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Community Grievance Management and
Resolution Procedure
ORIGINAL ISSUE DATE REVISION NUMBER
4.0
EFFECTIVE DATE
10 June 2016 April 1, 2011
SCOPE: The Procedure sets out the requirements of Acacia Mining plc (the “Company”) in relation to Community Grievance Management and Resolution as set out in the Acacia Land Policy.
CONTRIBUTORS NAME TITLE
Prepared by: Stephen Kisakye Chief Advisor CSR
Reviewed by: Asa Mwaipopo General Manager, Sustainability
Katrina White Head of Legal and Compliance
Approved by: P Geleta Head of People
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INDEX
1.0 Purpose ............................................................................................................................. 3
2.0 Scope ................................................................................................................................ 3
3.0 Definition .......................................................................................................................... 3
4.0 Structure ........................................................................................................................... 4
5.0 Governance ...................................................................................................................... 4
6.0 Key Effectiveness Criteria ................................................................................................. 7
7.0 Site Grievance Mechanism and Grievance Management Procedure .............................. 9
8.0 First Order Mechanism ................................................................................................... 10
9.0 Human Rights and Related Legal Violations ................................................................... 14
10.0 Humanitarian Aid………………………………………………………………………………………………….…..15
11.0 Second Order Mechanism .............................................................................................. 16
12.0 Third Order Mechanism ................................................................................................. 17
13.0 Monitoring and Record Keeping .................................................................................... 17
Appendices
A. Example Table of Contents for Site Grievance Mechanism ........................................... 20
B. Grievance Notification Form Template .......................................................................... 26
C. Grievance Questionnaire Guidelines .............................................................................. 28
D. Grievance Acknowledgement Form Template (carbon copy) ....................................... 30
E. Grievance Outcome Form Template .............................................................................. 31
F. Sample Grievance Report ............................................................................................... 32
G. Timeline for Site Implementation .................................................................................. 33
H. Flow Chart ....................................................................................................................... 35
I. Simplified Grievance Mechanism for Low-Risk Sites ..................................................... 36
J. Guidance for Remedies……………………………….…………………………………………………………….37
K. Security Remediation Options……………………………………….………………………………………....39
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1.0 PURPOSE This Procedure outlines the requirements for designing and implementing an appropriately tailored site Community Grievance Management and Resolution Procedure, or “Grievance Mechanism” for short. It also outlines ‘key effectiveness criteria’ that all sites are expected to adopt.
The purpose of a Grievance Mechanism is to manage complaints and grievances from communities and other local stakeholders in a systematic, fair, timely and transparent manner in order to promote mutual confidence and trust. A Grievance Mechanism will also provide the site with information about stakeholder issues and concerns and serves as an early warning mechanism that addresses issues before they become more difficult – and more costly- to resolve.
A Grievance Mechanism should be part of, and embedded in, ongoing stakeholder engagement.
2.0 SCOPE This procedure applies to all Acacia Mining Plc discovery, projects and operational sites1.
This procedure focuses on communities and other stakeholders and does not incorporate employee-related grievances, which should be addressed through the Human Resources department and other channels. However, the procedure should cover non-HR related grievances from employees or contractors who live in the community.
It is intended that both collective and individual community grievances could be resolved through this process. Grievances of a more collective nature and shared by large numbers of the community may be better addressed through a different process such as open public meetings to discuss and collectively resolve the specific issue. However, where a grievance is formally lodged by collective community members, the site must follow the process it established in the site-level grievance procedure.
3.0 DEFINITION A grievance is a formal action brought forward by any individual, group of individuals or a community, who allege damage, impact or dissatisfaction as a result of the actions of the company or its contractors. The grievance entails the expectation of a response or a corrective action that may be compensation either in cash, services or in kind.
1 Some closed sites, and sites on care and maintenance may also be required to maintain a grievance mechanism; this will be determined on a case-by-case basis by the GM Sustainability and Chief CSR and CR Advisor.
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4.0 STRUCTURE The procedure refers to First, Second and Third Order Mechanisms (as defined below) available to manage complaints/grievances. Its primary scope, however, deals with First and Second Order Mechanisms.
Additional supporting guidance material is listed in the Appendices.
4.1 First Order Mechanism
This refers to complaints/grievances that can be resolved directly between the site and the complainant through a process of direct and/or mediated dialogue either by the Grievance Officer (in collaboration with the relevant department) or by site management.
4.2 Second Order Mechanisms
This refers to the process that needs to be followed when the grievance cannot be resolved directly between the site and the complainant, requiring a review by a Grievance Committee. The appropriate third party governance structure for the Grievance Committee will be determined at each site and in collaboration with the community to ensure transparency and adequate independence.
4.3 Third Order Mechanisms
This refers to the process that is followed to address grievances that utilize the formal Judicial System of the host country or other applicable judicial or non-judicial systems outside of the host country.
5.0 GOVERNANCE
5.1 Knowledge of the Standard
All Acacia employees and third parties with whom Acacia or its affiliates contract must be aware of their duty to ensure that our host communities have an appropriate access to remedy.
The following people must have knowledge of the areas of this procedure that directly affect their area of responsibility:
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• Chief Operating Officer
• Head of People
• Head of Discovery
• VP Corporate Affairs
• Head of Legal and Compliance
• Site and Functional General Managers and Project Directors
• Chief Advisors (CR and CSR, Environment, OHS, Security)
• Country/Site Legal Counsel
• Country Community Relations Leads
• Site Sustainability managers
• Discovery country managers
• Discovery CR/CSR staff
• Site CR Section Leaders and team members
• Other relevant site Department Section Leaders
5.2 Review
The Corporate Community Relations and CSR group will periodically review this Procedure at a minimum of every three years in close consultation with the site CR Section Leaders.
5.3 Accountabilities and Responsibilities
It is important that responsibility to resolve grievances is clearly defined through an appropriate organisational structure and accountability framework. In addition those responsible for the implementation and management of the mechanism must ensure that departments and/or individuals implicated in a complaint or grievance are informed and involved in the review and subsequent resolution of the grievance.
