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Complaints Handling systems

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1

Introduction and purpose 2

What is a complaint? 2

Standards for complaints handling systems in DCA 3

Operational and sensitive complaints 4

Connection between DCA Complaints Handling Systems and Partners’ Systems 4

Designing a complaints handling system 5

An overview of the complaint handling process for sensitive complaints received in the global system 7

Advice and Training 9

Resources 9

APPenDIx 1: OveRvIeW Of PROCeSSIng A COmPlAInT In DCA’S COmPlAInTS HAnDlIng SySTem 10

APPenDIx 2: TemPlATe fOR A lOgbOOk fOR OPeRATIOnAl COmPlAInTS 11

APPenDIx 3: STAnDARD TeRmS Of RefeRenCe fOR InveSTIgATIOn Of A SenSITIve COmPlAInT 12

january 2015

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IntroductIon and purpose

DanChurchaid is a rights-based organization and aims to work in an open, transparent and learning manner and to be accountable for our actions. an effective complaints handling system can help us ensure the respect and dignity of those who raise a complaint and improve our accountability to partners, rights holders and other stakeholders. a complaints handling system can alert us to issues of abuse of power, misuse of funds, human rights abuses and possible adverse effects on human rights in our work. Moreover, it can assist us to rectify and remedy mistakes, manage risks, improve security and generally improve the quality of our work.

The purpose of this guide is to support DCa’s regional and mine action offices when establishing and managing new regional or country complaints handling systems. DCas regional and mine action staff can also use it when they facilitate partners’ work with complaints handling.

In annex 1, you will find an overview of how a complaint is processed in DCa’s complaint handling system.

What Is a complaInt?

The aCT alliance defines a complaint as a formal expression of dissatisfaction or discontent, and/or misconduct, about someone or something. It distinguishes between ‘feedback’ and ‘complaint’. ‘Feedback’ is any positive or negative informal statement of opinion about someone or something. It is an opinion shared for information or as part of the ongoing dialogue with partners, rights holders or other stakeholders on programme and project activities - but not with the intention of submitting a complaint. a ‘complaint’ requires a formal response and remedy, where it turns out to be justified, as described in the procedures below. This is not the case for feedback received in the ongoing dialogue on our activities with partners, rights holders or other stakeholders.

a complaints handling system is not replacing a culture of openness and dialogue, but when this has failed a complainant can submit a formal complaint if this is the only way to address his/her concern.

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For a complaints handling system to be genuine and effective, the intended users must know about the system, be able to access it, know the procedures and have trust in the effect and confidentiality.

DCa’s complaints handling systems are guided by the effectiveness criteria established under the un Guiding Principles on Business and Human rights and aim to live up to these criteria (please see box).

UN Guiding Principles, Effectiveness Criteria for non-judicial grievance mechanisms:

Legitimate: enabling trust from the stakeholders it is intended for

Accessible: known and understandable to all stakeholders and ensuring access for those groups who may face particular barriers

Predictable: providing a clear and known procedure with an indicative time frame for each stage, and clarity on the process and outcome available

Equitable: ensuring that stakeholders have reasonable access to information, advice and expertise necessary for submitting a complaint in a grievance process

Transparent: keeping complainants informed about its progress, and providing sufficient information about the mechanism’s performance to build confidence in its effectiveness

all complaints handling systems has to be developed in consultation with the intended users to ensure relevance. Complaint handling systems should not undermine or preclude access to state judicial and non-judicial mechanisms in any way.

The DCa global complaints handling system is accessible on our website. The global complaint system is available to all stakeholders. However, we believe that our complaints handling can best live up to the criteria listed above if complaints are raised as close to the relevant regional or Mine action office as possible.

all DCa’s regional and Mine action offices shall therefore establish a system for complaints handling within 12 months of the start-up of the office. The local procedure shall be developed in consultation with partners and representatives of the rights holders to ensure that it is legitimate and culturally and socially appropriate.

standards for complaInts handlIng systems In dca

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It is important that the regional and Mine action offices agree with each partner on how the partner or we will deal with complaints about the work of the partner or staff.

