feedback received, cases resolved and
complaints trends in resettlement review meetings.
Complaint Processing Flowchart
 Common GR Indicators
• Number of complaints/ grievances registered
• Percentage of grievances resolved
• Percentage of grievances redressed within stipulated
time period; or time required to resolve complaints
• Percentage of complainants satisfied with response and
grievance redress process
• Percentage of project beneficiaries that have access to
GRM
Communication for Effective GRMs
Types of Communication
• Internal –
– Communication with GRM Users
– Communication with Employees
• External – Donors, partners, etc.
– Public reports about grievances/suggestions received
– Inclusion of a section on grievances/suggestions in
annual report
 Examples: GRM Communication
Some Essential Messages –
• How can a grievance be submitted? What are the types of grievances that can
be submitted? Where is a grievance form available?
• What are the agency’s timeliness standards for handling grievances?
• What are the limitations on the agency’s jurisdiction to handle grievances?
• What are the options available to a person if they are dissatisfied with how
their grievance was handled or with the outcome?
Messages to Build Trust –
• There is no financial charge for making a grievance
• Clients are encouraged to complain if they are dissatisfied or feel aggrieved
• Grievances are treated confidentially; there are no adverse repercussions for a
complainant.
• Grievances are valued by the agency because they help it improve its policies,
systems and service delivery.
 Communicating Through Print &
Electronically
• NCEP, Indonesia
– Specially designed brochures and a publicity strategy launched to ensure that all
stakeholders (over 10,000 operators and 200,000 beneficiaries) are aware of GRM
– Website provides detailed information and data on GRM
• Kalahi – CIDSS, Philippines
– Guide to Grievance Redress
• Centrelink, Australia
– Helping Centrelink Improve its Service
– http://www.centrelink.gov.au/internet/internet.nsf/about_us/grievances.htm
• UNDP, Tajikistan – CH Brochure
• National Health Service, UK
– Guidesheet for grievance Investigation
– grievances: Listening, Acting, Improving
 Questions for Self-Assessment
• Does the project have clear, formal and transparent internal
procedures for GR?
• Do project officials responsible for GR have the authority to
take or demand remedial action?
• Do project-affected people feel that they can provide feedback
without fear of retaliation?
• Does the GRM provide timely feedback (written or otherwise) to
the grievant?
• Is there an appeals process in place?
 THANK YOU!

For clarifications, please contact:

Sanjay Agarwal ([email protected])