Task 2 - Ensure Grievance Process follows UNGP Principles
The grievance process can only be effective if intended users are aware of it, trust it, understand it and use it. If the grievance process is poorly designed or implemented, not only is it ineffective, but it can also compound frustrations amongst affected stakeholders. The principles below serve as a checklist for ensuring that the grievance process functions as intended. These principles reflect the effectiveness criteria as outlined in the .
Participative: the more collaborative the design process, the more effective the grievance process is likely to be. Consulting with stakeholders in advance can help ensure that the grievance process meets their needs and that they will use it. This is particularly important in the case of Indigenous Peoples (see Section 4I) who may have very specific customs for raising and resolving grievances within their community. Sites should:
- Consult with communities on the design of the grievance process. Practical difficulties (literacy, geographically dispersed communities, connectivity), customary or cultural issues, and difficulties in making the grievance process accessible to all stakeholders (including women and vulnerable groups) should be identified and factored into the design process.
- Regularly solicit feedback from external stakeholders on the design and function of the grievance process.
- Incorporate that feedback into the analysis and continued improvement of the grievance process.
Legitimate: the process must be “trustworthy" otherwise, stakeholders are unlikely to use it. Sites should:
- Formalise the grievance process: make sure that every step is documented, consistent, and known to stakeholders.
- Survey stakeholders, formally and/or informally, about their perceptions of the grievance process (would they use it? if not, why not?). If feedback indicates that stakeholders don't trust the grievance process, find the root causes and adjust the grievance process or the engagement approach accordingly.
Accessible: barriers to access of the grievance process must be identified and removed (e.g. lack of awareness by external stakeholders of the grievance process, language, literacy, physical location, fears of reprisal, costs for transportation). Sites should:
- Provide external stakeholders with different ways of presenting a grievance (e.g. phone, face to face, in writing, email). The more options there are, the more likely an external stakeholder will be able to find a channel that suits his/her needs. There should also be an option to submit grievances anonymously or via third parties in case the complainant wishes to remain anonymous and receive feedback via an intermediary.
- Consider the most vulnerable segments of the population in the design of the grievance process; e.g. people who cannot afford a mobile phone, who do not have a means of transportation to get to a suggestion box or complaints office, who cannot read or write, who cannot afford to take the time off work to meet with a company representative, etc.
- Explicitly discuss the grievance process with women’s groups and vulnerable people. Section 3A gives guidance on options for engaging with women in situations where there are obstacles to doing so. The more trust is built, the more honest the feedback.
Predictable: stakeholders’ trust in the grievance process is enhanced through a predictable and reliable process to handle and respond to grievances. Sites should:
- Discuss with communities the steps involved in registering, responding to and investigating a grievance.
- Monitor the process carefully to quickly correct any inconsistencies (real or perceived).
- Communicate with the complainant every step of the way, so they know what to expect next.
- Deliver on stated commitments around response and investigation times.
Equitable: affected stakeholders usually have less access to information and expert resources than businesses. The grievance process needs to be a fair and impartial process. Sites should:
- Share information with external stakeholders about their rights; for example, to access state-based and non-judicial processes in addition to (or instead of) the site’s grievance process.
- Consider independent investigations, especially on environmental issues where external stakeholders may not trust site and/or government figures.
- Provide for a multi-stakeholder Appeals Panel in the event that no mutually agreed resolution can be identified.
Transparent: regular communication with the complainant about the progress of the management of their grievance is essential to retain confidence in the grievance process. The idea is to limit opportunities for (and perceptions of) backdoor deals, favouritism, bribery or other types of unethical practices. The grievance process also protects staff by making it clear to all involved parties that no individual company representative has the sole decision-making power about a grievance resolution. Sites should:
- Explain the details of each step of the grievance process to the complainant. Include the complainant in key parts of the process, such as in investigation visits and adjudication meetings, where appropriate.
- Where necessary, consider involving non-company representatives in the process (e.g. , religious leaders, respected academics) to witness decisions and validate the grievance process's transparency.