DRAFT GUIDANCE NOTE UNDP S DISPUTE RESOLUTION PROCESS FOR COUNTRY-LEVEL PROGRAMMES AND OPERATIONS JANUARY 2014

Transcription

1 DRAFT GUIDANCE NOTE UNDP S DISPUTE RESOLUTION PROCESS FOR COUNTRY-LEVEL PROGRAMMES AND OPERATIONS JANUARY 2014 I. Purpose of the Dispute Resolution Process... 1 II. Purpose of this Guidance... 2 III. Overview of the Dispute Resolution Process... 3 IV. Establishing the DRP in a Country Office... 6 V. Dispute Resolution Procedures... 8 VI. Tracking, Monitoring and Documenting Requests, Responses and Results VII. DRP Advising and Reporting to UNDP and Its Stakeholders VIII. Public Outreach and Training by DRP ANNEX: Terms of Reference for UNDP DRP Country Office Designee (COD)... 18

2 DRAFT GUIDANCE NOTE UNDP S DISPUTE RESOLUTION PROCESS FOR COUNTRY-LEVEL PROGRAMMES AND OPERATIONS I. PURPOSE OF THE DISPUTE RESOLUTION PROCESS UNDP is establishing a dispute resolution process (DRP) to enhance its approach to resolving grievances and disputes that arise in the context of UNDP-supported development activities at the country level. The ultimate purpose of the DRP is to improve environmental and social outcomes for local communities and other stakeholders affected by UNDP-supported programs and projects. The DRP is part of UNDP s overall approach to strengthening its accountability and its development impact by creating a corporate Accountability Mechanism. The Accountability Mechanism will include both the DRP and a Social and Environmental Compliance Unit (SECU) 1. Grievance and dispute resolution 2 processes and mechanisms are increasingly common in international development institutions, both at the project or program level and at the corporate level. 3 Dispute resolution processes are rapidly becoming a regular, integrated part of program and project management; the costs of establishing or strengthening dispute resolution process are increasingly considered an integral part of program and project budgets. UNDP s DRP aims to facilitate the voluntary participation of various stakeholders in non-adversarial processes to resolve grievances and disputes that arise from UNDP-supported activities. UNDP s DRP is intended to: Supplement existing national mechanisms and processes for program and project dispute resolution; Enhance UNDP s development effectiveness by providing a forum for resolving grievances and disputes arising from UNDP-supported activities; 1 For more details on the Accountability Mechanism, see: Proposal for Environmental and Social Compliance Review and Dispute Resolution Processes. 2 In the field of conflict resolution, a grievance is generally understood to be the perception of a party (individual, group or organization) that it has been unjustly treated or harmed, or faces risk of unjust treatment or harm by another party. A complaint is the explicit communication of a grievance to the party that the aggrieved party believes to be responsible, and/or to others. A dispute is a disagreement between two or more parties about an issue or situation. In the context of grievances and complaints, disputes can arise from disagreements among parties about the existence of, or potential for, harm or injustice; the cause, nature and extent of actual or potential harm or injustice; actions to be taken to eliminate or reduce current or potential harm or injustice; and/or the actions to be taken to compensate for harms or injustices caused. 3 The UN-REDD Programme and FCPF, for example, require dispute resolution processes at the programmatic level. Project level grievance mechanisms are also required in most projects financed by the International Finance Corporation (IFC). The public sector side of the World Bank has recently increased its focus on dispute resolution at the corporate level to support the growing number of project-level dispute resolution processes that now exist in the World Bank portfolio. The IFC, the InterAmerican Development Bank, the African Development Bank, the Asian Development Bank, the European Bank for Reconstruction and Development, and the US Overseas Private Investment Corporation all have dispute resolution mechanisms at the corporate level to address project-related grievances. For UNDP projects screened as Category 3 using the ESSP, the guidelines recommend the establishment of a project level grievance mechanism. Beyond this, UNDP has an increasing corporate-level interest in ensuring that effective dispute resolution processes are available in projects and programs supported by UNDP. 1

