SUPPORTED BY Fostering the Inclusion of Disadvantaged and Vulnerable Individuals or Groups in Project-Level Grievance Mechanisms ASSESSMENT TOOL Acknowledgments This report was part of an effort to strengthen the right to Leva, Jonathan Fox, Tamir Ibragimoff, Erik Caldwell Johnson, remedy in World Bank operations and beyond by building the Michael Kent, Saki Kumagai, Camilla Marie Lindstrom, Ekaterina capacity of World Bank staff, clients, and project-affected Romanova, Sunrita Sarkar, and Sonya Sultan. people, especially the vulnerable and marginalized, to implement effective grievance mechanisms so that they can The authors would like to thank Laura Johnson for her excellent improve service delivery, risk management, and development editorial support. outcomes. The core team, led by Sanjay Agarwal, comprised Saki Kumagai, Harika Masud, and Hélène Pfeil at the World Bank. Finally, the authors are grateful to the Human Rights, Inclusion and Empowerment Trust Fund (HRIETF) for supporting the The authors of the report are Hélène Pfeil and Sanjay Agarwal. activities under this initiative. The findings, interpretations, The authors are grateful to Varalakshmi Vemuru, Louise J. and conclusions expressed in this report are entirely those of Cord, and Maninder S. Gill, who provided valuable and timely the authors and should not be attributed in any manner to the guidance throughout the process. Valuable inputs, comments, World Bank, to its affiliated organizations, or to members of its and guidance were provided by Adila Abusharaf, Charles Di Board of Executive Directors or the countries they represent. 1 Introduction As part of a community-driven development project, an electricity generator was placed next to a house in a village. The bedridden woman living in the house and her husband, realizing that the noise of the generator was negatively affecting her health, filed a complaint with the project-level grievance mechanism (GM). To their relief, due to mediation with township representatives, the community promptly agreed to move the generator. During another project, a GM helped surface complaints about a local leader who had hired several of his relatives as technical assistants even though their qualifications were lacking. Following an investigation of the complaint, the relatives’ contracts were terminated, and their poor-quality construction work was reviewed to ensure safety. And in yet another case, a project beneficiary who raised an exclusion error through the GM of a cash transfer program was rapidly reassessed and included in the program, thereby able to receive vital support for food, medication, and utilities. T hese three examples illustrate how GMs can empower 3 Participation and inclusion. GMs require a high degree of citizens to make public institutions more transparent, participation by stakeholders. accountable, and effective. GMs are systems put in place to respond to the concerns, grievances, questions, and 3 Accountability and the rule of law. Because the purpose of suggestions of stakeholders in an orderly and timely manner. a GM is to ensure that relevant authorities are answerable They are particularly important to development because they for their actions and decisions as well as to provide can help governments achieve improved public service delivery, aggrieved persons the opportunity to instigate proceedings public financial management, good governance, and social for appropriate redress, accountability and the rule of law are inclusion. Principles that are especially relevant to the operation crucial (see box 1.1).1 of GMs include: In addition, since the entry into force of the World Bank’s 3 Equality and nondiscrimination. GMs should be easily Environmental and Social Framework on October 1, 2018, the accessible to all without distinction, although this is design and implementation of a GM is a policy requirement for not always the case, e.g., if lodging a grievance requires all Investment Project Financing.2 technology that is not universally available or if grievance boxes are not fairly distributed throughout the project area. 1. The principles of equality and nondiscrimination, participation and inclusion, and accountability, as well as the rule of law, are core human rights principles. 2. See the Environmental and Social Standard (ESS) 10: Stakeholder Engagement and Information Disclosure. 1 1. INTRODUCTION Box 1.1. Human Rights and Grievance Mechanisms The United Nations’ Guiding Principles (UNGP) on Business to principles of legitimacy, accessibility, predictability, and Human Rights, which was endorsed by the United equitability, transparency, rights-compatibility, be a source Nations’ Human Rights Council in 2011, defines grievance of continuous learning and based on engagement and mechanisms (GMs) as “any routinized … process through dialogue,” and it defines each principle. Commentary to which grievances concerning … human rights abuse can be Guiding Principle 31 highlights that these effectiveness raised and remedy can be sought” (OHCHR 2011). GMs are a criteria: means of fulfilling an individual’s right to effective remedy as outlined in Article 3 of the International Covenant on “provide a benchmark for designing, revising or Civil and Political Rights.a The human rights principles assessing a nonjudicial grievance mechanism to of nondiscrimination, accountability, participation, and help ensure that it is effective in practice. Poorly transparency overlap with the best practice guiding designed or implemented grievance mechanisms principles of GMs. Principle 27 affirms: can risk compounding a sense of grievance amongst affected stakeholders by heightening their sense of “States should provide effective and appropriate disempowerment and disrespect by the process.” nonjudicial grievance mechanisms, alongside judicial mechanisms, as part of a comprehensive State-based These core principles provide a useful framework system for the remedy of business-related human rights when assessing a GM’s effectiveness in enhancing the abuse.” application of human rights. In 2019, the International Council on Mining and Metals developed a checklist (ICMM Guiding Principle 31 provides eight effectiveness criteria 2019) that outlines how to align a project-level GM with the for nonjudicial GMs, asserting that they should “conform principle’s effectiveness criteria (see figure B.1.1). (continued) Raising grievances is a delicate process, one that often excludes One reason disadvantaged or vulnerable individuals and groups vulnerable and marginalized groups. The World Bank Directive on may find it particularly difficult to raise