Title or Position Key Accountabilities
General Manager/Project Director (all sites)
Accountable for:
• Accountable for site compliance with this Procedure. • Approves the site’s Grievance Mechanism and associated financial
administrative processes, • Assigns responsibility to Head of Department to ensure grievances
within their area are resolved as per the Procedure. • Ensures that departments implicated in the complaint/grievance
provide a timely grievance review outcome to the Grievance Officer.
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Title or Position Key Accountabilities
Sustainability Manager
Accountable for:
• Playing a governance role to ensure that the grievances on site are resolved according to this procedure
• Ensuring that departments implicated in the complaint/grievance provide a review/investigation report into any grievance to the Grievance Officer substantially in the form set out in Annexure F.
• Developing an internal training strategy (for employees and contractors) and external engagement strategy (for community stakeholders).
Site CR Section Leader
Accountable for:
• Implementation of this Procedure. • Establishing a site grievance mechanism, and document a site-level
grievance management procedure, based on the Acacia Community Grievance Management and Resolution Procedure.
• In coordination with the Sustainability Manager, determine the scope or mandate for the Grievance Officer to resolve grievances based on a first assessment.
• Ensuring external stakeholders are involved in the design and development of the site grievance mechanism.
• Assigning resources to ensure the process defined in this Procedure is effectively managed.
• Together with the Chief Advisor CSR and CR, reviewing the effectiveness of the site’s grievance mechanism annually.
Grievance Officer
Accountable for:
• Supporting the site CR Lead in the development of a site grievance mechanism based on this procedure.
• Assisting the site Finance Department to administer a financial process if required
• Overall management of the Grievance Mechanism including: - Informing communities how to access the mechanism - Conducting first level review - Keeping complainants informed of the status of any lodged
complaints. - Tracking and reporting on grievances - Running the Complaint/Grievance System.
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Title or Position Key Accountabilities
Site Heads of Department
Accountable for:
• Assigning responsibility for grievance review/investigation to the Nominated Person within the department.
• Ensuring grievances related to the department are resolved.
Nominated Person
Accountable for:
• Conducting the grievance review upon request of the Head of Department and the Grievance Officer and proposing a resolution to the Grievance Officer in a timely manner.
• Assisting with keeping complainants informed of the status of any lodged complaints.
Grievance Committee (applicable for second order grievances)
Accountable for:
• Facilitating an independent review and resolution. This could include a standing committee which meets regularly or an ad hoc committee which meets only when necessary.
Site Legal Officer and/or Counsel
Accountable for:
• Providing required timely legal advice and assistance on matters having legal implications forwarded by the Grievance Officer.
• Overseeing application of the third order grievance resolution mechanism.
• With site management, closing out cases presented by the Grievance Officer as unresolvable.
• Monitoring, managing and escalating Human Rights related Grievances.
6.0 KEY EFFECTIVENESS CRITERIA Acacia’s Grievance Management Procedure is based on the following criteria, which has been adapted from the effectiveness criteria included in the Ruggie Framework outlined in the Guiding Principles on Business & Human Rights: Implementing the United Nations ‘Protect, Respect, and Remedy’ Framework:
6.1 Legitimacy
Stakeholders must view the mechanism as legitimate and trust that it is accountable. The mechanism should also be empowering and responsive by ensuring that all complainants are understood and treated respectfully and with sensitivity irrespective of their perceived authenticity. It is important that relevant eligibility criteria are
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defined early on for acceptance of complaints and grievances and for escalating complaints from one order to another.
6.2 Based on Engagement and Dialogue
Wherever possible communities and other stakeholders should be involved in the design of the mechanism to ensure it is acceptable, respectful of local cultural norms and inclusive of local/customary decision making processes. This may be particularly important in societies where we operate that have a distinct segregation of roles and responsibilities, gender imbalances, hierarchical leadership, and also where indigenous peoples reside. Engagement also takes place throughout the process of reviewing and resolving complaints and grievances as the site undertakes dialogue with the complainant and affected stakeholders.
6.3 Accessibility
It is important that the mechanism is straightforward and easy for community members (who may be adversely impacted) to access with no cost meaning that communities should face no obstacle using the mechanism. It should be easily understood, written in non-jargon, local language, and easy for aggrieved people to lodge a complaint with us. The mechanism should be appropriately publicized through culturally appropriate channels, external processes (community meetings, radio, newspapers, leaflets, etc.) and routine stakeholder engagement processes. Consideration should be given to allow different ways of making complaints and adapt these to the local culture, helping to overcome barriers people may face in accessing the mechanism, including language, literacy, awareness, distance or fear of retribution or reprisal.
6.4 Equitability
The mechanism should ensure that aggrieved parties have reasonable access to resources and information to be able to participate fully and equitably in the process. This particularly applies to vulnerable groups and women.
6.5 Vulnerable Groups and Gender Sensitivity
These are people who are more likely than others to be adversely impacted by our activities. Vulnerable groups typically include women, single mothers, elders, youth, etc. A grievance mechanism should address the challenges that these groups face in their daily lives and in their access to opportunities that our activities might bring to the communities. Women are considered a vulnerable group in many of our operating locations. There should be at least one female representative available to ensure approachability for female complainants. It is important to ensure there is an accessible and culturally sensitive method for women to file a complaint. This may mean having a variety of ways for community members, particularly women, to deposit grievances.
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6.6 Predictability
The adopted mechanism must be predictable providing a clear and known timeframe for each stage and clarity on the types of mechanisms and outcomes that can and cannot be offered.
6.7 Transparency
The process (especially the receipt of complaints) and the key elements of outcomes must have sufficient transparency to meet stakeholder concerns and expectations.
6.8 Rights-Compatible
Where grievances concern human rights, the mechanism and its outcomes must ensure that they are compatible with internationally recognised human rights.
6.9 Continuous Improvement
Regular monitoring of the grievance mechanism and its outcomes, particularly of trends and patterns, is critical to ensuring we identify systemic problems and adapt our practices accordingly.
7.0 SITE GRIEVANCE MECHANISM AND GRIEVANCE MANAGEMENT PROCEDURE Intent
A grievance mechanism is a process for receiving, investigating, responding to and closing out of complaints or grievances from affected stakeholders in a timely, fair and consistent manner. It should be seen as a stakeholder engagement improvement tool rather than as a way to get a ‘win' before going to court.
