Handling complaints
Benchmark five of the 2010 HAP Standard in Accountability and Quality Management (pdf, 777 Kb) stipulates that the organisation enables the people it aims to assist and other stakholders to raise complaints and receive a response through an effective, accessible and safe process.
Tools for developing and running complaints handling mechanisms
Recording and Tracking Complaints template and Complaints Hotline protocols (Oxfam GB, 2011). These tools have been developed and used by Oxfam during the flood response in Pakistan.
Collaboration and innovation - developing a joint complaint and response mechanism (HAP, Haiti, 2010). In July 2010, three agencies, World Vision, Save the Children and the Lutheran World Federation, with the support of HAP, initiated a project to develop and pilot a Joint Complaint and Response Mechanism. The agencies worked together to develop key tools, seek input from the camp committee and residents, and reach the point where the joint mechanism could be rolled out. In addition to a summary of the process and learning, tools including the complaints handling procedures, complaints forms and a staff briefing agenda were developed. These documents are available as a zip file (492 Kb). The summary is also available in French.
Complaint Mechanism Handbook 2008 (Danish Refugee Council, 2008) focuses on how to establish complaint mechanisms in humanitarian projects. Aimed at practitioners and managers, this handbook includes a step-by-step guide, as well as practical tools and exercises to help staff think through the process of designing a tailored complaint and response mechanism.
Complaint and Response Mechanisms: A Resource Guide (World Vision Food Programme Management Group, 2009). This guide contains a collection of resources for establishing and implementing a formal complaint and response mechanism, with a focus on Community Help Desks and Suggestion Boxes, as part of World Vision food distributions in a broad range of contexts.
Steps in Complaints Handling (World Vision Field Tool Haiti, 2010), also available in Creole and French, summarises on one page key steps in setting up and running a complaints mechanism.
Community Complaints Cards (World Vision, 2007). Pictorial cards developed by the Sri Lanka Tsunami Response Team (LTRT) to facilitate participation of community members in the design of a locally appropriate complaint and response mechanism.
Community Complaints Fact Sheet (World Vision, 2007) was prepared to sensitise staff to the concepts of community complaint mechanisms, including do's and don’ts of receiving complaints.
Tools for understanding existing complaints handling practice
Community Feedback Log (World Vision Field Tool Haiti, 2010), also available in Creole and French. A transitional feedback mechanism put in place during the initial phase of the response designed primarily to capture allegations of inappropriate behaviour by staff and consistent or higher priority complaints. Volunteers will be trained on accountability and using this form, before a more systematic complaints and response mechanism is developed.
Complaints and Response Mechanism Questionnaire (developed by HAP for World Vision’s Food Programme Management Group, 2007). This questionnaire was designed to gather information, relevant to complaint and response mechanisms, on the diverse contexts within which World Vision Food Programme Management Group operates, map out existing complaint and response practice, and identify resources and support needed to implement complaint and response mechanisms in all World Vision food projects.
Complaints and Response Mechanism Questionnaire for understanding existing practice among partners in handling complaints (developed by HAP for Save the Children, 2008). This questionnaire was designed as a starting point to strengthening partner complaint handling capacity, by understanding current practice.
Community Complaints Agency Self-Audit (World Vision, 2007). It aims to help programmes and agencies evaluate the strengths and weaknesses of existing complaints management practices based on 14 different elements. This can then be used as a basis for identifying areas for improvement.
Lessons learnt from Malawi (DanChurchAid) provides an overview of the lessons learnt relating to DanChruchAid's implemention of Complaints and Response Mechanisms with partners in Malawi.
Policies, procedures and guidelines in complaints handling
Community Complaints & Feedback Field Policy & Procedures Manual (World Vision UK, 2011). This manual has been developed and tested in the field. Developing a manual from scratch takes a lot of time, money and effort. Because of this, World Vision shares the manual as a word version, where agencies just needs to work through it systematically and enter and adapt it to meet their context.
Public Complaints Policy (Oxfam GB, 2007). This policy outlines the organisational-wide commitment to establishing a variety of mechanisms to encourage feedback and complaints about its work from all stakeholders from UK-based supporters to humanitarian beneficiaries. Its implementation is supported by procedures and divisional-specific guidelines (see below).
Implementing Oxfam Public Complaints Policy in the International Division Guidelines (Oxfam GB, 2007) supports the implementation (see above).
Generic Complaints Message to be Printed on the Back of Ration Card (Oxfam GB, 2008). Specific tools that form part of their staff toolkit also support the implementation of its public complaint policy.
Code of Conduct (HAP, 2008). It sets out what is considered to be unacceptable behaviour for staff and consultants, and the disciplinary procedures that will be followed to hold employees to account in case of misconduct. It also details what staff should do if they develop concerns of suspicions regarding violation of the Code of Conduct.
