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README.md

AfDB

Independent Review Mechanism (IRM)

Compliance Review and Mediation Unit (CRMU) - BAD
BP 1387 Abidjan 01, Cote D'Ivoire, <br/ Immeuble du Centre de Commerce International D'Abidjan Avenue Jean Paul II | CCIA, 2nd Floor, 2A -
[email protected] copie à [email protected]
Tel: +225 20 26 20 56

REFERENCE

The Independent Review Mechanism (IRM) was established by the Boards of Directors of the African Development Bank Group (AfDB) in 2004. The Boards of Directors approved the IRM Operating Rules and Procedures in 2006 and their amendments in 2010. The IRM became operational in 2006 upon the appointment of the Director of the Compliance Review and Mediation Unit (CRMU) who administers the IRM. The IRM website is accessible at: www.afdb.org/irm

Mission and Structure

 Mandate: The IRM was established to provide people with the opportunity to lodge their complaints to the AfDB in case they suffer harm from any of the Bank financed projects and as a result of non compliance with the Bank‟s Groups policies and procedures.

 Functions: The IRM handles the complaints through problem solving and/or compliance review. The objective of the problem solving is to restore an effective dialogue between the complainants, the AfDB and other interested parties in the project to reach an agreeable solution to the problems complained about. The objective of the compliance review is to verify whether or not the complained about harm is inflicted due to non compliance with the AfDB‟s policies and procedures. The CRMU is also mandated to conduct outreach activities to raises awareness of the IRM‟s mandate and procedures among project affected people, governments, Civil Society Organizations and project promoters and the Bank staff.

 Structure: The IRM is administered by the Director of CRMU. The Director is appointed by the President of AfDB in concurrence with the Boards of Directors for a five years term renewable once. The Director reports administratively to the President and functionally to the Boards of Directors. The CRMU assesses and registers the received complaints. The Director facilitates the problem solving and monitors the implementation of the resulting agreed upon action plans. The Director also coordinates the CRMU outreach activities. The IRM Roster of Experts consists of three members appointed by the Boards for five-years term non renewable. The Experts together with the Director of CRMU conduct the eligibility review of the complaints, and form the panels that prepare and submit the compliance review reports to the Boards of Directors and/or the President. The experts also take part in monitoring the implementation of the recommendations of the compliance review reports, and provide technical support to CRMU when requested by the Director. The Director is assisted by both professional and administrative staff.

 Key Features: The IRM is independent from the Bank‟s management and operations. It reports to the highest decision making level at the AfDB. It handles complaints in a transparent way since it posts all its reports on its website. It is accessible as it permits the complainants to use any means at their disposal to submit their complaints. It is also mandated to monitor the implementation of its recommendations of its approved compliance review and problem-solving reports. Finally, the Boards of Directors oversee its performance and approves its triennial performance review.

Interactions and Contributions

 Interactions: The IRM primary beneficiaries are the project affected people. It interacts with them through complaint handling and outreach. At the complaint handling level, the CRMU and/or IRM experts as the case may be, conduct site visits and meet with the complainants to assess their grievances. It also interacts with other project interested parties such as the government, project promoters and civil society organizations to consolidate their views in preparation of the IRM reports . In the course of this process, the IRM compiles information and examines the management responses to the complained about issues and to the findings and recommendations of the compliance review reports. At the higher decision making level, the IRM may provide interim progress reports of its handling of complaints to the Boards of Directors and the President; and submits its final reports to them for consideration. An the outreach level, CRMU communicates with different project stakeholders including Bank‟s staff, civil society organizations, governments, project promoters and the media to raise their awareness of the IRM role and procedures. Finally, when its performance is under review, the IRM conducts wide consultations inside and outside the Bank to assess the effectiveness of its activities which may result in amendment of the IRM Operating rules and procedures

 Contributions: In conducting its operations, the IRM makes contribution in three ways:

  1. The IRM requests the Bank to undertake remedial actions to redress the aforesaid inflicted harm and ensures that by these actions, the affected people can instead receive their benefits from the Bank financed projects. In that way, the IRM contributes to the optimization of development results of Bank-financed operations 2. The IRM, either through its problem solving or compliance review reports, recommends the Bank to address any identified problematic systemic issues to enhance its institutional performance. By this action, the IRM contributes to enhance the effectiveness of operations of the Bank in its respective regional member countries.
  2. The IRM „s annual reports provides identifiable trends related to the activities of the Bank Group that have emerged during IRM‟s problem-solving exercises and compliance reviews, and lessons that IRM has learned about the challenges for the Bank in implementing its policies and procedures.