All sites must develop and implement a formal Grievance Mechanism which is suitable to the local context and complies with the requirements of this Procedure.
All sites must develop and adopt a site-level Grievance Management Procedure that is:
• Approved by the General Manager, in collaboration with the GM Sustainability and Chief Adviser CSR
• Annually reviewed and, if necessary, adapted to ensure ongoing effectiveness.
The site level Grievance Management Procedure must include:
• The site’s agreed process and timeline for receiving, investigating and closing out (or referring) grievances;
• Mechanisms for communicating the mechanism internally and externally; • Internal accountabilities established for the mechanism.
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8.0 FIRST ORDER MECHANISM Intent
A First Order Mechanism is for issues that can be resolved directly between the site and the complainant through a process of direct consultation and/or mediated dialogue to seek mutually agreed solutions.
8.1 Receiving and Registering
The site must designate appropriate channel(s) to receive complaints and grievances.
When a complaint or grievance is presented, the complainant must note and record the complaint or grievance in writing using a Complaint/Grievance Notification Form.
If the complainant cannot complete the Complaint/Grievance Notification Form, the Grievance Officer or a representative for the Grievance Officer2 must complete the form on their behalf. 3 The Grievance Officer must read and explain what has been recorded to the complainant to confirm the complaint or grievance has been recorded properly.
Where the grievance has been received by someone other than the Grievance Officer, all forms must be handed over to the Grievance Officer within 24 hours of being presented (in the case of an Acacia employee) or as soon as is practicable (in the case of receipt by an external party (e.g. NGO, Village/Hamlet Chairman).
The Grievance Officer must provide a response and act in accordance with this procedure, explaining to the complainant the expected process and timeline for further review.
The Grievance Officer must enter the details of the complaint/grievance into the Complaint/Grievance Register or System within 24 hours of the complaint/grievance being lodged with the Grievance Officer. It is important that all details are sought from the complainant for the grievance to be effectively resolved. Guidelines for questions to be asked when receiving/registering a grievance are annexed as Appendix C.
If the grievance is urgent and requires immediate attention, the complainant must be directed to the Site CR Section Leader and the Sustainability Manager and General Manager must be notified. These include environmental, safety issues or security related human rights complaints.
Each complainant must receive a Grievance Acknowledgement Form.
The Acknowledgement Form must have a reference number, and a phone number or alternative mechanism to contact the company and include a commitment from the
2 This could also be completed by a delegate, e.g. NGO representative if the site chooses to use alternative channels for receiving grievances 3 Written grievances may be a barrier for some individuals, hence all effort must be made to accept verbal grievances and transcribe for the complainant.
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Company to provide a response within a pre-specified time period (e.g. forty five (45) days) of logging the grievance.
A copy of the Grievance Acknowledgement Form must be kept on record.
At defined entry points for grievances the Grievance Officer must ensure that:
• Appropriate training on this Procedure has been completed; • Relevant grievance forms are available; and • Requirements for forwarding grievances to the Grievance Officer (e.g. within
24hrs, in writing or verbally) are clearly understood and agreed to.
8.2 Receiving Grievances
Once a grievance is lodged the Grievance Officer must attempt to contact the complainant within 1 – 7 days and independently begin to examine the nature of the grievance. Where there are multiple grievances with a common ground, these must be logged independently but the feedback can be given to the group of complainants if this is acceptable to them. The involvement of third parties (such as a community leader) by the complainant at this stage is at their discretion.
Following the initial review, the Grievance Officer must update the Grievance Notification Form and include signatures from the complainant, witnesses or any other individuals who choose to make comment with regard to the particular grievance.
If a grievance can be managed at the first (rapid) assessment, the following requirements must be met:
• The resolution must be in accordance with the Grievance Officer’s delegated authority;
• The resolution must be in accordance with site procedure and the Acacia agreed position on the subject matter of the grievance;
• The Grievance Officer must be satisfied that the resolution will likely bring finality to the grievance; and
• The complainant is satisfied with the resolution and will provide the required written confirmation at the time.
8.3 Review and Investigation
The Grievance Officer must trigger a more detailed review of the grievance if:
• The initial review identified the need for follow-up review by the relevant department or contractor; or
• The cause or appropriate response is beyond the scope or authority limits of the Grievance Officer and needs to be referred to the relevant department or the site management team for adjudication; or
• Addressing the cause of the grievance requires the involvement of subject specialists.
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If Review and Follow Up is required, through the CR Section Leader and Sustainability Manager, the Grievance Officer must request the involvement of relevant department(s).
The Head of Department is required to then designate the case to the Nominated Person within the department.
The Grievance Officer must forward copies of all documentation relating to the grievance to the Nominated Person.
The Departmental Nominated Person (in the presence of appropriate local authorities, where relevant) must contact witnesses and other references mentioned in the Grievance Notification Form and prepare a recommendation for resolution. The Grievance Officer should be involved in this process. The recommendation should take account of the suggested remedies set out in Appendices J and K.
Formal comments from respondents and witnesses contacted during a grievance review must be documented on the Grievance Notification Form and – where appropriate- signed by the complainant, witnesses or relevant individual.
To ensure consistent and timely responses to complainants, the departmental Nominated Person must provide the Grievance Officer with a report on the status and outcome of the review, within seven (7) days of receiving the grievance case.
If after seven (7) days the Grievance Officer has not received any feedback from the Nominated Person, the Grievance Officer must send a reminder to the Nominated Person and copy the Nominated Person’s Head of Department and the Site CR Section Leader.
If after a further seven (7) days the Grievance Officer has not received a response, the Site CR Section Leader must expedite the review process by sending a reminder to the Nominated Person’s Head of Department and Sustainability Manager.
If after a further seven (7) days the Grievance Officer has not received a response, the Sustainability Manager will involve the General Manager.
If the required response to the grievance is beyond the capacity of the Grievance Officer and/or the Nominated Person(s), for example because it concerns a collective complaint or grievance or extensive investigation or because the resolution requires decision beyond the remit of the Grievance Officer and the Nominated Person(s), the grievance must be referred to the site General Manager through the Sustainability Manager.
