PROTOCOL P-13 | Grievance Redress System

Institutional Referral Protocol

TRIGGER When a concern falls outside the developer's or LGU's scope of authority, mandate, or capacity to resolve.

STEPS

1. Confirm that the concern genuinely falls outside your mandate

   Before referring, make sure the referral is warranted. A concern is outside mandate when: (a) no actor in your GRM system has the authority to respond; (b) the concern requires regulatory action; (c) it involves inter-agency jurisdiction. Do not refer concerns as a way to avoid difficult conversations.

2. Identify the correct receiving institution

   Use the Governance Gap Mapper to confirm which institution has the mandate and capacity. Identify a named contact within that institution.

3. Notify the affected party before making the referral

   Tell them: (a) why you are referring, (b) which institution is being referred to, (c) what that institution can and cannot do, (d) how they can follow up directly, and (e) that you will follow up to confirm the referral was received.

4. Make the referral formally and in writing

   Send a written communication to the receiving institution: description of the concern, contact details for the affected party, what has been done so far, and what response is being sought. Copy the ComRel officer.

5. Follow up within 5 working days to confirm receipt

   Contact the receiving institution to confirm: the referral was received, it has been assigned to a responsible actor, and a response timeline has been set.

6. Communicate follow-up status back to the affected party

   Let them know: the referral has been received, who is responsible for it, and the expected timeline. Do not leave them to follow up independently.

7. Monitor the referral outcome

   Track the referred concern in the Grievance Register until it is resolved by the receiving institution. If the institution has not responded within its committed timeline, escalate internally and follow up again.

PURPOSE

To define the steps for formally referring a concern to another institution when the receiving institution lacks mandate or capacity to address it, ensuring that referrals are structured, documented, followed up, and do not result in communities being left without a response. A referral without follow-up is abandonment.

Roles and Responsibilities

Primary:

Actor: ComRel Officer / PCO
Responsibility: Identifies referral need, notifies the affected party, makes the formal referral, follows up, and monitors outcome.

Supporting:

Actor: Project Manager
Responsibility: Approves the referral decision and provides any project-level documentation the receiving institution may need.

Receiving:

Actor: External Institution (LGU, Agency)
Responsibility: Receives the referral, acknowledges receipt, assigns a responsible actor, sets a response timeline, and acts within their mandate.

Informed:

Actor: Affected Party
Responsibility: Receives the referral, acknowledges receipt, assigns a responsible actor, sets a response timeline, and acts within their mandate.

Field Notes and Adaptation Guidance

• Field Note — Referral is not the end of your responsibility

  When a concern is referred to another institution, the project's responsibility for the community member's experience does not end. The project should continue to follow up until the referral produces a response, not as interference, but as support. A community member who was helped to connect with the right institution feels supported. One who was referred and then abandoned feels dismissed.

• Field Note — Informal referrals do not count

  'You should talk to the LGU about that' is not a referral. It is a suggestion that may or may not be followed. A formal referral means: written communication to the receiving institution, named contact, follow-up confirmation of receipt, and ongoing monitoring. Anything less is an informal deflection that does not function as a referral in practice.

• Adaptation Guidance

  For concerns that fall into genuine governance gaps (where no institution has clear mandate), the referral should still be made, to the institution most closely related to the concern type, with a clear note that the concern reveals a governance gap and may require inter-agency coordination. Do not use a governance gap as a reason to make no referral.

Required Output / Documentation

• Written referral communication to receiving institution (filed in GRM record)

• Follow-up confirmation of receipt from receiving institution

• Affected party notified of referral and follow-up status

• Grievance Register entry updated with referral status and outcome