Mandate

The IRM’s mandate is to provide people adversely affected by a project financed by the African Development Bank (AfDB) with an independent mechanism through which they can request the AfDB to comply with its own policies and procedures. The IRM intervenes when people or communities affected submit a complaint. In this way, the IRM can be considered as a recourse instrument for project affected people who have previously been unable to resolve their problems with the AfDB’s Management. [1]](https://www.afdb.org/en/about-us/organisational-structure/independent-review-mechanism-irm/)

The mandate of the IRM (administered by Compliance Review and Mediation Unit (CRMU)) is to provide people adversely affected by a project financed by the African Development Bank Group (AfDB), with an independent mechanism through which they can request the AfDB to comply with its own policies and procedures. 2

The IRM intervenes when affected people or communities submit a complaint. In this way, the IRM can be considered as a recourse instrument for project affected people who have previously been unable to resolve their problems with the AfDB's Management. 2

Mandate of the IRM

Compliance Review

The Director of CRMU and the IRM Experts determine eligibility of requests for compliance review. After such determination, they must submit a Report to the Board of Directors or the President (depending on the status of the project approval) including recommendations to authorize or not a Compliance Review within 30 days. Read more

Compliance Review

The Director of CRMU and the IRM Experts determine eligibility of requests for compliance review. After such determination, they must submit a Report to the Board of Directors or the President (depending on the status of the project approval) including recommendations to authorize or not a Compliance Review within 30 days.

Once the Board of Directors or the President approves the review, the IRM Experts constitute the Compliance Review Panels to undertake the compliance review and receive the administrative and technical support from CRMU. Subject to the provisions of the Bank Group’s Disclosure and Access to Information Policy, the recommendation for a compliance review and the decision made by the President or the Board, as the case may be, is promptly communicated to the Requestors and any other interested person. A summary of the decision and the recommendation for a compliance review shall be published on the Bank Group’s website

The Compliance Review Panel conducts Compliance Review in accordance with the authorized Terms of Reference and time-frame. The Compliance Review Panel may:

  • Solicit additional oral or written information from, or hold meetings with the requestors and any interested party;
  • Undertake site visits to the project(s) in issue;
  • Retain additional expertise (consultants) to assist with an inquiry, assessment, review or exercise of specific issues.

After completing its investigations, the Compliance Review Panel shall within 30 days write the compliance review report containing the panel’s findings and recommendations and circulate it to the Bank Management for review and comments on factual matters only. The Bank Management shall submit its comments to CRMU/IRM within twenty-one (21) business days from the date of receipt of the draft report from CRMU/IRM; and upon receipt of comments from Bank Management, the panel shall finalise its report.

The panel submits the Compliance Report that has considered Management factual amendments, if any, to the Board of Directors or the President (depending on the status of the project approval) including its findings and recommendations for:

  • Any remedial change in the scope or implementation of the Bank financed project;
  • Any remedial change to systems or procedures of the Bank to avoid a recurrence of similar non-compliance which resulted in complaints about harm; and
  • Any further steps to be undertaken to monitor the implementation of the remedial action plans referred to above.

Subject to the provisions of the Bank Group’s Disclosure and Access to Information Policy, the Compliance Review Report shall be made available to the Requestors at the same time as it is submitted for consideration and decision by the Board of Directors. Thereafter, it is posted on the Bank Group’s website.