The General Manager is required to suggest options for resolving the grievance and forward these to the Grievance Officer.
The Grievance Officer is responsible for ensuring the complainant is kept informed of the status of the review.
If additional time is needed to examine the grievance, the complainant should be notified of this in writing and advised of when a resolution will be presented.
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8.4 Resolution and Outcome Reporting
The Grievance Officer must discuss (as opposed to announce) the outcome of the review to the complainant where appropriate in writing (and/or verbally where literacy may be an issue) using a Grievance Review Outcome Form in the form of Appendix E or a company letter. 4 Where a written form is culturally not appropriate, the outcome must be communicated in person or –in exceptional cases- by phone.
Based on dialogue and discussions, comments, feedback or objections are noted on the form.
The Grievance Officer must make two (2) copies of the form; one for the complainant and one signed by the complainant for the company records.
If the complainant is not satisfied with the outcome of the review, alternative resolutions should be considered and discussed among site management and with the complainant before the case is escalated to the Second Order Mechanism. In subsequent discussions, the complainant should be alerted to the presence of a Second Order Mechanism.
Where resolutions have been approved and agreed upon by the complainant, the Grievance Officer must ensure that the administrative process for redressing the grievance is immediately initiated. The resolution details (action plan) and target timeframe for closure must be updated in the Complaint/Grievance Register.
Only when the agreed resolution is implemented, the case moves from a “resolved” status to a “closed” status.
The Grievance Officer must ask the complainant to sign the form in three places to:
• Acknowledge Receipt; • Acknowledge satisfaction with the outcome and if not, that they have been
notified of a second and third order mechanism with a limit of 30 days for activation; and
• Acknowledge that the complainant has been respectfully informed about the outcome of the reviews and has no objections.
In case complainants are reluctant to sign any forms, or in case no forms are used, the Grievance Officer verbally inquires about satisfaction on process and outcome (“e.g. if we were to improve the process, could we do anything else or are you ok with how we handled the process?”). This can be recorded on a voice recorder with the consent of all those present.
If a complainant “walks away” without signing the Grievance Review Outcome Form, the grievance can only be closed with agreement from the General Manager, GM Sustainability, Country Counsel and Chief CSR advisor after it is determined that everything reasonable has been done to resolve the case.
4 The Grievance Review Outcome Form must be reviewed and approved by the site Legal Counsel.
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In addition to the process outlined above, the Grievance Officer may use his/her discretion to bring grievances directly to the attention of the General Manager.
Any cases that remain ‘unresolved’ for more than 6 months need to be escalated to the Corporate CSR and Corporate Legal teams who shall give directions in terms of the appropriate treatment to progress or close the case.
9.0 HUMAN RIGHTS AND RELATED LEGAL VIOLATIONS As set forth in Acacia’s Human Rights Policy, Acacia has a zero tolerance for human rights violations and related misconduct.5 Every Acacia employee, affiliate, and third party contractor or supplier is required to report information they learn or hear concerning potential violations of human rights. As such:
• All grievances are required to be assessed against the human rights checklist provided in the Acacia Reporting and Escalation Procedure for Human Rights and Related Legal Violations to verify if a grievance needs to be escalated to the Acacia Office of General Counsel for an assessment. Where a site or office has a Human Rights Investigation group, this can be submitted to General Counsel through the Lead of the Human Rights Investigation group
• Any possible human rights and legal violations must be reported appropriately as set out in the Acacia Reporting and Escalation Procedure for Human Rights and Related Legal Violations.6
If the complaint is an allegation of a suspected violation of the Acacia Code of Business Conduct & Ethics or the Anti-Corruption & Anti-Bribery Policy then the suspected violation must be reported through the formal reporting channel or to local management as applicable, in accordance with the Acacia Code of Business Conduct and Ethics. Copies of all these policies are available through the Acacia intranet or legal counsel.
These investigations shall be managed by Head of Legal and Compliance or the Human Rights Investigation Group (HRI) (where there is one). Sites with an identified risk of multiple security related human rights must put in place a Human Rights Security Related Grievance SOP.
Complaints relating to the Code or Anti-Corruption & Anti-Bribery Policy shall be referenced as COC complaints and will be managed by the Head of Legal and Compliance.
The documentation supporting HRI or COC grievances will be kept in a confidential location and the ultimate report will reference the outcome and a link to the supporting materials.
5 For purposes of this Procedure, an alleged violation of human rights involves alleged transgressions by Acacia (or its contractors) of one or more rights to which all human beings are entitled, as defined and recognised by the International Bill of Human Rights (or by certain other international humanitarian or local legislation as may be applicable, such as certain provisions of Domestic Constitutions and Legal Codes, of Domestic Civil and Human Rights Codes, etc.)
6 This document also explains what constitutes a human right, a human rights violation. The Acacia Procedure for the Investigation of Human Rights Allegations sets out how human rights allegations are evaluated, investigated, brought to the attention of host-nation authorities, monitored, and reported on.
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Any HRI referrals that are not settled can be referred to Third Order if the complainant escalates to a legal or regulatory body.
10.0 HUMANITARIAN AID Humanitarian Aid requests may be received by the mine or offices in relation to various issues, including such matters as humanitarian disasters, accidents or illness.
10.1 Security Related or Accident Related Humanitarian Aid
For those that potentially have a nexus to the security or other operations of the mine, the appropriate mechanism would be as follows.
The request is forwarded to HR Team (if applicable) or MIG or the Investigation Team (as applicable) for review. This is not a full investigation to determine causation and liability but an initial review to determine the circumstances of the case and the consequences if aid is not provided.
Humanitarian Aid will be considered if:
• Injury is life threatening or materially life changing; and • There is a nexus with the mine or involvement of the mine.
Additional review will be given to situations in which the complainant is vulnerable due to age or mental capacity. The advice of Acacia’s medical staff should be obtained if possible and incorporated in the request.
Each case will be considered on its merits. A brief report will be forwarded by HRT/MIG/Investigation Lead to the General Manager and the General Counsel for a decision.
