- INTRODUCTION
To ensure accountability, SARA is committed to implement a Complaints Response Policy (CRP) in our programmes to enable individuals and organizations to raise complaints and give feedback on our work. The system also enables SARA staff to report on incidents.
A CRP describes all steps and processes for SARA to ensure that an effective complaints handling system is in place, so that all stakeholders have an appropriate means of lodging a complaint, that subsequent complaints can be addressed in a professional and effective way, from receipt through to the investigation and follow-up stage.
The benefit for SARA in receiving complaints is primarily to get input to programs and projects, which will improve the quality of our work, increase the livelihood for success in our long-term and humanitarian work and reduce the potential for inefficient or misuse of the resources entrusted to us.
- OBSECTIVES
The purpose of this policy is to:
- Maintain the quality and continuous improvement in SARA’s work in its working areas.
- Protect SARA staff to report incidents and increase confidence;
- Enable right holders to raise a concern and complain on SARA’s work and quality relationship with rights holders;
- Provide general information regarding SARA’s procedures for handling, responding and resolving complaints and staff incident reports.
- SCOPE OF THIS POLICY
The CRP should be seen as one system for the organization; it includes the whole process from receiving, handling and investigating complaints. This procedure gives confidence to the right-handers as well as staff to file complaints. SARA’s staff can also report incidents through the CRP. All complaints are reported in the same system.
SARA is implementing directly through recruiting and orienting staff and hence, SARA has a responsibility as staff to address the wellbeing and protection of local communities and individuals in its development and humanitarian programs.
3.1.1 Key definition: what is a complaint, and what is it not?
SARA recognizes what Diakonia defines a complaint “Formal expression of dissatisfaction and/or misconduct, about someone or something”. It distinguishes the term ‘complaint’ from ‘feedback’. Feedback is any positive or negative informal statement of opinion about someone or something – an opinion shared for information but not with the intention of lodging a formal complaint.
Complaints addressed by this policy- SARA will accept complaints related to the following examples:
- Misbehavior or misconduct by a SARA staff member with reference to SARA’s Code of Conduct.
- Violation of SARA’s policies and commitments by staff.
- Misbehavior or misconduct of staff members.
- Financial appropriation
- Issues related to protection and security of rights holders
Complaints not addressed by this policy- SARA will not respond to the following complaints:
- Complaints that are already the subject to current investigation by any regulatory body or legal or official authorities in Bangladesh
- Offensive complaints using inappropriate or abuse language.
3.1.2 Anonymous and Malicious Complaint
If a person lodging a complaint chooses to remain anonymous, SARA will only be able to receive the complaint, but will not be able to respond or guarantee an investigation. Complaints will always be treated with confidentiality. Name and contact details will not be revealed to any person outside the investigation.
If a person lodging complaint that is malicious, any investigation underway must be stopped immediately and disciplinary actions be taken if SARA staff’s makes the malicious complaint.
3.1.2 Risk Analysis, Ensure Confidentiality and Safe Environment
SARA recognize that there are risks linked to the investigation of complaints and it is therefore very important to always assess what the risks are prior to an investigation and address the risks in an appropriate way.
Confidentiality is critical in the handling of complaints in order to protect the privacy and safety of the complainant, the subject of complaint and other witnesses. Access to and dissemination of information regarding complain will be restricted only to a limited number of authorized staff for the purpose of concluding a necessary investigation. Any breach of confidentiality shall lead to disciplinary action according to HRDM regulations.
SARA shall only allow disclosure when:
- It is required by law;
- It is needed to obtain specialist help for the survivor or advice on the evidence.
SARA seeks to provide a safe environment through which individuals or groups can voice a concern, without fear of reprisal or unfair treatment.
- Complaints and Incident Handling Procedures
In case a staff member receives information informally, that could be subject for a complaint, SARA staff is encouraged to proactively ask if the person that is sharing the information would like to make a formal complaint and if needed assist the complainant to make the complaint.
4.1.1 Types of Complaints: Operational and Serious complaints and incidents
When dealing with complaints, SARA distinguishes between “operational complaints and incidents” and “serious complaints and incidents”.
Operational complaints and incidents- Operational complaints refer to complaints on program and project activities and staff incidents. It may be any of the following:
- Issues of entitlements and commitments not met
- The quality of the implementation of a project is not maintain..