Upon receipt of the Compliance Review Report by the President or the Board of Directors, the AfDB Management prepares a response and an action plan based on the findings of the Compliance Review Report. They submit it to the President, the Board of Directors, CRMU and the Requestors within 90 days. Within 30 days from the date on which the Response and Action Plan are distributed to the Board of Directors, the AfDB Management consults with CRMU and agrees on a date for a joint presentation of the Compliance Review Report and Management’s Response and Action Plan to the Board.

Management must consult with CRMU not later than three (3) months from the date of consideration by the Board of Directors of the Management Action Plan. Management must also agree to prepare and submit to the Board progress report on the status of implementation of the recommendations contained in the compliance review report that have been approved by the Boards together with the Management Action Plan.. The IRM Panel and CRMU (the IRM monitoring team) will review these reports and provide, if necessary, an assessment of the progress achieved in the implementation of the Management Action Plan and submit a report to the Board for consideration. The IRM monitoring team will share its findings with Management and the Requestors for clarification of issues before submitting its report to the Board for consideration.

Subject to the provisions of the Bank Group’s Disclosure and Access to Information Policy, the decision made by the Board or the President, as the case may be, shall be promptly communicated to the Requestors and any interested party of such decision and the Compliance Review Report shall be published on the Bank Group’s website.

The Compliance Review Report may not recommend the award of compensation or any other benefits to the Requestors or any other person, entity or government beyond that which may be expressly contemplated in a relevant Bank Group policy.

Problem-Solving / Mediation

The objective of the problem-solving (mediation) exercise is to restore an effective dialogue between the requestors and any interested persons with a view to resolving the issue(s) underlying a request, without seeking to attribute blame or fault to any such party.
Read more

Advisory

The advisory function is authorized when the President and/or the Board are of the opinion that projects, programs, policies and procedures of the Bank Group can benefit from the accumulated experience of the IRM and support efforts of staff and Management to strengthen the social and environmental impact of the projects funded by the Bank Group. Read more

Outreach

The outreach activities of the CRMU aim to raise awareness of the IRM, and to equip communities affected by the Bank’s financed projects with the information to engage in constructive dialogue with the Bank and, if necessary, to access the IRM to handle their complaints.

Read more

More about what we do

Who are we?

The IRM provides people adversely affected by projects financed by the African Development Bank Group (AfDB) with an independent mechanism through which they can request the Bank Group to comply with its own policies and procedures.3

Who are we?

The IRM provides people adversely affected by projects financed by the African Development Bank Group (AfDB) with an independent mechanism through which they can request the Bank Group to comply with its own policies and procedures.

The IRM was established on 30 June 2004 by the Enabling Resolution B/BD/2004/9 - F/BD/2004/7 of the Boards of Directors of the AfDB and became operational in 2006, following the appointment of the first Director of the CRMU. This Resolution provided for the review of the experience of the IRM after three (3) years from the date of the effectiveness of the RIM, during when the IRM Director was appointed. Therefore, the performance of the IRM was assessed for the first time in 2009/2010, resulting in the adoption of a new IRM Resolution and Operating Rules and Procedures by the Boards of Directors on 16 June, 2010. This Resolution provided for review of the experience of the IRM every four years or otherwise as decided by the Board. Accordingly, the second review of the IRM took place in 2014/2015 and the current IRM Resolution and the Operating Rules and Procedures were approved by the Board of Directors on 28 January 2015.

The IRM is administered by the Compliance Review and Mediation Unit (CRMU). Investigations are carried out by the Panel of Experts who report to the Boards of Directors.

The Compliance Review and Mediation Unit is the organisational entity of the Bank that administers the IRM. It was established by a Resolution of the Board and headed by a Director. The Director is assisted by professional and support staff.

CRMU maintains the IRM Roster of Experts and provides administrative and technical support to them when they constitute themselves into a compliance review panel when undertaking compliance reviews.

The IRM Roster of Experts comprises three (3) individuals appointed by the Board on the recommendation of the President of the Bank Group. They are selected on the basis of their knowledge of, and exposure to development issues in Africa and the operations of multilateral development banks as well their experience, expertise, integrity and ability to act independently. They constitute themselves into the IRM Panel of Experts to conduct compliance review investigations. They enjoy total independence from Bank Management in their investigations.