concerns is that their Addressing Risks and Impacts on Disadvantaged or Vulnerable needs are easily overlooked in the design and implementation Individuals or Groups defines disadvantaged or vulnerable as: of a GM. Certain decisions, such as the language chosen to operate the GM or the selection of grievance focal points, “those individuals or groups who, by virtue of, for example, may end up excluding some people and represent a form of their age, gender, ethnicity, religion, physical, mental or other indirect discrimination. Vulnerable and marginalized groups disability, social, civic or health status, sexual orientation, may encounter more barriers to accessing the GM or related gender identity, economic disadvantages or indigenous status, communication and information materials than do other and/or dependence on unique natural resources, may be more stakeholders. They may also have serious grounds to fear likely to be adversely affected by the project impacts and/or retaliation. Implementing agencies must therefore make more limited than others in their ability to take advantage of a concerted effort to ensure that the GM is respectful of a project’s benefits.” the principles of equality, discrimination, participation, and inclusion. 2 1. INTRODUCTION Box 1.1. Continued The current note is inspired by the principles and social inclusion and sustainability by considering the effectiveness criteria cited above and builds on them, requirements of vulnerable and marginalized groups and although with a narrower focus on how GMs can be individuals. designed and rolled out in a manner that will foster FIGURE B1.1. CHECKLIST FOR ALIGNING A GRIEVANCE MECHANISM WITH THE EFFECTIVENESS CRITERIA OF THE UNITED NATIONS GUIDING PRINCIPLES ON BUSINESS AND HUMAN RIGHTS (AS SUGGESTED BY THE INTERNATIONAL COUNCIL ON MINING AND METALS) Legitimacy Transparency ✓ Involve communities in the co-design of the grievance ✓ Update complainants regularly mechanism ✓ Be transparent with communities about outcomes ✓ Establish an independent process for complex issues ✓ Apply international standards for public reporting on the that cannot be resolved unilaterally grievance mechanism ✓ Ensure formal accountability for the grievance ✓ Balance the need for transparency with respect for mechanism complainants’ confidentiality Accessibility Rights-compatibility ✓ Promote the grievance mechanism ✓ Ensure the process and outcomes respect human rights ✓ Provide multiple channels for accessing the grievance ✓ Enlist human rights expertise as necessary mechanism ✓ Respect the rights of a ected stakeholders not to use ✓ Adapt channels to local culture and language the grievance mechanism and/or to use other available ✓ Make the grievance mechanism easy to use channels ✓ Ensure there is no retaliation for using the mechanism ✓ Consider whether additional steps need to be taken to ensure vulnerable groups can access the mechanism A source of continuous learning ✓ Solicit feedback from users of the grievance mechanism ✓ Act upon lessons for improving the mechanism and Predictability preventing future harm ✓ Define a clear process ✓ Regularly assess trends about grievances ✓ Communicate clearly the outcomes that are available ✓ Establish and continually refine grievance mechanism ✓ Maintain flexibility to adapt the process where necessary key performance indicators to respect rights Based on engagement and dialogue Equitability ✓ Resolve grievances through dialogue and joint problem solving ✓ Provide access to information ✓ Deepen community involvement in the grievance process ✓ Facilitate independent representation where necessary ✓ Engage meaningfully with vulnerable groups about the ✓ Consider establishing an independent process if grievance process and outcomes there is a perceived imbalance of power ✓ Conduct a participatory evaluation of the grievance mechanism Source: International Council on Mining and Metals, Handling and Resolving Local-Level Concerns and Grievances—Human Rights in the Mining and Metals Sector, 2019. a. Article 3 of the International Covenant on Civil and Political Rights reads: “3. Each State Party to the present Covenant undertakes: (a) To ensure that any person whose rights or freedoms as herein recognized are violated shall have an effective remedy, notwithstanding that the violation has been committed by persons acting in an official capacity; (b) To ensure that any person claiming such a remedy shall have his right thereto determined by competent judicial, administrative or legislative authorities, or by any other competent authority provided for by the legal system of the State, and to develop the possibilities of judicial remedy; (c) To ensure that the competent authorities shall enforce such remedies when granted.” 3 1. INTRODUCTION This note aims to support Bank task teams and project individuals. It does not delve into the effectiveness of back- implementation units in the design and roll-out of inclusive end processes, which greatly influence user experience for all GMs at the project-level. It proposes a six-step process to ensure complainants. For advice on how to develop robust grievance- that a GM will truly cater to the needs of disadvantaged and handling procedures and operate a responsive and well-working vulnerable groups and individuals (see figure 2.1). The remainder GM, readers should refer to the readily available dedicated of this note is structured into two sections. Section 2 provides literature (see IFC 2008, 2009, 2016; Post and Agarwal 2011a, b; concrete advice on how the six steps can be put into practice. 3 World Bank 2020b, forthcoming; Peixoto and Sifry, 2017). Task Section 3 suggests a rapid scoring tool comprising 20 questions teams should be aware that even with an inclusive GM in for assessing how thoroughly a GM considers the requirements place, they are still responsible for assessing the overall of vulnerable and marginalized groups and individuals in its inclusiveness of a project and whether there are any project- setup and implementation. related cases of severe exclusion or discrimination. Because GMs are only as good as the context and the people implementing An important caveat: This note focuses on making GMs them allow, certain systemic exclusion issues may never be accessible to vulnerable and marginalized groups and detected by a GM. 3. Should there be a demand for further capacity building on key issues related to the six steps outlined in this note, the research team stands ready to provide additional support and advice. 