Complaints about DCa activities or staff are straight-forward and we handle these in the DCa complaints handling systems.

Operational complaints about a partner organisation will be referred to the partner organization unless DCa and the partner has agreed on a different arrangement.

Sensitive complaints about a partner organization will be referred to the partner’s complaints handling system if that is safe and trustworthy and only with the complainant’s consent. If these conditions are not met, the complaint should be submitted in DCa’s global complaints system.

connectIon betWeen dca complaInts handlIng systems and partners’ systems

In DCa, we distinguish sensitive from operational complaints. Sensitive complaints are about corruption, sexual exploitation and abuse, or other gross violations of our staff code of conduct. all sensitive complaints received by DCa staff and managers have to be reported within 7 days to the global complaints handling system that can be accessed via DCa’s website, under the heading “about us/Quality assurance”.

all operational complaints can be handled by the regional Office or Mine action office if there is a complaints handling system in place in the office. If this is not the case, then also the operational complaints have to be reported via the DCa’s global complaints handling system at our website. Please see box for practical examples of sensitive and operational complaints respectively.

Examples of issues classified as sensitive complaints:

Misbehavior, misuse of position or gross misconduct by DCa staff

Violation of DCa’s Staff Code of Conduct and related policies, such as the policy to prevent sexual exploitation.

Misuse of funds as described in DCa’s anti-corruption policy

Conduct that compromises security or poses other risks to the programme activities or staff

Examples of issues classified as operational complaints:

Insufficient quality and quantity in the implementation of programme activities

Partner dissatisfaction with contracts and general cooperation

DCa staff behavior not classified as a sensitive complaint

Complaints about advocacy or policy statements

Complaints about fundraising activities

operatIonal and sensItIve complaInts

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The process of drafting a DCa country complaints handling system and facilitation of partners’ work with complaints handling systems should contain the following components:

Step 1: Purpose Describe the purpose of the complaints handling system

Step 2: Valid complaints as a standard, DCa’s complaints handling systems accept complaints related to our activities, and the conduct of our

staff and volunteers. Specify the complaints that are suitable for the complaints handling system and those that are not. For example, complaints about staff employment conditions, salaries etc. should be referred to the staff representation system, not the complaints handling system.

Consider and describe how you will handle anonymous complaints. Please note, that the board of DCa has decided that we will not process anonymous complaints, as we believe our complaints handling system is safe and trustworthy. Moreover, it is difficult to investigate complaints if they are raised anonymously. If the complainant sees no other option than to maintain anonymity, he/she can raise a case through a DCa staff who files the case in the complaint handling system without revealing the name of the complainant.

Describe who has access to the complaint handling system: the intended users and stakeholders affected by DCa’s activities.

Step 3: Consultations Define relevant stakeholders that should be consulted; for example: partners, the communities we work with, and other

stakeholders

Decide when and how to consult stakeholders to get their inputs to designing the complaint handling system.

Step 4: Design Define and describe how and in which forms complaints can be submitted based on the consultations with stakeholders.

The entry points to the system should be as inclusive as possible to enable all stakeholders to use the system: e-mail, SMS, suggestion box, verbal communication (directly by the complainant or via a trusted person), meetings with stakeholders etc. Make sure that the entry points are appropriate, safe and accessible for all stakeholders in the local context.

Describe how you define and will handle sensitive complaints. Please remember that all sensitive complaints have to be referred to DCa HQ through the global system. The process of handling sensitive complaints is described further below.

Describe how you will ensure confidentiality when receiving a sensitive complaint.

Describe how you define and will handle an operational complaint.

Set deadlines for how soon you must confirm receipt of a complaint and describe how you will keep the complainant informed during the investigation process.

Set up a complaints handling body in the office that will be responsible for handling complaints.