The IRM handles requests through;

Compliance Review (investigation), and Problem-Solving (mediation). The IRM performs also an advisory function, consisting of advisory services and spot-check advisory reviews of project compliance.

The compliance review and spot-check advisory reviews of project compliance are undertaken by the IRM Panel of Experts.

CRMU undertakes the problem-solving exercises, advisory services and outreach activities to fulfill its mandate and to contribute to the AfDB's overall objectives.

Consultants

Consultants may be hired to assist CRMU and the Compliance Review Panels to assist with investigations and fact-finding missions. Consultants with experience in compliance review and problem-solving can send their applications to the CRMU, and register themselves in DACON- a database of Individual Consultants and Consulting Firms maintained by the African Development Bank Group.

What we do?

Problem Solving - Mediation Compliance Review - Investigation Advisory Service Outreach

What we do?

Problem Solving - Mediation

In a request for problem -solving, CRMU will restore an effective dialogue between the requestors and any interested persons with an aim to resolving underlying issues without seeking to attribute blame or fault to any such party.

Compliance Review - Investigation

The compliance review function is handled by the IRM Roster of Experts comprising three external professionals, appointed by the Board of Directors for a five-year non-renewable term. The Experts together with the Director of CRMU determine eligibility of request(s) for compliance review, and submit their eligibility report, recommending whether or not to undertake the compliance review, to the Board of Directors or to the President, as the case may be for project's status of approval.

Advisory Service

CRMU and the IRM do have an advisory function. This is authorized by the President and/or the Board when they are of the opinion that projects, programs, policies and procedures of the Bank Group can benefit from the accumulated experience of the IRM and support efforts of staff and Management to strengthen the social and environmental impact of the projects funded by the Bank Group. The advisory function enables CRMU to provide independent opinions on systemic issues, technical advice on any projects and programs of the Bank Group, and to support efforts of staff and Management to strengthen the social and environmental impact of projects funded by the Bank Group. The advisory function consists of Advisory services by CRMU and Spot-check advisory reviews of project compliance undertaken by IRM Experts.

Outreach

CRMU carries out outreach activities to raise awareness of Bank staff, civil society organizations, project affected communities and other stakeholders about the mandate and procedures of the IRM.

Consultants

Consultants may be hired to assist CRMU and the Compliance Review Panels with investigations and fact finding missions. Consultants with experience in compliance review and problem-solving can send their applications to the CRMU, and register themselves in DACON- of the African Development Bank Group.

Documents

KEY DOCUMENTS

USEFUL LINKS

  • Management of Complaints

    • How to file a complaint? * For recourse, CRMU receives requests presented by two or more persons (such as community of persons, an organisation, association, society or other grouping of individuals) and/or by a qualified representative of the affected persons who demonstrate that their rights or interests have been or are likely to be adversely affected by the non-compliance of the relevant Bank Group policies.1

How to file a complaint?

Are you or your community affected by an AfDB-financed project? Has an individual or community come to your organisation to seek assistance concerning social and/or environmental impacts of an AfDB financed project? Have you attempted to discuss the problems resulting from these impacts with the Bank?

For recourse, CRMU receives requests presented by two or more persons (such as community of persons, an organisation, association, society or other grouping of individuals) and/or by a qualified representative of the affected persons who demonstrate that their rights or interests have been or are likely to be adversely affected by the non-compliance of the relevant Bank Group policies.

Who can submit Requests for Compliance Review or Problem-Solving?

  • Any group of two or more people in the country or countries where the Bank Group-financed project is located who believe that as a result of the Bank Group’s violation, their rights or interests have been, or are likely to be, adversely affected in a direct and material way. They may be an organisation, association, society or other grouping of individuals;
  • A duly appointed local representative acting on explicit instructions as the agent of adversely affected people; In exceptional cases, a foreign representative (See “Operating Rules and Procedures of the IRM”) acting as an agent of adversely affected people. If so, CRMU should require clear evidence that there is inadequate or inappropriate representation in the country or countries where the project is located or has a direct and material impact, or
  • The Board of Directors of the Bank Group.