4 2 Steps to Ensure that a GM Serves Vulnerable and Marginalized Groups and Individuals Step 1. Identify vulnerable groups FIGURE 2.1. SIX STEPS TO ENSURE THAT A GM SERVES T VULNERABLE AND MARGINALIZED GROUPS AND he first step to building an inclusive GM is to have a INDIVIDUALS clear picture of the types of vulnerable groups that may come to know of and use it. Vulnerable or disadvantaged 1. Identify vulnerable groups groups and individuals relevant to the project, as well as their specific needs, are usually determined during the project’s environmental and social impact assessment. 2. Ask vulnerable groups about their preferences regarding the GM In addition to being aware of these vulnerable groups and 3. Remove barriers to access the GM their characteristics, it is vital to examine the issue of intersectionality—the ways that different types of vulnerabilities overlap and compound discrimination and disadvantage, for 4. Ensure adequate communication about the GM example in the case of women engaged in the informal sector; LGBTIQ4 seniors; children with disabilities, or refugees with low levels of literacy.5 Being aware of such complexities can inform 5. Prevent retaliation the design of holistic measures to address inequalities and develop adequate responses (see table 2.1). 6. Monitor e ectiveness of GM for vulnerable and marginalized groups 4. LGBTIQ = Lesbian, gay, bisexual, transgender, intersex, and questioning. 5. For example, the Office of United Nations High Commissioner for Human Rights’ report “Women’s Rights are Human Rights” states that “some groups of women face additional forms of discrimination based on a variety of grounds, such as ethnicity, education and socioeconomic status, among other grounds. These intersecting forms of discrimination must be considered when developing measures and responses to combat discrimination against women.” (OHCHR 2014). 5 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS TABLE 2.1. INDICATIVE LIST OF VULNERABLE OR MARGINALIZED GROUPS AND INDIVIDUALS, BY TYPE OF VULNERABILITY Physical factors People living in remote areas Social factors Age, e.g., the elderly and minors, including in circumstances where they may be separated from their families, the community, or other People living in hard-to-reach areas, e.g., due to individuals who they depend on fragility, conflict, and violence People with low levels of education People with limited transportation options People with low literacy levels People with precarious/uncertain housing situations, e.g., slum dwellers and the homeless People with low technical literacy, especially for complex technical projects People living in areas prone to natural disasters Sexual orientation and gender identity Rural communities minorities Nomads Survivors of gender-based violence Political factors People living in existing humanitarian Women emergencies Indigenous peoples Internally displaced people Ethnic minorities People with a specific civil status (refugees, migrants, asylum seekers) Linguistic minorities Economic factors People disadvantaged based on economic or occupational status, e.g., the unemployed, Religious minorities people with few marketable skills, people who depend on unique natural resources or the informal economy, women and men returning People with limited access to media, e.g., after taking parental leave, pensioners, newspapers, television, and radio single-headed households, people engaged in seasonal agriculture, workers at risk of being People with limited digital connectivity due lack laid-off, caregivers providing support to a of availability, affordability, awareness, ability, person with disability, and prisoners or agency People living under the poverty line—the bottom Health factors People with a specific health status or 40 percent preexisting medical conditions, e.g., people living with HIV/AIDS, pregnant and nursing Informal settlers—project-affected people with women, and people with mental health issues no legal right to land People with intellectual disabilities People with physical disabilities, e.g., visual or hearing impairments or limited mobility Note: This list is not exhaustive, and people often fit into multiple categories due to intersectionality. 6 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS Step 2. Ask vulnerable groups about group’s level of access to services, and determine what is their preferences regarding the GM missing. Deploying the appropriate resources and skill sets to engage vulnerable groups is crucial, for example, having female Direct consultations with vulnerable and marginalized people facilitators conduct focus group discussions with women. The are crucial to understanding their preferences regarding COVID-19 pandemic has demonstrated that, in contexts where GM design and to ensuring that their specific needs are face-to-face consultations are not feasible, virtual consultations met. This process, which should be carried out as early as using various forms of technology still allow teams to reach possible during project preparation, can be integrated into vulnerable and marginalized groups (IFRC, OCHA, and WHO the project’s environmental and social impact assessment6 or 2020). be part of a separate social diagnostic, if resources permit. Environmental and Social Standard 10 (ESS10) of the World In some cases, direct consultations with vulnerable and Bank’s Environmental and Social Framework directs Borrowers marginalized people may not be possible or present specific to identify individuals or groups who “may require different, challenges, such as ethical considerations with survivors of or separate forms of engagement” (World Bank 2018: 98) gender-based violence, and security considerations with sexual and to document consultations with them in the stakeholder orientation and gender minorities. In such situations, qualified engagement plan, which should also outline the features of the third parties can help identify the needs of vulnerable groups project’s GM. Project implementation units (PIUs) thus have a regarding the GM. Examples include civil society organizations crucial role to play in the integration of vulnerable groups, both representing specific groups, such as people with disabilities in the planning process and in the resolution of grievances.7 or a trade union; advocacy groups; international organizations Vulnerable and marginalized people should be asked about specifically focused on one particular stakeholder category, such the channels and/or interlocutors they would trust and prefer as UNHCR and UNICEF; and umbrella organizations, such as to use for submitting complaints; existing feedback channels parents’ associations. that they already use; people they tend to