3 Provide access to processes that empower and protect the rights and interests of affected people, including indigenous peoples, and afford them an opportunity to be heard in UNDP-supported activities; Promote results-based management and quality programs, through feedback and learning from the DRP; Provide recommendations for systemic or institution-wide improvements based on lessons learned in specific cases; and Respond to the expectations of UNDP s stakeholders, including governments, civil society, indigenous peoples, and international partner agencies, by reflecting best practice among development institutions. It is important to note that some stakeholders with grievances about UNDP s own actions or activities may choose to use UNDP s Social and Environmental Compliance Unit (SECU), based in the independent Office of Audit and Investigations (OAI), in Headquarters. Through the SECU, stakeholders can request UNDP to determine whether its staff have followed UNDP s environmental and social policies and procedures appropriately, and if not, to take action to bring UNDP back into compliance. The core distinction between the DRP and the SECU is that the DRP seeks voluntary, active stakeholder participation in resolving the grievance or dispute in a non-adversarial way; the SECU provides an opportunity for concerned stakeholders to trigger an independent review by SECU/OAI of UNDP actions in a particular case. SECU undertakes that review and submits a report of findings and recommendations to the UNDP Administrator for action. This report is shared publicly. II. PURPOSE OF THIS GUIDANCE Most grievances and disputes arising from UNDP-supported development activities at the country level should be addressed by national implementing partners without direct UNDP involvement. UNDP has an interest in ensuring that partners grievance and dispute resolution mechanisms are fair, effective, and accessible. During program and project design, it may become clear that a) there is a significant risk of grievances and disputes, and b) partners do not have effective grievance/dispute resolution capacity or procedures to manage this risk. In these cases, UNDP and partners will need to build capacity and procedures tailored to the project or program context. Such a project- or program-specific dispute resolution mechanisms can also lay the groundwork for development of ongoing, organization- or sector-level mechanisms. Over time, UNDP should seek to build national capacity and minimize the use of its own staff and procedures for grievance and dispute resolution. UNDP has produced guidance on how to support national partners in strengthening their grievance and dispute resolution capacity. 4 This guidance outlines the roles and responsibilities of UNDP Country Offices and the Dispute Resolution Support Unit (DRSU), based in Headquarters in implementing UNDP s Dispute Resolution Process. The UNDP DRP should be used in the context of UNDP-supported programs and projects when National partners own processes and mechanisms have not succeeded in resolving a grievance or dispute; and one or more stakeholders request UNDP assistance through the DRP; 4 See UNDP-WB Guidance Note for REDD+ Countries: Establishing and Strengthening Grievance Resolution Mechanisms. 2

4 Or UNDP s own actions or activities are the direct focus of the grievance or dispute, and one or more stakeholders request use of the DRP. 5 This guidance note outlines how UNDP Country Offices, with oversight and support from the DRSU, should: receive and track grievances and disputes from people or communities affected by UNDP operations; respond in order to resolve those grievances and disputes through a variety of appropriate methods; and document, report, and learn from grievance and dispute resolution efforts. The primary audience for this guidance is the UNDP Country Office Designee (COD) for the DRP. The guidance is also an important reference for the DRSU. III. OVERVIEW OF THE DISPUTE RESOLUTION PROCESS The diagram below outlines the primary elements and relationships in the dispute resolution process. 5 In its pilot phase, the DRP will focus on grievances and disputes focused on the social and environmental impacts of UNDP s country-level work. UNDP will make decisions about the scope of the issues to be addressed by the DRP based on the results of the pilot phase. Potentially affected stakeholders concerned specifically about UNDP s compliance with its own social and environmental policies have the option to request compliance review from UNDP s Social and Environmental Compliance Unit (SECU). 3

5 A. The Country Office Designee: Roles and Responsibilities As noted above, the Country Office has primary responsibility for ensuring that effective dispute resolution processes are available for UNDP-supported projects and programs. Resident Representatives (RRs) are responsible for overseeing the establishment and operation of the DRP in their Country Offices. The RR will designate a staff person in the Country Office (the Country Office Designee, COD) to be responsible for developing and operating the DRP in the Country Office. It is important to restate that the DRP is intended to be a secondary recourse for stakeholders in UNDPsupported projects and programs. For this reason, the first responsibility of the COD is to identify and assess UNDP national partners program- or project-level dispute resolution mechanisms during program and project design. As part of the assessment, the COD, in consultation with the relevant UNDP program/project manager(s) (if different from the COD) should confirm with national counterparts how requests and complaints will be handled, including the preference for using national mechanisms first, and the option to use UNDP s DRP where necessary. The assessment may lead to changes in program or project design to strengthen existing national dispute resolution capacity; to development of project/program-specific capacity; and/or to use of UNDP s dispute resolution process as an interim mechanism while national capacity is developed. While the primary focus remains on strengthening national partners grievance and dispute resolution capacity and processes, the COD is also responsible for setting up and operating the UNDP DRP at country level. Steps in establishing the DRP are outlined below, as are steps for receiving and responding to grievances and disputes. The COD receives support and guidance from the DRSU. The DRSU and the relevant UNDP Regional Bureau Director s office are informed through a shared database of all complaints received by the COD at country level. Because country-level stakeholders have the option to file grievances and disputes directly with the DRSU, the DRSU also informs the COD of any grievances it receives that are related to his/her CO s operations; the DRSU also informs the relevant Regional Bureau Director. The COD keeps the DRSU and the relevant Regional Bureau Director informed of progress on all grievances/disputes received, using the DRP tracking system. For more complex disputes where the COD requests support; or for disputes where the complainant or the DRSU has concerns about the ability of the CO to respond impartially and effectively, the DRSU may take a proactive role in advising and overseeing the CO response, and in ensuring that appropriate resources are committed to respond to the grievance or dispute. The COD and the DRSU may also request advice or support from the UNDP Country Director, the Resident Representative, and/or the relevant Regional Bureau Director. The COD collaborates with the DRSU to document cases, actions taken, results, and lessons learned. Periodically, the COD and colleagues in other Country Offices participate in evaluation and lesson-learning exercises initiated by the DRSU. CODs also have the option for dialogue and engagement with their counterparts in other COs, to seek advice and examples that may be helpful in establishing and implementing the DRP at country level, and/or in resolving specific disputes. Regional Bureaux Directors may also participate in reflection on and documentation of lessons learned. 4

