G RIEVA N CE M E CHA NIS MS I N THE U NFCCC : A N E SSEN TIAL C O M PO NEN TO FAN I N TERNA TI ONAL S A FEGUA RD S YS TE M

TheUnitedNationsFrameworkConventiononClimateChange(UNFCCC),theKyotoProtocol andtheCancunAgreementsrecognizethatclimatechangeisnotonlyanenvironmentalbutalso ahumanrightsissueforthemillionsofpeoplearoundtheworldexperiencingthemostsevere impactsofclimatechange.Toensurethatactionstakentoaddressclimatechangedonot furthercontributetohumanharm,paragraph8oftheCancunAgreementsprovidesthat Partiesshould,inallclimatechangerelatedactions,fullyrespecthumanrights,whichinclude therightsofaffectedpeoplesandcommunitiestoparticipateindecisionmakingprocesses(full andeffectiveparticipation)andtoseekrecoursewhendecisionsnegativelyaffectthem(access tojusticeandaccesstoremedy). ByrecognizingPartiesexistinghumanrightsobligations,theConferenceoftheParties(COP) hasdeterminedthatPartiesmustavoidorminimizethehumanimpactsresultingfromresponse measurestomitigateoradapttoclimatechange.Tofulfilltheseobligations,humanrights considerationsshouldguidethedevelopment,implementationandmonitoringofUNFCCC processesandmechanisms.Thiscanbeaccomplishedbyimplementinganinternational safeguardsystemtopreventsocialandenvironmentalharmandtopromotepublic participation,transparency,accountabilityandequity. Asafeguardsystemcanonlyachievethesegoalsifitincludesarobustgrievancemechanism thatensuresthatthosewhomaybenegativelyimpactedbyclimaterelatedactivitiescanraise theirconcernsandhavethemaddressedinatimelymanner.Suchgrievancemechanismsare proventoolsinhelpinginstitutionsminimizeharmtocommunitiesandecosystemsby protectingexistingrights,obligationsandstandards.Byfacilitatingtransparencyand stakeholderparticipation,grievancemechanismsalsohelpensurethatpoliciesandprojectsare legitimateandeffective,andpromotesustainabledevelopment. Partieslongstandingcommitmenttofundamentalrightsandfreedoms,andtoensuringtheir respectandimplementationwithintheUNFCCCframework,requiresthedevelopmentand implementationofgrievancemechanisms.
DEFINITIONS INTERNATIONALSAFEGUARDSYSTEM:Asafeguardsystemconsistsofinstitutions,processes,andprocedures toimplement,monitor,andenforcesafeguards.Suchsystemsinclude:rules(suchaslaws,regulations, policiesand/orstandards)toguideactivities;enforcementmechanisms(includingmonitoringsystems) toensurethattherulesarefollowedandenforcedandtoassessifchangesareneededintheregulatory framework;grievanceanddisputesettlementprocessesthatprovideaccesstoredressandremedy;non compliancemeasurestorespondtoafailuretocomplywiththesafeguards;andinstitutionstooversee andimplementtheseelements. GRIEVANCEMECHANISM:Agrievancemechanismisaninstitutionaladministrativebodymandatedto addressclaimsbyoronbehalfofaffectedpeopleorcommunitiesconcernedthattherelevantrulesare beingviolated.

ISTHEREAMANDATETOESTABLISHGRIEVANCEMECHANISMSINTHEUNFCCC? Paragraph92oftheCancunAgreementsdescribestheneedtoconsiderinformationfrom thoseaffected,andevidenceofactualimpactsofresponsemeasures.Thisparagraphalso requiresPartiestoconsiderexistingchannels,suchasnationalcommunicationsandpossible submissionsofsupplementaryinformation,asameansforthoseaffectedtoprovidesuch information.TherearealsospecificmandatestodevelopgrievanceprocessesinsomeUNFCCC contexts(suchastheAdaptationFund);othersuchmandatesareundernegotiation(forthe GreenClimateFundandtheCleanDevelopmentMechanism,forexample). Tooperationalizetheseprovisions,thePartiesshouldestablishoneormoremechanismsto whichindividuals,peoplesorcommunitieswhoserightsmaybeimpactedbythe implementationofresponsemeasures(ortheirrepresentatives)cansubmitrelevant information.Themechanismshouldassesstheimpactsoftheresponsemeasuresonthe affectedpeoplesorcommunities,includingontheirenjoymentofhumanrights,andshould recommendmeasuresforpreventingorminimizingharmfuleffectsandforensuringthatthe responsemeasuresdonotinterferewiththeirenjoymentoftheirrights.Inaddition,the mechanismshouldbeavailabletoassistpolicymakersinsafeguardinghumanrightsandin implementingtherecommendedmeasures. EFFECTIVEPUBLICPARTICIPATIONI SESSENTIALTODESIGNINGAN EFFECTIVEGRIEVANCEMECHANISM Stakeholdersincludingpotentiallyaffected communities,indigenouspeoplesandcivilsociety groupsmustbeaffordedmeaningfulopportunitiesto provideinputintothedesignofthemechanism.Such participationwillhelptoensurethatthemechanismis legitimateandconsistentwiththeguidingprinciples describedhere. KEYCONSIDERATIONSINTHEOPERATIONALDESIGNOFA GRIEVANCEMECHANISM Thefollowingsectionoffersconsiderationsregarding thescope,functions,anddesignelementsofa grievancemechanismintheUNFCCC:
GUIDINGPRINCIPLES Anygrievancemechanisminthe UNFCCCshouldachievethefollowing goals: Effectiveness,inprovidingtimelyand meaningfulrecourse; Legitimacy,whichrequires independencefrompoliticalinfluence; Accessibility,particularlyfor complainants; Predictability,bywayofclearand knownproceduresandmonitoringof implementation; Equitability,byensuringaggrieved partiescanengageinaprocessonfair andequitableterms;