approach at the local or community level, such as municipal representatives, To guarantee the physical accessibility of consultations about tribal leaders, and civil society organization representatives; the GM, due attention should be paid to the choice of venue. potential barriers to accessing the GM and how to remove them; Venues are not all accessible to people with disabilities or and expectations related to language, the location of the GM, with limited mobility options, and safe and easy transportation interactions during a grievance investigation, and how they services are not universally available. The times and dates of would like to receive responses as part of the resolution process. consultations can also impact the ability of various stakeholders to participate. In some regions, people migrate as seasonal A variety of tools can be employed to engage vulnerable groups laborers; groups such as nomads and farmers may not be in meaningful conversations about project design and GM available at certain times of year; and parents, single-parent setup. Focus group discussions are one useful way to engage households, and workers may not be able to attend at certain vulnerable groups in a sensitive and safe manner. Participatory times of the day due to their household or professional tools, such as participatory rural assessments, can also help obligations. to map the existing resources of subgroups, ascertain each From a psychological point of view, several measures can be 6. Questions to guide the environmental and social impact assessment’s mapping of the preferences of vulnerable groups regarding GMs could include: taken to make consultations more accessible: (1) ensure the • Who do you usually turn to when a problem arises in your community? allocation of adequate time so that everyone feels comfortable • How have grievances been handled in the past? • If a project-related issue arises, what would your preferred complaint channel be? raising issues that are relevant to them; (2) ensure that people 7. This can be particularly challenging to tackle when relevant authorities are reluctant to engage with vulnerable groups, either in practice or for considerations resulting from with disabilities understand what is being said by others and the national legal framework. 7 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS are able to communicate their own ideas; (3) communicate with the population trusts, others may require changes to existing stakeholders prior to the meeting to allow them to share their accountability structures to better suit the needs of different questions in advance; (4) engage facilitators and intermediaries, vulnerable groups (see box 2.1). such as experts familiar with gender-sensitive and child-friendly approaches and communication assistants; and (5) guarantee One method for removing cultural and psychological barriers confidentiality of the participants’ inputs. In many cases, to GM access is designating community liaison officers or vulnerable groups may be reluctant to raise specific issues in a trusted individuals at the local level to increase vulnerable large venue or meeting. Engagement strategies must therefore groups’ level of comfort with filing grievances and approaching be adapted. For example, small-scale meetings may be more grievance focal points. Grievance channels may also need to constructive than open public meetings for understanding be adapted to the local culture, such as by offering dedicated certain groups’ concerns. Similarly, where there is distrust of grievance channels for women or choosing a palatable name groups and authority, discreet forms of notification may be for the GM in contexts where there is no “culture of complaint.” required for public meetings or events to prevent the targeting Intermediaries and third-party groups, such as organizations of certain groups with violence or intimidation. providing counseling, information, translation, or representation services for vulnerable groups, may need to be engaged. The Finally, from a linguistic point of view, accessibility can be inclusion of representatives of vulnerable groups (e.g., women, guaranteed by using interpreters into local languages; arranging youth, religious representatives, people with low literacy levels, for sign-language interpretation; and planning for real-time indigenous people, and people with disabilities) in grievance captioning during online meetings. redress committees is also effective at fostering inclusion and enhancing GM access among vulnerable groups. Step 3. Remove barriers of access To remove the physical barriers to GM access, physical to the GM grievance access points should be within safe reach and easily To make the GM accessible to all, a variety of channels should accessible to vulnerable groups; and, ideally, some grievance be provided for grievance uptake. Teams should verify that uptake channels should not require complainants to undertake everyone can easily submit grievances, including people with extensive travel, for example, phone lines, email addresses, and various—and sometimes multiple—vulnerabilities, such as lack of instant messaging systems. access to specific information technologies (e.g., mobile phone or smartphone), low literacy levels, or living in a remote area. Projects should aim to remove technical and literacy barriers Options for grievance submission include the use of a dedicated by allowing people with no or low literacy to access the GM, for email address; a dedicated phone number or call center; example, through oral testimony or by phone, and by adapting grievance boxes; an online form; a smartphone application; GM communication materials for people with low literacy or SMS/texts, including WhatsApp messages; social media (e.g., low education levels, including the use of simple language and Facebook, Twitter); verbal/in-person (e.g., to a trusted community visuals. member or community leader, GM focal point or grievance committee, during community meetings); and letter (mail). To mitigate language barriers to accessing the GM, people should be able to submit grievances and receive information Beyond offering multiple access channels, the GM’s design may and updates on the status of their complaint in their preferred need to be adapted to address the preferences of vulnerable language. Appropriate measures include providing the option of and marginalized groups, remove the barriers they face, and submitting grievances and receiving updates face-to-face with allow them to engage in the GM process. Indeed, while some a person who speaks the local language; translating materials