Set up an appeals body, where complainants can appeal if they are not satisfied with the first response, or decide and clarify that complainants can use DCa’s global appeals body.

desIgnIng a complaInts handlIng system

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Step 5: The internal complaint cycle Define who can file complaints and the nature of the complaints

Define who receives the complaints

Define who assesses whether the complaint is valid and whether it is operational or sensitive

Describe the division of labour in the complaints handling cycle, who is involved and who is not.

Explain who communicates the response to the complainant and how.

Define who is responsible for keeping the logbook with the operational complaints in accordance with the template attached in annex 2. Summary of the logbook has to be shared with HQ on an annual basis and feeds into the annual complaints report and organizational learning.

Please refer to annex 1. for a diagram of the cycle of a complaint in the DCa system.

Step 6: Training and communication Decide how and when to train staff in complaints handling procedure

Decide how and when to train partners and communities in complaints handling procedures

Decide what and how to communicate about the complaints handling system to different stakeholders, including groups that face specific cultural, social or physical barriers to access to information

Step 7: Review and evaluation. Decide how and when to review and evaluate the complaints handling system

Step 8: Implementation timeline. Make a timeline for the process of rolling out the complaints handling system and appoint the responsible persons involved

in each step.

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all sensitive complaints received in DCa must, as stated earlier, be reported through the global complaint handling system within 7 days from the day it is first known to a DCa staff. Sensitive complaints regarding a partner organisation will be referred to the partner only after agreement with the complainant and if the partner has a safe and trustworthy complaints handling system. Otherwise, partner related sensitive complaints received should be referred to and handled in DCa’s global complaints handling system.

General elements in the handling of sensitive complaints:

WE rECEivE ComPLAiNTs through the global complaints handling system in the complaint inbox (complaint@dca.dk). This is accessible by only two Human resource employees at DCa headquarters in Copenhagen. When we receive a complaint, we assess the foundation and justification of the complaint. In the case of substantial suspicion, the complaint is further pursued. WE EsTAbLish A ComPLAiNT CommiTTEE for each sensitive complaint that we pursue. The committee leads the investigation of the case and is typically comprised of at least one member of senior management, and the head of the unit concerned. We appoint a secretary to support the investigation. The complaint committee will: Develop Terms of reference and an outline of the investigation process (see example in annex 3).

appoint an investigator, who will conduct the investigation of the case. usually we appoint one or two investigators with the relevant competences and professional qualifications.

Inform the complainant about the investigation and follow up on the case, when there is a conclusion of the investigation and a decision on the response.

Specifically on complaints regarding sexual exploitation and abuse: First of all take the necessary precautions to protect the victim from further exploitation or abuse, and make him/her feel safe and secure. Secondly, immediately refer the case to HQ Human resource Department that will initiate an immediate investigation of the case and take responsibility for further handling and guidance. DCa will ensure that a legal authority and a lawyer is consulted if legal proceedings are available and safe. DCa always offers urgent psychological support to the victims of sexual exploitation and abuse

Specifically on complaints regarding substantial suspicion on financial mismanagement/corruption: Immediately inform the relevant donor (the Ministry of Foreign affairs, the Eu, Danish/International partners or others) and take steps in order to revise and adjust relevant guidelines and procedures to stop and prevent further mismanagement and/or corruption.

ThE iNvEsTiGATors immEdiATELy sTArT ThEir Work when appointed by the complaints committee in accordance with the Terms of reference. The investigators will: Conduct interviews with the complainant, victims (if different from the complainant), witnesses and employees. In some

cases, a thorough audit is undertaken by an external auditor.

Ensure confidentiality and objectivity when investigating a case, e.g. the protection of the complainant. Confidentiality is critical to a satisfactory outcome because it protects the privacy and safety of the complainant, the subject of complaint and others that may be directly or indirectly involved. The scope and nature of the complaint, the identity of the perpetrators, possible victim(s) and witnesses, and the investigation records are strictly confidential. This means that access to and dissemination of information will be restricted to the minimum number of people required to conclude the investigation. We share information on a strict ‘need to know’ criteria.