Scope:Giventhenatureofclimatechangeimpacts,a Transparencyofprocessandoutcome; UNFCCCspecificgrievancemechanismmusthavethe Rightscompatibilitytoensure capacitytoconsiderandaddresscomplaintsregarding consistencywithinternationally bothsubstantiveimpacts,suchasharmtoeconomic, recognizedhumanrightsstandards; socialorenvironmentalinterests,andproceduralones. Participation,atallrelevantstagesof Examplesoffunctioninggrievancemechanismsineach thedecisionmakingprocess. oftheseareascurrentlyexistintheOECDsystem, wheretheNationalContactPointcanaddress substantiveconcerns,andtheAarhusConvention,wheretheComplianceCommitteeaddresses proceduralissues. Function:Tobeeffective,agrievancemechanismmust,ataminimum,havetheauthorityto considercomplaintsandissuerecommendations.Itshouldbeabletomonitorandassess compliancewiththerelevantrules.Todothis,itshouldhavethecapacitytoengageinfact

finding.Itshouldalsohavethepowertoawardremediessuchasjustcompensation, remediationand/orinjunctiverelief.TheAarhusComplianceCommittee,theWorldBank InspectionPanel,andtheUNCommitteeagainstTortureareexamplesofgrievancemechanisms empoweredtoundertakefactfindingandtomonitorandassesscompliance.Other mechanisms,suchastheWorldBankInspectionPanelandOECDNationalContactPoint,assist withdisputeresolution.Beyondcorefunctionsoffactfinding,complianceassessment,and awardingremedies,grievancemechanismscouldincludeanappellatefunctionandoffer mediationoradjudicationservices. Design:Aneffectivelydesignedgrievancemechanismmustensureaccesstojusticeforaffected people,jurisdictionoveroffendingactors,acompetentbodytoreviewcomplaints,andameans ofenforcingthatbodysrecommendations. o Whocansubmitacomplaint:Tobeeffective,agrievancemechanismmustallow affectedpeople,aswellasNGOsorotherswithinformationconcerningpotentialthreats totheaffectedpeoplesrights,tosubmitcomplaints.Allindigenouspeoplesandlocal communities,regardlessoflanguage,culture,andtechnicalresources,mustbeableto usetheprocessofpreparing,submittingandreceivingcomplaintswithouttheassistance ofoutsideexperts.Somegrievancemechanisms,includingthoseestablishedunderthe humanrightstreatybodies,requireindividualsusingthemechanismtobewithinthe jurisdictionoftheStatepartyagainstwhomtheircomplaintisregistered.Becauseof thetransboundarynatureofclimatechangeeffectsandresponsemeasures,sucha restrictionwouldbeinappropriateinaUNFCCCgrievancemechanism,whichshould drawfromthemorerelevantexamplesofbodiesthatdonotincludesuchconstraints, suchastheAarhusComplianceCommitteeandtheOECDNationalContactPoint. o Whomustrespondtoacomplaint:Thosesubmittingacomplaintmustbeableto submititwithrespecttotheentitymostresponsibleforthepotentialharmandmost abletoprovidearemedy.Dependingontheissue,thiscouldincludeoneormoreof manydifferentactors,includinginternational,national,andlocalgovernmentagencies. o Characteristicsofthebodyaddressingthegrievance:Themechanismauthorizedto receivecomplaintsmustbeimpartial,independent,transparentandcredible.Tobe independent,thebudgetforthemechanismshouldbesufficient,reliable,andnot subjecttopoliticalmanipulation.Tobecredible,membersofthebodyshouldbehighly qualifiedandinternationallyrecognizedasprovidingqualityexpertiseinafairand efficientmanner.Theirexpertiseshouldemphasizetherights,rulesandstandardsthat thegrievancemechanismisintendedtoguarantee(forexample,itismoreimportant thatamemberofaREDDgrievancemechanismhavehumanrightsexpertisethanthat shebeanexpertinthetradingofforestrelatedcarboncredits).Tomaximize effectiveness,transparency,andlegitimacy,outcomesofthegrievanceprocess, includinginterimandfinaldecisionsonbothprocessandsubstance,shouldbemade publicimmediately(subjecttotheredactionofanylegitimatelyconfidential information).Theprocessshouldproceedaccordingtoatimelinethatbalancesthe realitiesoflocalcommunityparticipationwiththeneedforrapiddecisions.The mechanismshouldreportbacktothepersonsorcommunitymakingthecomplaint aboutwhathappenedtothecomplaint,astheWorldBankInspectionPaneldoes.The mechanismshouldalsohavethecapacitytomonitorhowfindingsareaddressedand recommendationsareimplemented.