projects can rely on existing and well-used mechanisms that 8 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS into local languages, including minority languages; and hiring Finally, to keep financial barriers from preventing people from of translators and interpreters for documents and meetings, submitting complaints, the GM should be free of charge, and the respectively, to explain the results of investigations. Another transaction costs for complainants to submit a complaint kept dimension to consider is if people with speaking or hearing minimal. Concretely, this might mean setting up free telephone impairments can submit grievances using sign language or hotlines or considering issues such as the potential cost of auxiliary aids and services, and if there are provisions allowing for travel to a complaint uptake location. the dissemination of project and GM-related documents in Braille. Box 2.1. Examples of Grievance Mechanism Designs Adapted to Meet the Needs of Vulnerable and Marginalized Groups To ensure that a GM is trusted and considered legitimate focal points as well as a telephone hotline for complaints by project-affected parties, its design may need to be related to gender-based violence to ensure that all women adapted to the preferences of vulnerable and marginalized and girls would feel comfortable raising concerns. The groups, as was done in the following examples. community grievance focal points were selected by the communities based on a set of criteria outlined in the Decentralized Service Delivery Program II, Sierra Leone GM manual (e.g., “woman who is a trusted member of Under this project, female representation is required on the community,” “respected for leadership and honesty,” the World Bank’s grievance redress committees at the “has lived in the community for 6 months or longer,” ward (community) level. At the local council level, the “possesses basic literacy skills,” “speaks clearly,” “treats representation of religious leaders (from both Muslim everyone equally”). Furthermore, the existence of the GM and Christian communities), the media, and the youth and its processes were advertised through community- population is mandated. Expanding grievance redress level sensitization activities, radio messaging, and committee composition beyond local council members is communications with existing women’s organizations. widely viewed as progress toward greater transparency, accountability, and participation. Reaching Out-of-School Children Project II, Bangladesh This project anticipates that female complainants can be Energy Supply Reliability and Financial Recovery Project, assisted by a female member of the Union Parishad (the Georgia smallest rural administrative and local government unit); To emphasize the local character of the GM, this project and complainants who come from tribal community can be recruited five community liaison officers from five assisted by a tribal representative. municipalities, who were tasked with receiving, reviewing, and recording grievances, as well as communicating and Santa Cruz Road Corridor Connector Project, Bolivia disseminating project-related information. Under this project, measures taken to adapt the GM to vulnerable groups, particularly as they relate to gender- Girls’ Education and Women’s Empowerment and based violence, include using indigenous languages Livelihoods Project, Zambia (Bësiro and Zamuco) in the reception of complaints and Under this project, the implementation team decided to information broadcasting, as well as also supporting provide project-affected people with more channels than integrated municipal services through the training and just the traditional complaint box to submit grievances. coaching of female community promoters and establishing The project put in place a system of community grievance WhatsApp/Facebook-based communication networks. 9 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS Step 4. Ensure adequate awareness corruption, conflict, or distrust of various groups and authorities. raising and outreach activities Guaranteeing confidentiality in the complaint-handling process and permitting the anonymous filing of complaints are therefore To publicize the GM’s existence and its processes, projects essential to giving the most vulnerable the confidence they should use various communication channels, including in-person need to speak up and raise concerns. Experience shows that community-based engagements; dedicated events; local, neither confidentiality nor anonymity are easy to implement, regional, or national radio stations; newspapers; and printed and these principles may sometimes even be met with materials such as flyers, display boards, leaflets, posters, and resistance. For example, there could be significant pressure brochures—disseminated at a variety of physical locations, on from PIUs or contractors to reveal the identity of complainants, the project’s web page, on social media, on television, and in claiming that doing so would facilitate the resolution of the video clips posted online, as examples. case. Nevertheless, both are extremely important to give project- affected people the safety and confidence they need to file In addition, awareness-raising and outreach strategies to inform sensitive complaints. people about the GM should be adapted to the requirements of vulnerable groups. This may mean providing documents Confidentiality can be guaranteed by setting up adequate in electronic format, Braille, large print, easy-to-read-and- safeguards in the complaint-handling process, including putting understand formats at an appropriate level of technical detail in place mechanisms to protect the identity of the complainant (e.g., brochure design in simple language); using subtitled (e.g., anonymizing files), restricting staff access to the grievance videos, oral presentations for vision-impaired stakeholders, log/registry of “sensitive” complaints (digital safeguards if and age-sensitive communication tools (e.g., cards, images) registered electronically, physical safeguards if registered on for younger stakeholders; holding information-sharing and paper), the sharing of complaint-related information on a need- sensitization meetings for specific subsets of the population to-know basis (i.e., only among a limited number of authorized (e.g., women-only meetings with a female speaker/facilitator); people for the purpose of investigating the complaint), and translating materials into local languages; and relying on setting-up guidelines on how to handle complaints where the community leaders or community liaison officers. substance