ES1 – Compact Grievance Procedure

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Document Details
Document Title ES 1 Compact Grievance Procedure

Document Description This procedure defines the ESMS requirements for MCA-Zambia’s
handling of grievances. It establishes a mechanism to receive and
facilitate resolution of affected communities and other stakeholders
concerns and grievances. This procedure applies to all grievances
received directly by MCA-Zambia.
Document Owner ESP Director

Document Approval
Document Approver Chief Executive Officer
Approval Date
Review Date
Live Date

Document Revision History

Version Date Created/Updated Approved By Change Detail
By
1.0 August 2014 ESP Director Creation

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ES1 – Compact Grievance Procedure

Version. 6

Introduction:

The Lusaka Water Supply, Sanitation and Drainage (LWSSD) Project is a complex project which will
entail large works to be undertaken in an already built up, densely population urban setting. As part of its
Environmental and Social Management System, MCA-Zambia has established a grievance mechanism to
receive and facilitate the resolution of concerns and complaints of stakeholders and affected communities
about MCA-Zambia’s environmental and social performance. While all reasonable efforts have been taken
to avoid, minimize and mitigate negative impacts, all issues that may arise during the life of project cannot
be anticipated and pre-empted during the assessment process. Therefore, there is a need to provide a fair,
and transparent process for receiving, responding and resolving grievances.

A properly designed and implemented grievance management process is invaluable and will benefit MCA-
Zambia, and all stakeholders by increasing the likelihood of resolving minor disputes quickly, in a fair
and inexpensive way, with solutions that satisfy both sides negotiating in good faith. Grievance
mechanisms can also help identify and resolve issues before they are elevated to formal dispute resolution
methods, including the Courts of law. When the grievance management process is well handled,
community perception about the project will also be positively enhanced.

MCA-Zambia undertakes to inform the communities on the available avenues to raise grievances through
regular engagement and consultation. While it is anticipated that the overwhelming majority of Compact-
related grievances will be addressed by the Resettlement Implementation Consultant (RIC) and the
contractors’ grievance procedures, MCA -Zambia will be prepared to receive and respond to grievances
that fall outside consultants’ and contractors’ scope. A separate framework exists for Consultants and
Contractors regarding requirements for their own grievances mechanisms (ES 2 Project Grievance
Framework for Consultants and Contractors).

Although the Environment and Social Performance (ESP) sector will be the key driver of this Procedure,
it must be realized that all staff at MCA - Zambia have a role to play with respect to grievance resolution.
This means that all MCA-Zambia staff will need to be aware of the Grievance Procedure in order to inform
stakeholders about how to submit a grievance. It should however be noted that only members of the
Grievance Review Committee will have an active role in resolving the complaint.

Purpose:

To establish a grievance procedure that is accessible to stakeholders and affected communities and that
will allow MCA- Zambia to receive and respond to grievances in a transparent and timely manner.

Scope: This procedure applies to all grievances received by MCA –Zambia directly.

General Requirements:

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 Within MCA-Zambia, the Resettlement Specialist is contact person directly responsible for
managing the grievance mechanism,

 The Grievance Mechanism will be publicized on MCA- Zambia’s website, at the MCA-
Zambia offices and during consultations with stakeholders and affected communities,

 Complainants will submit grievances via the following avenues:

 Telephone # +260 (211) 256 004/071

 A dedicated email address: ESP@mcaz.gov.zm
 In person – Stand No. 1200, Twikatane Road, off Addis Ababa Drive, Rhodes Park
 Postal address: Millennium Challenge Account – Zambia
PO Box 51290
Lusaka

 All grievances will be registered upon receipt by the Resettlement Specialist in a grievance log
and each phase of the process, including resolution, documented in a clear manner,
 MCA-Zambia will respond to grievances, develop resolution options, review resolution
options with the complainant and close out the grievances as explained in the process below.
 MCA- Zambia will constitute an internal Grievance Review Committee (GRC) comprising of
the following staff members: One (1) representative each from each of the following;
Environment Social Performance (ESP), Social and Gender Assessment (SGA), Infrastructure,
and Communications. Representation from Legal will be called upon as and when the need
arises,
 Training will be provided to members of the GRC and Implementing Entities to equip them
with MCA- Zambia requirements and to ensure that they their understand MCA- Zambia’s
grievance procedure and the role they are expected to play,
 MCA-Zambia will monitor the resolution of grievances and track performance as part of its
internal review of the effectiveness of its ESMS,
 The grievance process, including Arbitration, will not impede the right of complainants or
parties to seek legal redress.
 The Grievance Mechanism will take into account social and gender sensitivities in handling
reported complaints to ensure inclusiveness, privacy and protection of all complainants
especially women and other vulnerable groups.

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Grievance Procedure:

The Grievance Mechanism Process is summarized in the following diagram;

Process Timing Process Summary

2-7 days Is complaint/grievance relevant to the Compact?

If no, inform the complainant and close.