A letter should be requested, ideally in the handwriting of the requestor which explicitly states they are requesting humanitarian assistance and accepts that the provision of assistance by NMGML (Acacia) is not an admission of liability. This is without prejudice to any future claim or grievance that may be lodged. The financial capability and personal responsibilities in terms of dependents of the injured party would also need to be considered.
Supporting evidence (invoices/receipts etc) should be obtained and verified.
These requirements may be dispensed with by direction of the General Counsel in the event of immediately life threatening circumstances.
10.2 Exigent Circumstances Humanitarian Aid
From time to time, individuals or communities around Acacia’s operations may experience extraordinary or exigent circumstances that significantly impact on their
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health and well-being. These could include famines, floods, life threatening illnesses etc. In the case of these requests, the following process should be followed:
• Large scale humanitarian aid requests should be forwarded to Acacia’s VP Corporate Affairs for consideration by the Maendeleo Fund Committee.
• Individual aid requests should be forwarded to the site CR Lead for review and recommendation to the General Manager.
In either case, the details of the request and the outcome of the decision should be registered in Flexi-cadastre together with supporting documentation.
11.0 SECOND ORDER MECHANISM Intent
Second Order Mechanisms are for significant issues that cannot be resolved directly between the site and the complainant. The Second Order Mechanism involves a Grievance Committee that includes appropriate external representation.
A Second Order Mechanism must be employed when:
• Acacia and the complainant decide together that the procedures are not acceptable to one or more parties;
• There are disputes of fact or conflicts about data; or • The parties have been unable to reach a voluntary settlement; • The complainant feels that the First Order Resolution was
inadequate/unsatisfactory.
The Grievance Officer must make complainants aware of the opportunity to use a Second Order Mechanism.
In the event that a grievance is escalated from the First Order to the Second Order Mechanism, the General Manager must acknowledge that appropriate measures have been taken to resolve the grievance through the First Order Mechanism.
The appropriate third party governance structure for a Grievance Committee must be determined by the Site CR Section Leader, Sustainability Manager and General Manager at each site, in collaboration with the community, to ensure transparency and adequate independence. Where appropriate, the site can make use of existing mechanisms that provide recourse (e.g. government led initiatives).
The mandate of the Grievance Committee needs to be decided (facilitation, technical advice, mediation, arbitration) as well as funding structure and the protocol for activating the recourse mechanism (who can elevate a case and in which circumstances).
To demonstrate good faith, the site will, within reason, attempt to comply with the agreed outcome of the Second Order Mechanism.
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The Grievance Officer must provide a monthly report on the status of cases that go into the second order to the Site CR Section Leader, Site Legal Officer and/or Counsel and Sustainability Manager.
If a complainant in a First, Second Order or HRI process refers the subject matter of the complaint to a Court, Tribunal or other regulatory body, the First, Second Order or HRI process shall terminate and the matter will be considered a Third Order Grievance and dealt with in accordance with the Third Order Mechanism.
12.0 THIRD ORDER MECHANISM Intent
The Third Order Mechanism is for issues that are referred to official agencies or the statutory judicial processes. This is a legal determination that must be authorized by the Country Legal Counsel (if initiated by Acacia) to ensure appropriate documentation is in place in the event the Company needs to make an appeal or protest a court decision.
The complainant has the right of appeal to any recognised institution open to any citizen as stipulated by the laws of the host country if still not satisfied with the outcome and explanation of the review.
If not satisfied with a ruling in any case, Acacia has the right of appeal to any recognised institution in accordance with the laws of the country or as dictated by relevant investment agreements or other mechanisms.
In the event that a case is presented by the complainant’s legal counsel, or in case an unresolved grievance is forwarded to the Country Legal Counsel for further action, all past and future correspondence with regard to the case should be forwarded to the Country Legal Counsel for further action.
Upon request of the Country Legal Counsel, the Grievance Officer or someone with delegated authority will attend court whenever a legal issue is to be heard.
In the event the grievance is determined legitimate by any institution referenced in the Third Order Mechanism, the Country Counsel will provide feedback to the Grievance Officer on whether any further administrative actions under the Grievance Mechanism are required.
13.0 MONITORING AND RECORD KEEPING All grievances must be logged into the designated System as they are received, along with the relevant target resolution dates. Acacia’s FlexiCadastre system must be used to record and report on all activities completed in connection with any grievance or complaint, its investigation and final resolution of the complaint including all aspects of the Resolution Agreement. The FlexiCadastre System shall serve as the electronic repository of all record information compiled in the process.
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The Grievance Officer must update the Complaint/Grievance System on a weekly basis to indicate resolved (closed-out), unresolved cases, those pending on third parties or those that have been passed onto the local judicial system.
The Grievance Officer must forward a summary of the Grievance Register to the Site CR Section Leader on a weekly basis who in turn should report to the Sustainability Manager and General Manager on a weekly basis.
All records of grievance settlements must be archived as evidence of resolving the grievances.
On a monthly basis, the Grievance Officer must develop a report that:
• Includes the following information (at minimum):
a) Summary grievance trends; b) A status report on the timeliness and effectiveness of grievance
resolutions; and c) Gross financial disbursements relating to grievances released for the
period.
• Is provided to the following individuals and stakeholders:
a) For sites - Site CR Section Leader, Sustainability Manager, the General Manager, relevant Heads of Departments, Chief CSR Advisor,
b) For projects - The monthly Steering Committee and the Chief CSR Advisor, c) For Discovery – the Head of Discovery, Discovery CSR Advisor, Chief CSR
Advisor and the Country Manager, d) Where deemed appropriate by the Head of Legal, the relevant state
authorities also receive a copy, of all or part of the report, for information purposes.
On a quarterly basis, the Grievance Officer compiles a report detailing the effectiveness of the grievance mechanism. This report could include indicators such as average response time, the categories of grievances, satisfaction levels, and what the company has done in response to complaints. Samples of reports are set out in Appendix F.
On an annual basis each site compiles a report demonstrating the statistics for the year for the purposes of public reporting.