- If the program has not been managed according to guideline.
- Incidence conducted by employee which incur loss the stakeholders & rightholder.
- The law quality service provided
Operational complaints can often be resolved to the complainant’s satisfaction through two-way communication between the complainant and the person who received the complaint at project level. It is however recognized that not all issues can be resolved in this way and some cases may need to be reported.
Serious complaints and incidents- A serious complaint is primarily related to breach of Staff’s Code of Conduct. A serious complaint can be any of the following:
- Behaviour of a SARA employee
- Allegations of sexual exploitation and abuse
- Allegations of harassment (physical, psychological)
- Allegations of crime, fraud and corruption
- A complaint on an issue posing serious reputational risk to SARA
Serious complaints should be formally investigated with high respect to confidentiality. Accountability Focal Team (AFT) will decide about the external investigation. AFT consists of 3 persons from the organization. ED of the organization will not member of the AFT because of the conflict of interest. Also Accountability Focal (AF) will not be the member of same reason.
4.1.2 Responsibilities in Handling Complaints and Incidents
ALL SARA Staff have a Responsibility- All SARA’s employees are required to report allegations, or suspicions of breaches related to SARA’s Code of conduct. Proven deliberate non-disclosure will lead to disciplinary action. The obligation to disclose is included in SARA’s Code of Conduct.
A flow chart in Annex 1 gives a visual glimpse of the procedure and responsibilities for handling serious complaints.
Executive Director or Executive Committee- Executive director will make decision based on the complain investigation recommendation. If the complain against the Executive Director (ED) than Executive committee will make decision. They are responsible for
- Ensuring that a system to handle and respond to complaints in a safe and effective.
- Ensuring that the guidelines for complaints handling is followed
- Ensure that CRP is operational and effective for improving performance
Accountability Focal Point- Responsible for
- Overseeing the roll- out of CRMs
- Ensuring that complaints are documented and are complete and secure.
- Informing stakeholders about their right to complain.
- Ensuring that all complaints are documented and files are complete and secure
- Synthesis report of different types of complaints received and the status of their resolution shall be reported annually.
- Learning documentation and propose for the continual improvements.
Accountability Focal Team – Comprise 3 key persons from the organization. ED and AFP will not be the member of the AFT. They are responsible for
- Ensuring that SARA’s CRP is relevant and functional and that resources (staff, financial and technical) are allocated to ensure the system is maintained
- Risk analysis and take risk mitigation measures
- Ensuring qualified investigations of serious complaints
Complains Investigation Team – Comprise 3 key persons from the organization. AFT will appoint the CIT based on the relevant experiences. They are responsible for
- Planning for the investigation for the serious complain;
- Gather evidence for proceed investigation;
- Responsible for fair investigation and reporting including recommended action.
4.1.3 Steps in processing complaints
The flowchart in Annex 1 outlines the main steps taken at different levels in the handling of serious complaints. These are also described here.
- Acknowledging the Complaint
The complainant shall receive confirmation of receipt of the complaint. By sending an acknowledgement, SARA shows that the allegation is taken seriously and handled according to procedures.
- Risks analysis and Protection
Risks should be addressed, and any security concerns should be referred to management. Investigation of serious complaints can also involve a risk for the staff or person that conducts the investigation. AFT is responsible to minimize these risks as far as possible.
- Determining the need for an investigation
In general, only serious complaint goes through an investigation process. Serious complaints are always referred to Accountability Focal Team (AFT) who then decides if an allegation needs to be investigated.
- The investigation process
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- Communicating Investigation Outcome and appeal process
The outcome of the investigation shall be communicated to the complainant immediately after a decision is made. Any decision will be followed by immediate action.
If the Complainant or the Subject of the Complaint is not satisfied on the resolution of the complaint, he/she may lodge an appeal within 15 days upon receipt of the decision. If this is the case, the reasons given and any other new evidences to make a decision whether or not to conduct a new investigation shall be analysed. The appeal shall be considered only once.
4.1.4 Action Time Allotment
SARA will always strive to take action and solve complaints in a timely manner. However, the time it takes for each complaint to be solved will depend on the complexity and character of the complaint. Serious complain should have to solve within 3 months and operational complain should have to solve within 30 days.
3.5 Learning and continual development.
A synthesis report of the types of complaints received and the status of their resolution shall be reported annually. The annual reports will focus on learning points and how