Filter
If yes, and complainant is relevant to RIC or contractor, refer
to RIC or contractor, inform complainant, close and track
resolution through monitoring

If yes, pass to Tier 1

Tier 1 2 weeks Complaint is resolved and closed off by MCA-Z without using
GRC mediation

If complaint cannot be resolved without mediation or other

interventions pass to Tier 2

Facilitation and mediation of complex or contentious matters

4 weeks by the Grievance Review Committee (GRC).

Tier 2 Grievance is reviewed by the GRC and resolution proposed.

If internal review is unsuccessful, the grievance can pass to

mediation by external parties, including on call resources
recruited by MCA- Z for the purpose of specialised mediation

If complaint cannot be resolved, referred to Arbitration by

mutual consent and referred to tier 3.

TBD by Parties agree to appointment of Arbitrator(s)

Tier 3
Arbitrator
Arbitration process takes place under through the provisions of
and MCA-Z the Zambia Arbitration Act No. 19 of 2000.

Decision of arbitrator binding on all parties

Tiered structure and reporting times:

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The grievance mechanism consists of 3 tiers (Tiers 1 – 3) after screening (Tier 0). The process at each
Tier is described below, along with maximum times allowed for grievance resolution/closure.

Tier Zero (2-7 days):

All incoming grievances will be recorded and receipt acknowledged by Resettlement Specialist, with
formal confirmation provided to the complainant that includes a complaint number and timeline for
response. All grievances will be screened by the ESP team. The first task (screening) will be to:

i) Establish whether or not the grievance or concern is Project related. If the grievance is not project
related, the complainant will be formally notified and grievance will be closed. Where possible the
complainant will be advised of an appropriate office where to lodge their grievance and seek resolution.

ii) Determine whether the complaint or concern falls within the scope of MCA-Zambia’s grievance
mechanism and whether it is the responsibility of MCA - Zambia to address or if it should be referred to
the Resettlement Implementation Consultant (RIC) or Contractors. If the grievance falls within the scope
of the RIC’s or contractor’s grievance mechanism, the complainant will be notified in writing or other
appropriate manner such as via telephone and referred to the appropriate office. If the grievance is Project
related and falls within the scope of MCA-Zambia’s grievance procedure, it will be evaluated according
to the tiers enumerated below.

Tier One (2 weeks):

Grievance will be determined within a relevant MCA- Zambia Sector without the need to constitute the
GRC. The complainant shall be informed in writing of the outcome. The matter should be disposed of
within two weeks of receipt of the complaint. Should the complainant remain unsatisfied then the matter
will be referred to the GRC for review.

Tier Two (4 weeks):

This will handle complex and contentious complaints through the constitution of the GRC. The GRC will
also receive complaints from the RIC and other contractors which they are unable to resolve. The RIC
will be an ex-officio member of the GRC. The Secretariat for the GRC will be held by the ESP Sector.

The GRC will review the complaint, negotiate or mediate various stakeholder settlement options and offer
a resolution to the matter which will be communicated to the complainant within four weeks of receipt of
the complaint. The GRC will ensure that the reputation of MCA- Zambia is maintained and that a
resolution is reached that reasonably satisfies both sides. However if the GRC is unable to offer a
resolution, external expertise will be sought so that the necessary guidance can be given. This will be done
to give confidence to the complainant that the decision reached is impartial and to seek additional technical
expertise. The complainant will be kept informed throughout this process and may be requested to be
present during the sitting of the GRC and/or facilitate a site visit should this be deemed necessary.
Depending on the decision reached, the matter may be referred back to Tier 1 to close off the matter with
the necessary instruction on how this is to be attained.

Tier Three

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In the event that agreement is not reached through negotiation or mediation the matter will be referred to
this Tier, this elevation will be determined by MCA-Zambia. Here the provisions of the Zambian
Arbitration Act 19 of 2000 will apply. Any costs that may be accrued during this process will be shared
between MCA-Zambia and the complainant.

Parties will agree to submit claims to the decision of an Independent Arbitrator appointed under the Act
and whose decision is binding on the claimants and is recognized by the Courts. There are provisions
whereby parties have the option of withdrawal from the process and appeal directly to the courts.
Complaints at this level can be expensive and time consuming and this level should therefore be sparingly
used and be reserved for complex cases.

Appendix 1

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Grievance Record Sheet

GRIEVANCE RECORD SHEET

Nature of Submission Personal Letter Telephone E-mail
Reference (complaint
number)

Full Name

Gender
National Registration No.
Date Time

Phone Number

Address

Type of Grievance Dust Noise Property Conduct Employment Health Other

damage & Safety (specify)

Grievance Description

Site Visit Date

Photographs Taken

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Responsible MCA-Zambia
Sector
Tier Tier 1 Tier 2 Tier 3
Signature of Complainant
Name & Signature of MCA-
Zambia
RESPONSE

Nature of Response Personal Letter Telephone E-mail

Date

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