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14.0 APPENDICES
List of Supporting Tools – Appendices:
A. Example Table of Contents for Site Grievance Mechanism B. Grievance Notification Form Template C. Grievance Acknowledgement Form Template (carbon copy) D. Grievance Questionnaire Guideline E. Grievance Outcome Form Template F. Sample Grievance Report (Template) G. Time Line for Site Implementation H. Flow Chart I. Simplified Grievance Mechanism for Low-Risk Sites
J. Guidance for Remedies
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APPENDIX A Example Table of Contents for Site Grievance Mechanism (GM)
Below is a suggested format for a Site Grievance Mechanism Plan. The Plan for each site will been developed in accordance with the Community Grievance Management and Response Procedure and in compliance with the minimum requirements for Grievance Management of the CR Standard. Table 1- Example Contents for a Site Grievance Mechanism (GM)
Section Section Name Description Example
TITLE of Document
Title of your site grievance mechanism.
(Site Name) Grievance Mechanism
1 Introduction An introduction to the Site Grievance Mechanism.
2 Grievance Mechanism Statement
These are the principles that your site CR team will honour when implementing the site Grievance Mechanism.
Through the CR team, (Site Name) will attempt to anticipate possible impacts that may result in a grievance. Accordingly, community consultations will be conducted ahead of project activities.
(Site Name) will attempt to resolve any stakeholder grievances that are a direct result from project activities. (Site Name) will respond to grievances quickly and transparently.
(Site Name) will not attempt to receive or resolve any grievance that is outside of the project-affected area; the Complainant will be redirected to the appropriate local authorities.
(Site Name) will clearly state, as often as necessary, that stakeholders are
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Section Section Name Description Example
encouraged to share concerns freely with understanding that no retribution will be exacted for participation.
(Site Name) has zero-tolerance for Human Rights violations; any HR-related misconduct is referred outside of this Grievance Mechanism to appropriate authorities (as per GM Steps and flow chart).
3 Compensation Statement
If your site has rules for managing compensation, state it in this section.
All legitimate claims for compensation will be considered when a grievance has been formally registered with (Site Name) through the Grievance Mechanism.
For verifiable damage to personal property caused by project-related activities, (Site Name)’s first effort will be to effect prompt repair or replacement of the damaged property. If this is not possible, then (Site Name) will provide alternate, reasonable, in-kind compensation. Monetary compensation will be a last consideration.
(Site Name) will provide just and equitable compensation for any harm or damage caused by the project, employees, contractors or subcontractors performing project-related activities. This does not include compensation demands made through the legal/judicial system.
(Site Name) will always work closely with the Grievant(s) to resolve the grievance quickly and with minimum delay so that there is minimal impact to livelihood.
(Site Name) will not compensate for any damage that is deemed not to be
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Section Section Name Description Example
the result of a project activity.
4 Guidelines, Requirements and Standards
List the following corporate policies, international guidelines and industry standards influence the development of this GM.
Acacia Corporate Policies (Code of Ethics, CR Policy).
List any policies from JV or partnering corporations
International standards and Guidelines (i.e. IFC, ISO 26000, Equator Principles, Universal Declaration of Human Rights, etc.)
National Law (Local, UK and for partnering companies)
(Site Name)’s ESIA, SMP, RAP
5 Objectives of the Grievance Mechanism
Detail the Objectives for the (Site Name)’s Grievance Mechanism.
To respond to grievances that are only within the project-affected area and are directly related to the (Site Name) site or employee activities.
To inform and involve project management so that decisive action can be taken.
To serve as an early alert signal to project management of significant or recurring issues that might signal a systemic problem, and facilitate a resolution.
To proactively address community grievances, preventing escalation to legal action against the company.
To ensure that all grievances from stakeholders are dealt with appropriately, with corrective actions being implemented wherever possible, and the Complainant is informed of the outcome in a timely manner.
Where grievances cannot be satisfactorily resolved through this mechanism,
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Section Section Name Description Example
the grievance system would provide site management with an early warning of potential legal actions and/or negative publicity towards the company.
6 Implementation, Management and Governance
Briefly describe the resources (roles) that have been assigned to implement this GM. Identify the role of site management in authorizing this GM and commitments.
The Site Grievance Officer will take lead on managing and implementing the Grievance Mechanism, and report to the CR Manager.
A “back to back” for Site Grievance Officer/s will be appointed to account for rotation schedules.
A Grievance Status Report is provided to CR Section Leader weekly.
7 Rules of Engagement
Describe your site’s approach to engaging local communities and internal engagement.
(Site Name)’s approach to managing grievances is built upon its practice of community engagement within the project-affected areas. This means responsible and transparent communications.
(Site Name)’s approach to the Grievance Mechanism is for the process to be as culturally appropriate as possible, to ensure that community members are respected and feel comfortable expressing grievances or concerns.
(Site Name)’s approach to the Grievance Mechanism is for the process to be as gender sensitive as possible, to ensure that all community members are respected and feel comfortable expressing grievances or concerns.
The CR team proactively engages the appropriate departments and providing support when required.
CR will not presume to be the lead authority on all topics and can engage specialist advice from other functions, project partners, local institutions or
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Section Section Name Description Example
non-government organizations within their fields of authority, when required. It should be noted that if advice is sought from off-site advisors then the General Manager must be informed.
9 The Grievance Mechanism
Describe the various steps (from the flow chart) here. Be sure to clearly describe each step, such as registering a grievance, First and Second Order Mechanisms, resolving grievances, monitoring grievances until close-out, etc., and timeframes.
The process for escalation of grievances should also be described.
Step 1: Receive the Complaint/Grievance
Step 2: Log and Acknowledge the Complaint/Grievance
Step 3: Primary Review: Human Rights violation?
Step 4: Escalation as Necessary
Etc.
(Ensure that the flow chart for your site is reflected accurately in the description of this section of your grievance mechanism.)
10 Monitoring and Evaluation
One of the objectives of a grievance mechanism is to serve as an early alert signal of significant or recurring issues that might signal a systemic issue either within the mechanism, within the site or with stakeholders. Describe how your
(Site Name) should be able to determine trends that reveal, for example: • if the design and implementation of the grievance mechanism is
adequate to respond to the stakeholders needs effectively, • how communities prefer to submit grievances, • if any sub-stakeholder group(s) has a specific, recurring complaint, • the resolution rate, and if it is low then a change to the mechanism
should be considered. • Etc.