Formulate an investigation report on the evidence to support or refute the allegations in the complaint. The report should describe the main findings and the methodology of the investigation.

an overvIeW of the complaInt handlIng process for sensItIve complaInts receIved In the global system

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ThE Work of ThE sECrETAry of the complaint committee is comprised of the following: Set up meetings in the complaint committee, inform the complaint committee about progress and status in the investigation of a case, put the case on file, draft reports to donors where relevant, and publish information, in an anonymous form, about the case on DCa’s online complaint site.

fiNANCiAL qUALiTy CoNTroL of sENsiTivE CAsEs: In cases concerning financial mismanagement and/or corruption we involve a financial coordinator. The financial coordinator is a member of the complaint committee and/or the investigation process. The financial coordinator communicates with the regional or Mine action office about the progress of the case, especially with the country representative and the external auditor and comments on the financial aspects of the investigation reports. Furthermore, the financial coordinator informs the complaint committee about the progress with regard to the financial issues.

oUTComE of A sENsiTivE ComPLAiNT ProCEss: If the investigation confirms that DCa’s code of conduct or anticorruption policy were violated or abuse took place, we take further steps: if the case concerns dCA staff: DCa takes immediate disciplinary action. If money was misused, it will be repaid if at all

possible.

if the case concerns a partner organisation: The partner organisation is required to take the necessary precautions to stop, identify and correct the causes leading to the complaint and the effects of the misconduct, abuse or corruption. In corruption cases, the financial loss should be covered by the partner organisation. If this is not possible, DCa will cover the financial loss with own funds, in the cases involving funding by back donors.

notify the police unless special conditions speak against doing so (for example issues of personal safety and health, the effectiveness and quality of the judicial system, the cost of a trial, etc.).

report to the relevant donor (The foreign ministry, the Eu or others) on the scope, process and follow-up measures of the case. In addition, sister organizations are informed about the case if relevant.

Publish the case. We publish the anonymized cases online on the DCa complaint site on DCa’s website and publish an annual complaint report with a summary of the cases and lessons learnt.

APPEAL of a sensitive complaint: If the complainant does not accept the outcome of the complaint process, the complainant can appeal to the DCa appeal committee. The appeal committee consists of DCa representatives that have not been involved in the complaints handling previously: the Chairman of DCa, the General Secretary and a third DCa board member

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advIce and traInIng

The Complaints Handling Focal Point in the Human resource unit in DCa HQ provides additional advice, guidance, training and other types of support for the complaint handling processes and outcomes. The HaP Focal Point in PPa is also available for consultation.

We have developed material and offer workshops in complaints handling and general accountability training. Please contact PPa’s HaP Focal Point for more information.

For further guidance on accountability, please see DCa’s guidelines on Participation, Information Sharing, Targeting and DCa’s anti-Corruption Policy.

resources HaP 2010 Standard

Core Humanitarian Standard

un Guiding Principles on Business and Human rights, 2011

IPIECa Good Practice Survey: Operational Level Grievance Mechanisms, 2012

DCa’s Guideline on Information Sharing

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DCa

staff or m

anager at a DCa

country offi

ce receives a complaint

DCa

staff or m

anager at a DCa

country offi

ce receives a complaint

DanChurcha

id

Is it a sensitive com

plaint or a operational com

plaint?

I don’t know/

am not sure

To do: Take a look at the definition in the Guideline for CH

S or contact the global CH

S focal point in the H

uman r

esource departm

ent in D

Ca H

ead Offi

ce

To do: In agreem

ent w

ith the com

plainant refer the com

plaint back to the partner-organisation**

Operational

Operational

Is there a local CH

S in place?

To do: 1. H

andle the com

plaint by local procedures 2. r

egister in the com

plaint register

To do: In agreem

ent with

the complainant

refer the complaint

to the partners CH

S**

To do: r

eport the com

plaint in the global CH

S

To do: r

eport the com

plaint in the global CH

S

yesyes

no

no

SensitiveSensitive

To do: report

the complaint in

the global CHS

Does the partner have a

safe and trustworthy CH

S*?