of the complaint may lead to the identification of a specific individual or group (e.g., handling such complaints in a Furthermore, communication about the GM should be ongoing, more generic rather than specific way). Such safeguards should and not simply limited to the start of the project or launch of be integrated into the code of conduct that is applicable to the GM. Publishing information about the GM continuously all actors involved in grievance uptake and resolution. Another throughout project implementation and finding ways to option to consider is allowing a project-affected person who highlight the desirability of feedback from project-affected fears retaliation to file their grievance with someone they trust, parties throughout the project lifecycle is vital to encouraging such as a nongovernmental organization representative. vulnerable groups to come forward and provide their insights through the GM. In addition to ensuring confidentiality, allowing stakeholders to submit anonymous complaints can help uncover wrongdoings Step 5. Prevent retaliation that would otherwise not surface. GMs should therefore Vulnerable people may fear reprisal from public authorities, provide vulnerable citizens with avenues to submit complaints local communities, co-workers, or employers, among others, anonymously and have a policy in place on how to handle such if they submit grievances. Such concerns may be due to claims. the social and political context, which could be marked by 10 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS Step 6. Monitor the effectiveness of the whether they are aware of the GM; confident in its legitimacy, GM for vulnerable groups and make any trustworthiness, and outcomes; and if they would make use of it if the need arose. Second, PIU management can carry necessary adjustment out spot checks (e.g., verify grievance logs at random times Finally, once the GM has been launched and is operating, it without prior warning), or use mystery shopping techniques is useful to monitor if, in fact, vulnerable and marginalized (e.g., submit a complaint to test how it is handled) to gauge individuals and groups understand and are comfortable using the GM’s performance. Third, conducting satisfaction surveys it. Four main strategies can be pursued toward that objective. with all complainants, but analyzing in particular feedback First, using ongoing stakeholder engagement activities with provided by vulnerable groups, can help identify the strengths vulnerable groups throughout the project’s lifecycle can reveal and weaknesses of the GM’s setup and complaint resolution Box 2.2. The Iterative Nature of GMs: Refining GMs After They Have Begun Operating Unexpected issues related to a GM can surface during being the community negotiating with the contractor to project implementation, resulting in the mechanism resolve issues. The community’s preferences were also needing to be altered. Adaptive management is required acknowledged by allowing jirgas to be conducted at the from project implementation teams to consider emerging offices of the Deputy Commissioner and Water and Power factors as projects unfold. Development Authority. In Pakistan’s Dasu Hydropower Project, for example, Another example is the Kenya Water Security and a four-tier grievance redress committee (GRC) system Climate Resilience Project, which planned to make use of had initially been proposed, starting at the village level, village-level committees as the first, local-level platform followed by the union-council level, the district level, and for handling grievances, especially those related to land finally the project-level. Grievance redress committees acquisition and resettlement. However, women’s forums were trained at multiple levels, but the project team soon organized by the project implementation unit’s gender recognized some constraints in operationalizing the GM: specialist soon revealed that women from one particular locals preferred using the customary grievance mechanism indigenous group did not feel comfortable approaching (jirga, the traditional assembly of tribal leaders), lacked these male-dominated village-level committees, where confidence in the community representatives selected as elders have a major say, especially given the context in part of the grievance redress committees, and did not think which women’s rights to land were not customary. This that the village and union-council-level grievance redress led the project team to highlight that project-affected committees added value to the GM. For major policy people had several avenues to lodge a complaint beyond issues, the community expressed a preference for using the village grievance redress committee, including with the grand jirga, able to access high levels of government. committees at the sublocation level (just above the village As a result, project implementors decided to incorporate level). Committee members were also sensitized to land the long-established, customary grievance mechanism (the and gender issues through additional trainings. jirga) into the GM’s processes, with the first line of action Sources: World Bank online seminar: “Strengthening the Right to Remedy: Integrating Local Accountability Structures into Project-Level Grievance Mechanisms,” April 24, 2020; World Bank 2020b. 11 2. STEPS TO ENSURE THAT A GM SERVES VULNERABLE AND MARGINALIZED GROUPS AND INDIVIDUALS processes. Fourth, where possible, collecting data about feasible, for example, by adding an additional set of questions complainants’ drivers of vulnerability can provide a sense to the GM management information system or to grievance of the proportion of vulnerable people in the entire pool of forms, or by making data requests about vulnerability drivers complainants. optional. It is hardly surprising that GMs rarely capture data on It is vital to remember that building an effective GM is an vulnerability: asking about this kind of information is sensitive, iterative process and that it may be necessary to continuously and a complainant may be uncomfortable sharing this type adapt it to an individual project’s circumstances (see box 2.2). of information. Furthermore, in authoritarian contexts, The results of complainant satisfaction surveys, ongoing complainants may fear providing potentially identifying consultations with stakeholders, and the disaggregated information about themselves. At the same time, monitoring information collected by the GM about complainants should be grievance data related to vulnerabilities can help inform insights regularly analyzed and reviewed to identify if any changes are regarding