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Section Section Name Description Example
site will monitor for continuous improvement
11 Disclosure Describe how your site announces and communicates information about grievance mechanism, and content.
I.e. community meetings, brochures posted in public places (specify where), radio or newspaper.
12 Training If your site will be doing any internal training on the grievance mechanism, or any external training (i.e. if village representatives will be receiving grievances), describe those here.
Site CR team will conduct a brief in-house awareness session/presentation to site management primarily to:
• establish an awareness of this important tool; • inform them of who the Grievance Mechanism contacts are
CR will provide training sessions on the Grievance Mechanism and how to complete Grievance Forms would be provided to relevant community representatives in the project affected areas.
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APPENDIX B Complaint/Grievance Notification Form: Template
Complaint/Grievance Notification Form
Complaint/Grievance Short Title
Name of Complainant
Sex (Optional) Age (Optional)
Any alternative names
Contact Address
Phone Number
Town/Community Name
Any alternative contact
Date Received
Details of Complaint/Grievance
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Contact details for witness(es)
Received by
Reference No
Received Via
Location Received
Complainant’s Signature
Date
Name of Witness 1 Signature of Witness 1: Date:
Signature of Witness 1
Date
Name of Witness 2 Signature of Witness 2: Date:
Signature of Witness 2
Date
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APPENDIX C Grievance Questionnaire Guidelines
GRIEVANCE REPORT
Grievance Officer (Name)
Date Grievance Reported
Location Grievance Reported
Grievance
Who is lodging the grievance?
Contact details of complainant (e.g. Phone No.)
Who was affected?
Where did it happen?
When did it happen? (date & approximate time)
What happened?
Subject (Tick where relevant)
Assault
Fatality
Medical Complaint
Damage - Crops
Damage - House
Damage - Other Property
Land & Compensation
Dust
Flooding
Livestock Health or Mortality
Noise & Vibrations
Water - Polluted
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Water - Supply
Social - Employment
Social - Security
Other
Inform
Email MIG & Human Rights Grievance Manager
Email Land SL & Sustainability Manager
Email Environment SL & Sustainability Manager
Email OHS SL & Sustainability Manager
Email OE Manager
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APPENDIX D Grievance Acknowledgement Form: Template (Carbon Copy)
Grievance Acknowledgement Form
This slip is to acknowledge receipt of your grievance. Acacia commits to report back to you on the status of the grievance review within thirty (30)* days from the date of registering the grievance.
TO BE COMPLETED IN CARBON COPY
Name of Complainant:
Complainant’s Contact Address:
Town/Community:
Phone Number:
Reference No:
Location received:
Complainant’s Signature
Name of CR Staff:
CR Staff Signature:
Date:
Date of original registration of grievance (in case the grievance was registered at the Village/Local Office)
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APPENDIX E Grievance Review Outcome Form: Template
Grievance Review Outcome Form Grievance Reference Number:
Name of Complainant:
Complainant’s Contact Address:
Town/Community:
Phone Number:
Grievance Short Title:
Date Review Completed:
Comments of Review:
I acknowledge receipt of the outcome of this review.
Name of Complainant: Signature of
Complainant: Date:
I acknowledge that I have been respectfully informed about the outcome of the review and have no objections.
Name of Complainant: Signature of
Complainant: Date Date:
I acknowledge that I am satisfied with the outcome of the review.
Name of Complainant: Signature of
Complainant: Date Date:
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APPENDIX F Sample Grievance Reports: Template
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APPENDIX G Timeline for Site Implementation
Phase Objective Action
Phase I:
Finalize Grievance Procedure
Ensuring the procedure is practical and context specific
• Finalize the Procedure • Obtain input from the teams on practicality • Secure the location of a grievance office, computer
and other logistical back-up • Identify a Grievance Officer plus an assigned back-up
officer
Phase II:
Prepare for implementation
Creating internal and external ownership
Internally Explain the procedure to the Management team and to the various Functional Heads • Ensure buy-in for the procedure from the General
Manager/Project Manager • Discuss the procedure with a focus group of local
employees who can provide a community perspective Externally • Discuss the procedure with local authorities involved
in the procedure • Determine a weekly schedule for examination visits
Phase III:
Test the Procedure
Ensuring all systems are in place and are tested before the official dissemination
• Start using the procedure on new cases (and without giving the procedure public attention)
• Test with the Revolution Model • Ensure sufficient logistics and staff capacity (as well as
availability of local authorities) during the first month of the official grievance procedure
Phase IV:
Dissemination
Raising awareness
Internally • Staff from the various departments • Security providers • Contractors • Means: Bulletin Boards, Newsletters, presentation
during safety briefing etc. Externally • Public dissemination in the affected communities • The local government • Religious leaders • NGOs
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• Critics of the company
Phase V:
Formal start of procedure
Demonstrate effectiveness
• Milestone event; Opening of the Grievance Office (invite press etc.)
• First, focus on handling new incoming cases • Provide feedback to affected department • Analyse performance
Phase VI:
Consolidate and move to a focus on “old” cases
Bringing emotional closure to old cases through a respectful process that acknowledges people’s grief
• Only focus on those that are not already addressed through the courts
• Do not dismiss complaints that are too dated to identify “evidence;” seeing a respectful and serious process of review is often more important to the complainant than the outcome
Phase VII:
Training
Moving from grievance management to grievance prevention
• Internal dissemination and training (behaviour of staff) • Develop a module for induction of new staff • Address policies that systematically and repeatedly
cause grievances
Phase VIII:
Involve the community
Delegating responsibility to the community to handle their own issues
• Investigate options for a participatory, or community-based, handling of grievances. This effort only starts after the Acacia grievance procedure has been established and enjoys credibility
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APPENDIX H Flowchart
YES
YES NO
YES NO
YES
NO
NO
NO
YES
NO
YES
NO
NO
YES
YES
Deposit grievance or complaint
in Village Office
Deposit grievance or complaint
in CR Office
Acknowledgement
Acknowledgement
Primary Investigation
Data Entry
Immediate Outcome?
Referral to
Grievance Committee
Resolution within authority of
GC?
Referral to
Management Team
Agreement over outcome?