Building Safer Organisations Guidelines (BSO-HAP, 2008). These guidelines assist trained investigators and managers to implement good investigation practices in the field. The Guidelines build on the IASC’s draft Model Complaints and Investigation Procedure and Guidance, and accompany organisations from the first step of designing accessible complaints mechanisms to the final step of writing the investigation reports.
NGO checklist for developing or revising codes of conduct (HAP 2010). This is a checklist for organisations developing or revising their code of conduct. It includes critical questions to consider as an organisation and policies or statements to include in any code of conduct. Also available in French.
Policy Guide and Template, Codes of Conduct (People in Aid, 2008). This is a policy guide on developing codes of conduct.
Case studies on complaints handling mechanisms
Guide to a child friendly complaints system. Lesson learnt from Dadaab Refugee Camps (Save the Children, 2011). This case-study highlights how a child-friendly system has been set up in Dadaab Refugee camps in northern Kenya and how children and care-givers have responded to it.
Communicating with aid recipients through a helpline in Haiti (Oxfam GB, 2010). Case study on establishing a helpline in Haiti through which aid recipients can address questions and give feedback to the organisation. The document is also available in French.
Cambodia: Complaints mechanisms case study (CARE, 2006). Established in 2005, it allows complaints to be lodged through one of three channels: committees for addressing complaints, complaints boxes or a complaint telephone line. Details about the mechanism are outline in the policy (see below).
Cambodia: Complaints mechanism policy (CARE, 2005). This outlines details about the process that will be followed for community and staff complainants, as well as details about the committee composition, who can complain and what complaints can be raised.
Darfur: Beneficiary feedback tools (Medair, 2005). Gauging levels of satisfaction via household surveys and patient voting.
Kenya: Suggestion boxes for community feedback (Tearfund, 2007). Established to complement the Beneficiary Reference Groups by providing a channel by which more sensitive complaints could be raised anonymously. Also translated into French.
Myanmar: Creating information centres (Save the Children in Myanmar, 2009). Provide information and allow community members to feedback to agency staff with questions, complaints and suggestions. Also translated into French.
North Caucasus: Summary of Information and complaints mechanism (Danish Refugee Council, 2005). It summarises the complaint mechanism established as part of its monthly distribution of food and non-food items to 250,000 beneficiaries. The mechanism was facilitated through the existing nine information centres receiving up to 10,000 visitors per month, and focused on complaints related to beneficiary status. Also translated into French.
North Caucasus: Review of complaints mechanism (conducted by HAP for the Danish Refugee Council, 2005). The aim of the review is to assess the efficiency, effectiveness and impact of this mechanism.
Pakistan: Complaint mechanism (Tearfund, 2007). In response to the Kashmir earthquake, a mechanism was set up, which allowed community members to use one of three channels to raise complaints. These were then processed and a response given within seven days.
Pakistan: Complaints Handling Mechanism as part of earthquake response programme (Medair, 2006). Establishing a daily "complaints hour" for receiving complaints, leading to the identification and inclusion of 290 wrongly excluded families. Also translated into French.
Senegal: Case Study into Complaints handling (OFADEC, 2009). In May 2008, OFADEC received a complaint in relation to their programme for scholarship funding to Refugee students. The programme is implemented by OFADEC and funded by UNHCR and the German Government. Refugee students sent a complaint to UNHCR claiming that they had not received their full support and suggesting that OFADEC may be responsible. This case study highlights OFDEC's handling of the complaint including the lessons learnt and the outcome.
Sri Lanka: Pilot complaint handling mechanism (Medair, 2005). Inviting complaints over a 10-day period and establishing a complaints evaluation committee to review these to improve community trust.
Timor-Leste: Establishing a Complaints and Response Mechanism (CARE International, 2009). In 2008, CARE established a pilot Complaints and Response Mechanism to prevent and respond to incidents of sexual exploitation and abuse in their partner communities. The goal of the project was to raise community and staff awareness of the code of conduct for staff behaviour and to minimise the risk of sexual exploitation and abuse by CARE International Timor-Leste staff. This case study captures some of the challenges and lessons learned in order to inform the development of additional or future response mechanisms. Also translated into French.
Zimbabwe: Child’s feedback committees (Save the Children UK, 2004). These were formed to collect feedback, complaints and suggestions to improve the programme. Each committee elected a representative who fed back to an independent "ombudsperson" that provided the core point of contact between the committees and the programme. Through these committees, children raised issues around the allocation of food aid within households, the marginalisation of orphans, and cases of child abuse.
Zimbabwe: Community "help desks" video (World Vision, 2009). Produced by World Vision in Zimbabwe, this video shows the organisation's approach to meeting Benchmark 5 on complaints and response mechanisms by setting up community help desks at all food distribution points.