Is it a sensitive com

plaint or a operational com

plaint?

Partner

* The quality and trustworthiness of a partners CH

S is evaluated at the country-office level, but advice can be obtained from

the global CHS focal point in the H

uman r

esource department in D

Ca H

ead Offi

ce

** It is of key importance, that the referral of the com

plaint is done in consultation and agreement w

ith the complainant. If the com

plainant does not accept, the complaint should be reported to the global CH

S w

ith reference to the dialogue with the com

plainant.

ANNEX 1: Overview of processing a complaint in DCA’s complaints handling system

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rEG. N

o.dATE of r

ECEiPTm

odE of rECEiPT

NAm

E, dEsiGN

ATioNAN

d CoNTACTs

of ComPLAiN

ANT

GENdEr

(f/m)

dEsCriPTioN

of Com

PLAiNT

dEsCriPTioN

of iN

vEsTiGATioN

ANd r

EsoLUTioN

ProCEss

dEsCriPTioN

of r

EsoLUTioNACTivE or

CLosEd (PLEa

SE nO

TE THE

DaTE OF CLO

Sur

E)

LEssoN LEAr

NT

ANd foLLoW

UP m

EAsUrEs TAkEN

ANNEX 2: Template for a Logbook for Operational Complaints

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Background (Describe the complaint in a few lines)DCa HQ has decided to conduct an investigation of these allegations. The investigation is an administrative procedure and is not a substitute for criminal investigations if that is warranted.

Aim of the investigation Find out if the accused staff member/partner has breached the management values, policies and/or Code of Conduct of DCa. (Staff member) Make decisions of appropriate disciplinary and/or administrative action in cooperation with Human

resource unit if necessary. (Partner organisation) Make decision on appropriate action or possible ways of capacity building Highlight issues relating to poor practice/performance in the management of the programme/organisation. Identify aspects that increase risks of breach of policies/management values in the programme and DCa in general. Consider how financial loss due to fraud/corruption can be handled

Core principles for the investigationThe core principles for the investigation are confidentiality, impartiality and objectivity.

CoNfidENTiALiTy: The disclosure of the identity of the staff member, victims, witnesses or others involved in the investigation, is restricted to the investigators, Head of XX and XX Director in DCa Copenhagen. all records will be kept in a place only accessible by the investigators. The persons in the investigation committee (please see below) will always orientate their successor about the complaint without disclosing the details.

imPArTiALiTy ANd objECTiviTy: DCa has a duty of care to the employee/partner, which includes conducting fair and impartial investigations.

Investigation CommitteeThe Human resource unit is receiving the complaint via the global complaints system and will set down a committee to handle the complaint. The committee will normally consist of:DirectorHead of unitrepresentative from Human resource or International Finance unitInvestigator(s)

investigator:responsibility of investigator: Develop a written plan and timeframe for the investigation Conduct interview of the complainants, the accused, victims (if different from complainant), witnesses and employees Gather evidence, assess it and report, making appropriate recommendations to the committee The Investigation report should address evidence to support or refute the allegations and describe the methodology as well

as the findings

responsibility of committee: receive the final report and make a decision on outcomes Consider to notify the national authorities, if the allegation concerns a possible crime. Security is an important aspect to

consider in this regard. notify back donor about the investigation if the case is about fraud/corruption Orientate the accused and complainants about the investigation and follow up when outcome is decided upon Filing: Central documents (the complaint, this Terms of reference, central letters and documents, outcome) must be

uploaded on the intranet (closed page). If the case is about fraud/corruption: when the initial investigation is finalized the case must be published on the DCa web

in an anonymous form.

COPEnHaGEn XX

XX DIrECTOr HEaD OF XX

terms of reference for InvestIgatIonof confIdentIal complaInt In XX

ANNEX 3: Standard Terms of Reference for investigation of a sensitive complaint

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DanchurchaiDnørregaDe 151165 copenhagen kDenmark

telephone +45 33 15 28 00

mail@Dca.Dk

www.danchurchaid.org