System Guides

8.8.2 Incident Monitoring, Reporting, and Investigations

This section outlines the procedures that the organization must establish and maintain for incident monitoring, reporting, investigations, disciplinary actions, and remediation. These procedures are essential for addressing various types of incidents and ensuring transparency and accountability. Here's a detailed breakdown of the requirements:

1. Types of Incidents to be Addressed:

The organization's procedures should cover a wide range of incidents, including but not limited to:

• Incidents involving the use of force or weapons.
• Any casualties or physical injuries.
• Allegations of abuse.
• Loss of sensitive information or equipment.
• Substance abuse by personnel.
• Non-conformance with the principles of the Montreux Document and the ICoC.
• Violations of applicable laws and regulations.
1. Incident Reporting and Investigation Process:

The procedures should define a clear process for handling incidents, including the following steps:

a) Documentation of the Incident: All incidents must be thoroughly documented, including relevant details, evidence, and circumstances.

b) Notification of Appropriate Authorities: When necessary or required by law, the organization should notify the relevant authorities about the incident.

c) Investigation: A formal investigation process should be initiated to determine the facts, causes, and responsible parties involved in the incident.

d) Identification of Root Causes: The investigation should aim to identify the root causes of the incident to prevent similar occurrences in the future.

e) Corrective and Preventive Actions: Based on the investigation findings, the organization should take corrective actions to address immediate issues and implement preventive measures to avoid similar incidents in the future.

f) Compensation and Redress: If applicable, the organization should provide compensation and redress to the affected parties as part of the remediation process.

3. Awareness and Responsibilities:

The organization must ensure that all individuals working on its behalf are aware of their responsibilities and the mechanisms for monitoring and reporting non-conformances and incidents. This includes providing training and clear communication about reporting procedures.

4. Record Keeping:

Records of non-conformances and incidents must be maintained and retained for a minimum of seven years or as specified by legal or regulatory requirements. Proper record-keeping ensures accountability and transparency.

By establishing and following these incident management procedures, the organization demonstrates its commitment to addressing incidents promptly, fairly, and in compliance with legal and ethical standards. It also contributes to the organization's continuous improvement and risk mitigation efforts.

8.8.3 Internal and External Complaint and Grievance Procedures

This section emphasizes the importance of establishing clear procedures to address complaints and grievances received from both internal and external stakeholders, including clients and affected parties. These procedures are essential for promoting transparency, addressing concerns, and ensuring compliance with the International Standard and relevant laws. Here's a detailed breakdown of the requirements:

1. Establishment of Grievance Procedures:

The organization must establish and document procedures to effectively document and address grievances received from stakeholders. These procedures should include:

a) Receiving and Addressing Complaints and Grievances: Clear guidelines for how complaints and grievances should be reported, received, and addressed.

b) Hierarchical Resolution Process: Establishing hierarchical steps for the resolution process, ensuring that grievances are handled systematically and fairly.

c) Investigation of Grievances: Procedures for conducting impartial investigations of grievances, including:

1. Cooperation with Official External Investigation Mechanisms: Collaborating with official external investigation mechanisms, when necessary.
2. Prevention of Intimidation and Protection of Witnesses: Measures to prevent the intimidation of witnesses and ensure that evidence can be gathered without hindrance.
3. Protection of Whistleblowers: Safeguards to protect individuals who submit complaints or grievances in good faith from retaliation.

d) Identification of Root Causes: Determining the underlying causes of the grievances to address systemic issues.

e) Corrective and Preventive Actions: Implementing appropriate corrective and preventive actions, including disciplinary actions as necessary, to address any infractions.

f) Communication with Authorities: Procedures for communicating with appropriate authorities when necessary.

2. Effectiveness Criteria:

The organization should establish and document effectiveness criteria for the grievance procedures. These criteria serve as benchmarks for evaluating the success of the procedures in addressing grievances.

3. Communication and Awareness:

The procedures should be effectively communicated to internal and external stakeholders to facilitate the reporting of potential and actual non-conformances with the International Standard, as well as violations of international, national, and local laws or human rights. Awareness among stakeholders is crucial for the reporting and resolution of grievances.

4. Immediate Handling of Serious Allegations:

Grievances alleging criminal acts, violations of human rights, or imminent danger to individuals must be dealt with promptly by the organization and other appropriate authorities. Immediate action is required to address serious allegations and protect individuals' rights and safety.

By implementing these grievance procedures, the organization demonstrates its commitment to addressing stakeholder concerns, promoting accountability, and ensuring compliance with relevant standards and laws. It also helps build trust and transparency in the organization's operations.