The requestor(s) and any other interested persons may ask that their identities be kept confidential, and if so, the reasons for such confidentiality. If the request contains a demand for confidentiality, the Director of CRMU shall respect such a request and shall agree to the terms of proceeding with the requestors and other interested persons. However, if in the opinion of the Director of CRMU, after consultation with the requestors, the compliance review process cannot proceed with the requested confidentiality being maintained, the requestors and other interested persons shall be notified accordingly and the Director will terminate the process.

What information shall be included in a Request for Compliance Review or Problem-Solving?

  • A reference to the project, stating all the relevant facts including the harm suffered by or threat to the affected parties;
  • How the parties have been or are likely to be materially and adversely affected by the Bank Group's act or omission, and what rights or interests of the parties were directly affected;
  • When requesting a compliance review, an explanation of how Bank Group policies, procedures or contractual documents were violated;
  • An indication if there has been any previous communication between the affected parties and the Bank Group concerning the issue (s) raised in the request;
  • In the case of requests relating to matters previously submitted to the CRMU, a statement specifying what new evidence or changed circumstances justify revisiting the issue; and

If some of the above information cannot be provided, an explanation should be included.

Documents to be attached to the Request

  • Relevant correspondence with Bank Group staff, if any;
  • A description of the location of the affected parties or area affected by the project; and
  • Any other evidence supporting the request.

If some of the information listed above cannot be provided, an explanation should be included in the request.

Request Format and Submission

  • No specific format is required;
  • The requests will be interpreted with flexibility;
  • Requestors can use the means at their disposal to submit complaints (If requests are made orally, CRMU will assist Requestors in submitting them in writing);
  • Requests must be submitted in writing, dated and signed by the Requestors and contain their names, contact addresses and an address to which correspondence shall be sent (if different from the Requestors’ address (es)). The Requestors and any other interested persons may, however, request that their identities be kept confidential, and if so, the reasons for such confidentiality;
  • Requests must be sent to the Director of the Compliance Review and Mediation Unit (CRMU), African Development Bank Group (AfDB) 01 P.O. Box 1387 Abidjan 01, Cote d’Ivoire
    2nd Floor, Room 2A, CCIA Building, Abidjan Plateau
    Avenue Jean-Paul II - Tel: +225 20 26 29 56 - Email: [email protected]), copy to [email protected]; [email protected], [email protected] or to any of the AfDB Group’s field offices in the respective country of the Requestors.

Limitations

CRMU is not authorized to register requests relating to:

  • Procurement complaints from bidders and suppliers;

  • Fraud and corruption since they are handled by another unit within the Bank Group (IACD);

  • Matters before the Administrative Tribunal of the Bank;

  • Matters before other judicial review or similar bodies;

  • Frivolous or malicious complaints;

  • Complaints motivated by an intention to gain competitive advantage;

  • Matters already considered by the IRM, except where there is material new evidence;

  • Actions that are the sole responsibility of other parties;

  • Adequacy or unsuitability of AfDB's policies and procedures; and

  • Alleged Human Rights violations, other than those involving social and economic rights alleging any action or omission on the part of * the Bank Group.

How we handle complaint?

Procedure upon Receiving a Request

Within fourteen (14) business days of receipt of the request, the Director shall conduct a preliminary review and decide whether to register or ask for additional information, in which case the decision period may be extended until the requested information and documents are received. The Director shall not register any request that is outside the mandate of the IRM. If the Director of CRMU determines that the Request contains a bona fide allegation of harm arising from an AfDB-financed operation, she/he shall register the request for Problem-Solving, or for a Compliance Review.

The Requestors’ preference for problem-solving exercise or compliance review or both shall be granted subject to the Request meeting the requirement for registration. Where the Requestors have not expressed a preference, the CRMU Director will determine the best course of action in consultation with the Requestors.

Request Registration

The Director of CRMU shall, while respecting the preference of Requestor, issue a Notice of the Registration of Request. A copy of this notice shall be posted in the IRM Register of Requests. A copy of this Notice shall be promptly posted on the IRM website and sent to the Requestors, the Boards of Directors and the President of the Bank.

