Central Complaints Office

The aim of the Complaint Mechanism is to protect and promote the rights of affected individuals and communities and to facilitate access to remedy in case of non-compliance with the Standards and/or Project-related Harm. It provides a transparent and accessible platform for submitting Complaints related to environmental, social and human rights issues, thereby supporting the implementation of the Standards. (2) The Complaint Mechanism conducts the complaints process in accordance with the provisions of this Policy and strives for a timely resolution with the Complainants and other parties involved. At the same time, the receipt and handling of Complaints is intended to strengthen KfW Development Bank’s accountability to affected individuals and communities and to facilitate continuous improvement in the Projects. Furthermore, the mechanism fosters dialogue between the parties involved to collaboratively find mutually acceptable solutions and enhance trust in the Projects. (3) The following types of procedures are available: a) Prior Resolution: The handling of the Complaint is delegated to the Operational Unit for a limited period of time. The procedure provides the opportunity to seek prompt resolution on issues raised in the Complaint (see section 7.1 Prior Resolution); b) Dispute Resolution: The aim of this procedure is to resolve the conflict underlying a Complaint through a consensual process involving all relevant parties. KfW Development Bank and the Central Complaints Office play a supportive role in ensuring fair process by giving equal consideration to all parties involved. KfW Development Bank may also provide logistical support (see section 7.2 Dispute Resolution); c) Compliance Review: This procedure examines whether KfW Development Bank has adhered to the Standards applicable to a Project to which the Complaint relates, whether Harm has occurred or is reasonably likely to occur, and whether Harm is linked to the Project, and, if applicable, it provides recommendations for Remedial Actions. (see section 7.3 Compliance Review). (4) In addition, the Central Complaints Office fulfils the following functions: a) Advising and promoting institutional learning: Based on assessments of Complaints, the Central Complaints Office makes recommendations for adjustment to applicable Standards of KfW Development Bank (see sections 8.1 Advising and promoting institutional learning and 8.2 Strengthening environmental, social and human rights standards); 7 b) Outreach: The Central Complaints Office promotes active dialogue and cooperation with relevant stakeholders to reflect their perspectives and concerns in the complaints process and to promote a culture of constructive dialogue (see section 8.3 Outreach). (5) The Central Complaints Office will keep Complainants, Partners and other involved parties, relevant stakeholders and relevant Operational Units and management informed throughout the processing of Complaints. (6) The Central Complaints Office has unrestricted and direct access to all relevant staff at KfW and to all Project documents held by KfW Development Bank in connection with its function of processing Complaints. The relevant Operational Unit of KfW Development Bank and any consultant engaged by the Operational Unit are required to cooperate fully with the Central Complaints Office. The Operational Units will support the Central Complaints Office in all aspects of collaboration with the Partner to enable processing of a Complaint as laid out in this Policy. (7) In addition, the Central Complaints Office can, at its own discretion, use the following methods in determining facts related to a Complaint: a) Review available information and documents; b) Contact Complainants, other affected parties, the Partner, government officials and other authorities in the country where the Project is located, as well as representatives of local and international non-governmental organizations; c) Conduct site visits regarding the Project; d) Request written or oral statements on specific topics from Complainants, other affected parties, Partners, independent experts, government officials or other public representatives, KfW Development Bank employees, or local or international non-governmental organizations; and e) Engage independent experts to assist in conducting the Complaint processes as laid out in section VII. Complaints procedure or to investigate specific issues in connection with a Complaint. Contracts are awarded in accordance with the public procurement regulations of KfW Development Bank. (8) In carrying out its mandate, the Central Complaints Office is expected to exercise non-biased judgment when interpreting the Standards and their application to the Project for which the Complaint was submitted. (9) The filing of a Complaint does not automatically result in suspension of the processing of a Project or disbursements of the financing of the Project. However, if, at any time during the processing of a Complaint, the Central Complaints Office finds that continued support of the Project by KfW Development Bank would result in further significant Harm, the Central Complaints Office may issue a recommendation for mitigation measures to KfW Development Bank. (10) The Complaint Mechanism is not a legal enforcement mechanism, i.e. the Policy does not confer to the Complainants the rights of access to courts. Any analyses, conclusions or reports prepared as part of the Complaint processes, are not intended to be used in judicial or administrative proceedings or for the purpose of assigning legal liability.