the type of people that are accessing the GM (e.g., in needed to grievance-related policies and practices and, more terms of age, income, belonging to indigenous peoples’ groups). broadly, to project design or implementation processes. Therefore, data on vulnerabilities should be collected when 12 3 Checklist for Assessing the Inclusiveness of a Project-Level Grievance Mechanism T he tool proposed here, which assesses the inclusiveness are therefore marked with an asterisk (*) and may warrant of project-level grievance mechanisms (GMs) consists of a a retrospective assessment. All other questions are relevant 20-question checklist. While not exhaustive, it provides an throughout the project’s lifecycle and can be answered at any overview of key issues that help determine the degree to which point once the project is effective. Projects with scores below 10 a GM considers the needs of vulnerable and disadvantaged points pay insufficient attention to vulnerable and marginalized groups and individuals in its design and implementation. The groups and individuals. Projects with scores of 10–15 points cover questions allow for “yes” or “no” answers. A “yes” answer is important aspects of giving voice to vulnerable groups but still awarded one point, and a “no” answer receives zero points, with have considerable room to improve the inclusiveness of their all questions having equal weight. To introduce more granularity, GM. Projects scoring 16–20 points reflect a commendable effort some questions allow a middle-of-the-road option which on the side of project implementors to reach out and involve awards half a point. The highest score that can be attained is various stakeholder segments. Analyzing the content of the 20 points. Questions 3–6 focus on engaging vulnerable groups questions that resulted in lost points can help direct efforts to in GM design through targeted consultations and are therefore improve a GM’s effectiveness at empowering vulnerable people particularly relevant during the project preparation phase. They by giving them a voice.8 8. Due to the COVID-19 pandemic, opportunities to pilot the tool have been severely restricted. Therefore, at the time of this writing, this proposed checklist has not yet been field tested. 13 3. CHECKLIST FOR ASSESSING THE INCLUSIVENESS OF A PROJECT-LEVEL GRIEVANCE MECHANISM CHECKLIST I. Identify vulnerable groups 1. Has the project identified vulnerable and marginalized group in sufficient detail in relevant project documents, such as the social assessment, stakeholder engagement plan, or grievance manual? The project has identified vulnerable and The project has identified a wide range The project has comprehensively marginalized groups and individuals, but of vulnerable and marginalized groups identified vulnerable and marginalized the categories are broad and vague. and individuals along a variety of groups and individuals, and it has vulnerability drivers, such as physical conducted an in-depth analysis of each political, economic, social, health factors group’s characteristics, what drives their (see table 2.1). vulnerability, and how this could shape their engagement with the project. Score 0 0.5 1 2. Does the project consider people and groups who are marginalized or vulnerable in multiple ways? The project does not consider the issue of The project considers various layers of The project considers the issue of intersectionality. vulnerability and how, combined, they intersectionality and includes specific may put certain groups or individuals at measures to mitigate risk, such as even greater disadvantage. training GM actors on the importance of nondiscrimination and inclusion of vulnerable groups. Score 0 0.5 1 II. Ask vulnerable groups about their preferences regarding the grievance mechanism 3. Is the project planning or using an effective outreach strategy to involve vulnerable groups in the GM’s design?* The project does not have a detailed plan The project proposes a limited range The project proposes a comprehensive about how to reach vulnerable groups to of avenues through which it hopes to approach for reaching out to vulnerable ask them about their views on the GM. engage vulnerable groups with the GM. groups about the GM, using at least two distinct channels to collect perspectives, such as dedicated meetings, focus group discussions, door-to-door visits, existing forums (e.g., religious gatherings and barazas), meetings with organizations or individuals representing or possessing deep knowledge of these groups, one-on- one interviews, and surveys. Score 0 0.5 1 14 3. CHECKLIST FOR ASSESSING THE INCLUSIVENESS OF A PROJECT-LEVEL GRIEVANCE MECHANISM 4. Are consultations with vulnerable groups easily accessible from a physical perspective?* The choice of location and timing of consultations do not seem The project carefully selects the venue and timing for the to reflect any particular attention paid to the special needs of consultations to ensure easy access for vulnerable groups. vulnerable groups. These measures and considerations are well documented. Score 0 1 5. Are consultations with vulnerable groups easily accessible from a psychological perspective?* No particular measures ensure that vulnerable or marginalized Dedicated measures to enhance the free flow of discussions groups feel safe and comfortable participating in consultations. demonstrate the attention paid to facilitating the participation of vulnerable groups. Score 0 1 6. Are consultations with vulnerable groups easily accessible from a linguistic perspective?* Considerations of linguistic accessibility are not apparent in the Specific measures ensure consultations are conducted in a planning and implementation of the consultations. language that everyone can easily understand. Score 0 1 III. Remove barriers to accessing the grievance mechanism 7. Are there a variety of grievance uptake channels available to vulnerable and marginalized groups and individuals? No more than three channels for submitting grievances are A variety of channels for submitting grievances are available to available to vulnerable stakeholders. vulnerable stakeholders. Score 0 1 8. Are efforts made to remove the cultural and psychological barriers to accessing the grievance mechanism? The project proposes standard language regarding the The project uses a range of measures to help vulnerable accessibility of the GM but does not delve into possible groups access the GM, such as community liaison officers, cultural or psychological barriers that vulnerable groups might the inclusion of vulnerable groups on grievance committees, encounter, or how to mitigate