The Director of CRMU will request AfDB Management to provide a written evidence that it has complied, or intends to comply with the AfDB’s relevant policies and procedures within 21 days after receipt of the Notice of Registration.

After receiving the Management response to the Request, the Director CRMU shall, within 5 business days, while respecting the preference of the Requestors, make a determination on whether the Request should be handled through:

  • a problem-solving exercise,
  • compliance review or,
  • both problem solving and compliance review. In the latter case, the sequencing will be problem solving followed by compliance review.

Once this determination is made, the Director shall promptly notify the Requestors, the Boards and the President of the proposed remedial course of action and the reasons thereof.

Eligibility - Compliance Review

a. Scope

  1. CRMU is authorized to accept requests for review (‘Request(s)’) from two or more persons with a common interest (‘Requestors’) who allege that an actual or threatened material adverse effect on the affected persons’ rights or interests arises directly from an act or omission of a member institution of the Bank Group as a result of the failure by the said institution to follow any of its own operational policies and procedures during the design, appraisal and/or implementation of a Bank Group-financed project.

b. Limitations

  1. CRMU is not authorized to receive Requests relating to:

(a) Any procurement by the Bank Group or its borrowers from suppliers of goods and services financed by or expected to be financed by the Bank Group under a loan or grant agreement, or from losing tenders for the supply of such goods and services which shall continue to be addressed under other existing procedures. These are handled by another unit within the Bank Group; (b) Fraud or corruption since they are handled by another unit within the Bank Group; (c) Matters before the Administrative Tribunal of the Bank; (d) Matters before other judicial review or similar bodies; (e) Frivolous, malicious, or anonymous complaints; (f) Complaints motivated by an intention to gain competitive advantage; (g) Matters over which the CRMU, a Panel, the President or the Boards has/have already made a recommendation or reached a decision after having received and reviewed a Request, unless justified by clear and compelling new evidence or circumstances not known at the time of the prior request; (h) Actions that are the sole responsibility of other parties, including the borrower or potential borrower, and which do not involve any action or omission on the part of the Bank Group; (i) The adequacy or unsuitability of Bank Group policies or procedures; and (j) Alleged Human Rights violations, other than those involving social and economic rights alleging any action or omission on the part of the Bank Group.

c. Statute of Limitation

  1. CRMU shall not handle complaints filed more than 24 months after the physical completion of the project concerned or more than 24 months after the final disbursement under the loan or grant agreement or the date of cancellation of the disbursement amount, whichever comes first.

Institutional Documents

Case Update

Reference Name of project
RQ2016/3 Guinea: Multinational – Road Development and Transport Facilitation Programme Within the Manu River Union (Guinea Section)
RQ2016/2 Senegal: Construction of a 125 MW coal Sendou power plant in the village of Bargny Minam
RQ2016/1 Mali: Diversification of the Activities of "Moulins Modernes du Mali (M3)" Project in Mali
RQ2015/3-Bis Kenya: Outer Ring Road Improvement Project, Nairobi
RQ2015/3 Kenya: The Nairobi River Rehabilitation and Restoration Program : Sewerage Improvement Project
RQ 2014/1 Uganda: Improvement of Health Services Delivery at Mulago Hospital and in the City of Kampala
RQ 2012/1 Tanzania: Tanzania Road Support Project II
RQ 2011/1 Senegal: Dakar-Diamniadio Highway Project
RQ 2010/2 South Africa: Medupi Power Project
RQ 2010/1 Morocco: Construction of the Marrakech – Agadir Motorway
RQ 2009/2 Egypt: Nuweiba Combined Cycle Power Project
RQ 2009/1b Ethiopia : Gibe III Hydropower Project
RQ 2009/1 Ethiopia: Gibe III Hydroelectric Power Project
RQ 2007/1 Uganda: Bujagali Hydropower Project and Bujagali Interconnection Project

Evaluation Reports Results 1 to 20 out of 562