o Potentialremedies:Tobeeffective,agrievancemechanismmustbeabletoissue appropriateremediesifitfindsaviolationofanobligationorbreachofduty.The degreeofharmorthepotentialforongoingviolationsmaydeterminetheappropriate actionforremedy.Ifspecificactioniswarrantedtoremedyasituation,themechanism shouldhaveasufficientbudgetandauthoritytomonitoroutcomes.Further,itis importanttoestablishaclearunderstandingofwhohasoversightandauthorityto providearemedy.Itisalsoimportanttoagreeonapplicablerulesanddispute resolutionprocessesbeforeharmoccurstoensurethatremedialactionissatisfactorily completed.Dependingonthecircumstances,potentialremediesmayinclude: declarationsandpublicdisclosure(findingsofviolation);injunctionsagainstinitiatingor continuingaprojectorotheractivitythatisormaybeinviolationofrelevantrules; compensation;sanctions;and/orrestitution.
EXAMPLEOFAGRIEVANCEMECHANISM:COMPLIANCEADVISOR/OMBUDSMAN AsthecomplaintmechanismforprojectssupportedbytheInternationalFinanceCorporation(IFC) andtheMultilateralInvestmentGuaranteeAgency(MIGA),theComplianceAdvisor/Ombudsman (CAO)oftheWorldBankGroupaddressescomplaintssubmittedbypeopleaffectedbythesocial andenvironmentalimpactsofIFCandMIGAprojects,whetherornotthereisanallegationofa violationofpoliciesorprocedures.Theofficefirstusesitsombudsmanfunctiontodetermine whetheracomplaintcanberesolvedcollaborativelyand,ifnot,mayuseitscompliancefunctionto assesswhethertheIFC(orMIGA)violateditsownpolicies,performancestandards,guidelines, proceduresandrequirements. TheCAOprocessforaddressingcomplaintsisasfollows: 1.TheOmbudsmanconductsanassessmentoftheissuesandconcernsraisedinthecomplaint. TheOmbudsmanidentifieskeystakeholderstobeconsulted,andconsiderstheirviewsand incentivestoreachresolutionanddeterminewhatprocessesmaybemostusefultothem.The assessmentcanincludereviewofIFC/MIGAfiles,meetingswithstakeholders,sitevisits,andpublic meetingsintheprojectarea.TheOmbudsmanofferssuggestionstotheprincipalpartiesonhow toproceed. 2.Basedontheassessment,theOmbudsmanworkswiththestakeholderstoagreeona collaborativeprocessforaddressingtheissuesraisedinthecomplaint.Collaborativeprocesses canincludevariousapproaches,includingfacilitationandinformationsharing,jointfactfinding, dialogueandnegotiation,andifagreedbyallparties,conciliationandmediation. 3.Ifthecollaborativephasedoesnotresultinprogress,thentheOmbudsmancanreferthe complainttotheCAOscompliancefunction.AnauditwillthenevaluatewhetherIFCorMIGA compliedwithitspolicies,performancestandards,guidelines,andprocedures. Formoreinformation,pleasecontact:

AlyssaJohl,CenterforInternationalEnvironmentalLaw,ajohl@ciel.org MartinWagner,Earthjustice,mwagner@earthjustice.org DanielaRey,ClientEarth,drey@clientearth.org