them. grievance channels adapted to local cultures, and the use of intermediaries and third-party organizations to facilitate GM access. Score 0 1 9. Are efforts made to remove the physical barriers to accessing the grievance mechanism? The grievance uptake channels selected under the project may Several grievance uptake channels allow people who may face make it difficult for certain groups to file a grievance due to mobility or digital constraints to easily file grievances. physical constraints, such as required travel or lack of digital devices. Score 0 1 15 3. CHECKLIST FOR ASSESSING THE INCLUSIVENESS OF A PROJECT-LEVEL GRIEVANCE MECHANISM 10. Are efforts made to remove the technical and literacy barriers to accessing the grievance mechanism? No particular steps have been taken to make the GM more The project has adapted its communication materials to cater accessible and easily understood in terms of technology, to diverse audiences, including those with lower literacy rates language, and communication constraints. or education levels. Score 0 1 11. Are efforts made to remove the linguistic barriers to accessing the grievance mechanism? The GM is only available in one language. The GM is available in all contextually relevant languages, such as minority languages and English for foreigners. Score 0 1 12. Are efforts made to remove the financial barriers to accessing the grievance mechanism? The GM setup implies direct or indirect costs for complainants. Accessing the GM is free of charge, and potential complainants do not incur any direct or indirect financial costs when filing a grievance. Score 0 1 IV. Ensure that there are adequate awareness raising and outreach activities for the grievance mechanism 13. Is the GM’s existence and procedures communicated widely and on an ongoing basis? The GM’s existence and procedures were advertised using At least three communication channels with the potential to two or fewer communication channels with the potential to reach vulnerable groups are used to communicate about the effectively reaching vulnerable groups. Following the launch of GM. These efforts are ongoing. the GM, communications regarding it decreased significantly. Score 0 1 14. Are the communication strategy and materials about the grievance mechanism adapted to the needs of vulnerable and marginalized groups and individuals? Awareness-raising and outreach strategies and channels for the Awareness-raising and outreach strategies and channels for the GM are generic and not adapted to the specific requirements of GM are tailored to the needs of vulnerable groups, such as the vulnerable groups. provision of materials in a variety of formats and languages. Score 0 1 16 3. CHECKLIST FOR ASSESSING THE INCLUSIVENESS OF A PROJECT-LEVEL GRIEVANCE MECHANISM V. Prevent retaliation 15. Are complainants guaranteed confidentiality? The GM operations manual and staff code The GM operations manual and staff The GM operations manual and staff of conduct do not specifically address code of conduct include processes and code of conduct include processes and confidentiality issues. procedures to ensure confidentiality. procedures to ensure the confidentiality of processes. The code of conduct includes sanctioning power if a breach occurs. Score 0 0.5 1 16. Are there clear and advertised processes in place to allow stakeholders to submit anonymous complaints? Anonymous complaints are not accepted, Anonymous complaints are accepted, but Anyone can submit an anonymous or clear communication is lacking about it is unclear how they are handled. complaint, and the policy on how they are the process for submitting a complaint handled is clear and well-advertised. anonymously. Score 0 0.5 1 VI. Monitor the effectiveness of the grievance mechanism for vulnerable groups, and refine it as needed 17. Are the views of vulnerable groups about the functioning of the grievance mechanism sought after its launch? The views of vulnerable groups regarding GM performance and As part of stakeholder engagement activities, the PIU verifies ease of access are not actively sought. if vulnerable groups are aware of and comfortable seizing the GM, for example, by regularly asking vulnerable groups or their representatives about their views on the GM during focus group discussions and consultation meetings. Score 0 1 18. Are quality assurance procedures carried out to evaluate the effectiveness of GM processes for vulnerable groups? The PIU does not proactively test how well the complaint The PIU carries out regular spot checks and/or mystery handling processes are working for complainants. shopping techniques to gauge the performance of the GM and identify potential weaknesses. Score 0 1 17 3. CHECKLIST FOR ASSESSING THE INCLUSIVENESS OF A PROJECT-LEVEL GRIEVANCE MECHANISM 19. Do grievance logs capture data about vulnerable groups? The data collected by the GM do not The grievance log captures limited The grievance log collects three or more capture detailed information about information on the possible drivers of indicators of potential vulnerability, such complainants and thus cannot be used to vulnerability among complainants. For as gender, age, disability, geographic draw conclusions about how accessible example, it might only include gender location, employment status, and and effective vulnerable groups find the and geographic location. language, which lets the PIU GM GM. focal point determine the exact share of grievances submitted by specific categories of vulnerable people out of the total number of grievances registered by the GM. Score 0 0.5 1 20. Is GM data analyzed and used to improve project policies and processes? GM reports do not suggest an in-depth, An analysis of the grievance log provides The GM focal point can credibly disaggregated analysis of complaints data points such as the average length demonstrate that grievance data, data. Only basic elements are readily of complaint resolution and percentage feedback from complainant satisfaction available, such as the number of of complaints by category. However, surveys, and/or spot-checking results grievances received and resolved. the analysis is insufficiently detailed to are monitored and analyzed on an identify specific project-related problems ongoing basis for patterns that would for vulnerable groups. suggest specific project-related problems for vulnerable groups. If a problem is detected, it is highly likely that it would lead to a modification of project policies and practices so as to avoid future harm— or there is evidence that such a scenario has already occurred. 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