Update Database
Sign Outcome
Forms
Explain Recourse Mechanism
Referral to
Resolving Officer
Specific Dept Responsible?
Approval for Resolution?
Communicate feedback to Complainant
Seek Third Party Assistance
Feedback within 7 days?
Intervention of
General Manager
Feedback within 21 days?
Send Reminder
Send Reminder
Feedback within 14 days?
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APPENDIX I Simplified Grievance Mechanism for Low Risk Sites
Low risk sites (Discovery sites, projects and closed operations) can implement a simplified Grievance Mechanism that aligns with the process outlined in this Procedure, including all basic principles for each section and the effectiveness criteria, which must be approved by the General Manager Sustainability and Country Counsel.
The sites must be able to demonstrate that:
• All grievances and complaints received are tracked. • Grievances are resolved within a reasonable timeframe and feedback is provided to
the complainant. • Local stakeholders are made aware of the process for lodging grievances/complaints. • A summary of the site grievances are reported to site management and functional
departments regularly and Corporate CR as necessary.
This requires that Low Risk sites utilize a First, Second, or Third Order Mechanism as necessary, tailored to the site context. All requirements for escalating allegations of human rights violations and suspected violations of the Acacia Code of Business Conduct & Ethics or the Anti-Corruption & Anti-Bribery Policy must be met as stipulated in this Procedure.
Sample methods for receiving grievances:
• Telephone hotline • Email address • Community/site office
Grievance Officer:
The person nominated to fulfill the role of “Grievance Officer” may be a Community Relations, Lands, Communications or other designated individual who handles site CR issues, dependent on the site organizational structure.
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APPENDIX J Guidance for Remedies
Issue Process Suggested remedy
Property Damage – Land Initial Assessment by Acacia Land staff for preliminary assessment of damage and causation; if likely caused by mine, external valuation by qualified valuers.
Compensation paid based on Government Rates
Labour – Unfair Termination Review of process followed with employee and employer representative (HR); assessment by Company Legal in terms of whether process was followed
Payment of any legal entitlements not paid at the time of severance
Environmental – Water spillage
Initial assessment by Acacia Land and Environment staff; collection of samples in presence of complainant and independent witness (Village leaders etc); split samples and testing of samples; medical clinic assessment (if allegations of human health impacts) or veterinary assessment (if allegations of harm to livestock). Valuation of any impacted land or crops.
In the event of land/crop damage, land / crop compensation at Government assessed rates. In the event of any impacts to livestock, replacement of livestock. For any impacts on human health, medical treatment and compensation.
Security related injuries/fatalities
Investigation by HRT or MIG with recommendation to General Manager/General Counsel in relation to circumstances of event. If likely that the grievance will be accepted, an assessment is undertaken by the Grievance Remedies Co-ordinator or Grievance Officer of the overall circumstances of the complainant with a recommendation of a package provided to the GC/GM.
Package based on factors attached in Annexure K Package to reflect medical treatment expenses, training and development or small business start-up, provision for dependents (if applicable). Overall total based on Workers Compensation/Insurance schedules and rates of pay for similar livelihoods.
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Issue Process Suggested remedy
Damage to road GO to investigate and conclude on likely causes
Procure material and re-construct damaged section of road
Property Damage – Crops
Initial Assessment by Acacia Land staff for preliminary assessment of damage and causation; if likely caused by mine, external valuation of crop value by qualified valuers
Compensation paid based on Government Rates
Blasting Investigated by internal engineers; if uncertain/disputed findings, external engineers in conjunction with District Authorities to determine cause
Procure repairs to property; review and include additional monitoring points.
Air Pollution Investigated by Environment Department; samples taken in presence of complainant
Stop or mitigate emissions.
Resettlement Disputes Investigate RAP obligations; review property constructed and persons to whom it was handed to
Make any necessary adjustments in relation to meeting RAP obligations.
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APPENDIX K Security Remediation options
Among the remediation options may be: Rehabilitation such as:
a) Immediate medical attention b) Corrective medical treatment c) Prosthesis d) Physiotherapy e) Counseling
Training, such as:
a) Dangers of trespassing/alternative livelihoods education b) Basic or academic education c) Life skills training d) Rights awareness training e) Vocational training f) Internship g) Employment h) Educational materials for dependents i) Education for dependents
Livelihood security, such as:
a) Provision of food b) Provision of livestock c) Farming tools & equipment d) Micro business set up & equipment e) Dwelling/accommodation/construction materials
Financial, such as:
a) Compensation for pain and suffering b) Lost income/loss of earning potential c) Medical expenses incurred d) Micro business capital
Factors effecting remediation benefits In order to decide whether remediation is appropriate, and the type and nature of remediation, the grievance mechanism considers factor that may increase or decrease the level of remediation benefit such as: Incident-related increase factors:
a) Incident-related b) Incident occurred outside mine property, by mine personnel in the scope of their
duties c) Mine personnel involved d) Mine resources involved e) Injury not predictable consequence of the activity in question
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f) Risk of injury was not reasonably known to the claimant g) Claimant assisted mine investigation
Character/Credibility increase factors:
a) No history of trespassing before incident b) No criminal history c) No history of providing a false or misleading version of events d) No involvement in other crimes e) No evidence of trespassing since incident f) A minor
Nature of the harm increase factors:
a) Permanent physical injury b) Physical disability preventing gainful employment c) Dramatic social impact / broken family situation since incident d) Evidence of psychological damage e) Significant medical expenses personally incurred f) Multiple dependents
Incident-related factors decrease factors:
a) Committing a crime when injured b) Nature and degree of the crime (e.g., armed, violent):
• Was the complainant in possession of any offensive weapon? • Did the complainant produce the weapon and threaten any person. • Did the complainant attempt to use the weapon in any way. • Did the complainant use any violence whatsoever and/or did he resist arrest.
c) Injury related to the crime committed d) Risk of the injury known to the claimant e) Intoxicated at time of incident f) Result of police action following a mine request for law enforcement assistance g) Result of self-defense by officers h) No mine employees involved in incident i) Cultural or inter-tribal conflict
Character/Credibility issues decrease factors: a) History of trespassing before incident b) Criminal history c) History of providing a false or misleading version of events d) Involvement in other crimes
