This stage consists of the registration (admission for processing) or non-registration of the complaint.
- Once a request is received, MICI acknowledges receipt within a day or two and contacts the complainants directly. Within a maximum of five business days, MICI reviews whether the complaint meets all the formal requirements and is not subject to any of the exclusions (more details in the “Guide to filing a complaint”).
- If any information is missing, MICI will grant the requesters 10 business days to complete their submission.
- If the complaint includes all the required information and is within MICI’s scope of action, the request is registered, and the eligibility stage begins.
- If the complaint is not registered, its management is concluded.
This stage assesses in detail whether the complaint is admissible for a MICI process. The MICI team analyzes the issues presented in the request in more detail and checks whether it meets the eligibility criteria.
- Management response: MICI asks for a response from the project team (referred to as “Management” in the policy document) so it can offer its perspective on the allegations.
- Determination of eligibility: MICI can conduct a field visit to examine potential harm firsthand and meet with complainants, the project team, and executing agencies, as well as other stakeholders. MICI determines whether the complaint is eligible and issues a public document describing its analysis.
- If the complaint is eligible, the Consultation Phase or Compliance Review Phase process will be initiated, depending on what the complainants have requested.
- If the complaint is not eligible, the process will be closed.
The objective is to resolve the issues raised by the complainants through a satisfactory agreement between the parties: the complainants, the project team, and those responsible for implementing the project (the executing agency or borrower/client).
This phase has three substages:
- Assessment: MICI meets with all the parties and discusses the feasibility of conducting a voluntary and flexible dispute resolution process. At this stage, a “tailor-made” process is co-designed to specify the issues to be resolved, the format of the working sessions, etc.
- Consultation: This is the actual dispute resolution process, conducted under terms agreed upon by the parties in advance and facilitated by MICI.
- Monitoring: If an agreement is reached, MICI monitors compliance for a maximum of five years.
- If no agreement is reached and the complainants have requested both phases, the case is transferred to the Compliance Review Phase.
- If the agreement is satisfactorily implemented, or the complainants only requested the Consultation Phase, the case is closed.
The purpose of this phase is to impartially and objectively investigate allegations of harm and potential noncompliance with the environmental and social policies and standards of the IDB Group. The investigation may recommend measures to bring the project back to compliance.
This phase has three substages:
- Recommendation: MICI examines, with input from the parties, whether the conditions for an investigation are present and, if so, prepares terms of reference to define the issues to be investigated and the expertise required. The recommendation to investigate must be approved by the Board.
- Investigation: MICI conducts a factual investigation, supported by external experts on the specific issues of the case, to determine whether the IDB Group has complied with its operational policies. The investigation includes findings and recommendations to provide a technical and factual basis for the Board to decide on corrective measures for the project and preventive measures for future projects.
- Monitoring: If the Board of Directors so decides, Management must present an action plan to implement the measures recommended in the investigation. The Board may also instruct MICI to monitor its implementation for a maximum period of five years.