6 B. The Dispute Resolution Support Unit Although UNDP will address requests for dispute resolution primarily at the country level, UNDP has a corporate-level interest in ensuring that these dispute resolution processes are responsive, treat claimants fairly, operate effectively, and generate useful lessons that can be used to improve UNDP s country-level operations. To meet these goals while maintaining a decentralized approach, UNDP is establishing a DRSU to support the CODs country level work on dispute resolution, to provide a corporate window for receiving requests for dispute resolution, to promote good dispute resolution practice, and to capture and communicate DRP lessons across UNDP. The DRSU will have several functions: Oversight and support for resolving disputes at country level Maintain a global DRP database to be used by CODs to register requests for grievance/dispute resolution and the steps taken to resolve them; Support country level dispute resolution processes through oversight and advice, and by maintaining a database of effective dispute resolution professionals; Provide a corporate window for receiving requests for dispute resolution, and conduct the dispute resolution process when it cannot be done impartially and/or effectively at the country level; Liaise with the SECU/OAI, to receive complaints referred from the compliance process, refer compliance issues identified in the dispute resolution process, and coordinate response to requesters that may be eligible for both dispute resolution and compliance review. Capacity Building for Country Offices Help to build CODs dispute resolution capacity by offering trainings, guidance on best practice in dispute resolution, community of practice support for CODs, and lessons learned from addressing grievances in other UNDP offices. Advising UNDP at corporate level on dispute resolution lessons and implications Compile and analyze case experience, using the DRP database, to report on the nature and frequency of requests/complaints and how effectively they are being addressed; identify systemic trends regarding environmental and social conflicts with communities; and build a knowledge base for refining and strengthening UNDP s role in stakeholder-oriented dispute resolution. Provide informal advice, written advisory notes and annual reports to the UNDP Administrator regarding lessons learned from Country Office and corporate experience responding to requests for dispute resolution. Public outreach and reporting Conduct public outreach to inform global stakeholders about UNDP s dispute resolution process and procedures, and support Country Offices in performing parallel outreach at country level; Track and report annually on UNDP s efforts to address requests for dispute resolution across the various countries and regions. 5

7 IV. ESTABLISHING THE DRP IN A COUNTRY OFFICE Following is guidance for the COD on key steps and recommended timeframes for establishing the DRP in a Country Office. CODs may modify these steps and timeframes to fit the context, needs and capacities of particular COs, in consultation and with concurrence from the DRSU. Month 1 1. RR assigns a CO Designee (COD) Initially, consider Deputy Director or Assistant Country Director/Program, preferably with knowledge of UN-REDD/FCPF and the GEF for pilot phase General qualifications [see annexed TOR]: o P4 or higher o management responsibility for country programmes, projects and/or operations that may have community-level impacts o highly effective communications, problem solving and interpersonal skills 2. COD completes on-line/ftf orientation/training on UNDP CO Dispute Resolution Mechanism 3. COD communicates dispute resolution procedure to all CO program/operations staff for information, questions and comment 4. COD establishes CO procedure (using template to be provided by DRSU) for a. Receipt of grievance (via , phone, fax, letter, meeting) b. Logging into Dispute Resolution database c. Acknowledging receipt d. Screening for eligibility e. Deciding initial proposed response (in consultation with relevant CO program/operations staff, and with HQ DRSU and SECU): f. Communication of proposed response to Requestor, and direct engagement with Requestor to clarify or revise UNDP proposed response as appropriate g. COD support to CO implementation of response h. Tracking and documenting UNDP implementation of proposed response i. Closing out dispute with indication of full, partial or no resolution, lessons learned and any additional action to be taken Month 2 5. COD conducts screening of current and planned programs, projects and operations to identify those with higher risk of grievance/dispute, in consultation with Deputy Country Directors for Programme and Operations. NOTE: Initially, screening will focus only on UNDP projects and programmes undertaken under the auspices of FCPF/UN-REDD and GEF. During the pilot process, UNDP will develop a screening tool. At the end of the pilot process, DRP will roll out the tool for all programmes. 6

8 6. COD and programme/operations managers review existing national grievance/dispute resolution mechanisms for higher risk programmes/projects 7. COD and programme/operations managers determine whether/what steps UNDP should take to engage with national counterparts in higher risk projects/programs to strengthen their grievance systems, and to clarify that UNDP will be providing a grievance option for program/project stakeholders for complaints directly involving UNDP Month 3 8. COD develops and implements outreach and education plan for UNDP national stakeholders, priority to those involved in higher risk programs/projects General information on UNDP CO Web site (using template what, why, who, when, how language to be provided by DRSU), with link to DRSU Web site for detailed information on the DRP Communication to program/project stakeholders through appropriate program/operations staff and channels (e.g. newsletters, written postings in project areas, announcements at workshops, etc.). For projects and programs screened as having significant grievance/dispute risk, the COD and the relevant programme/operations managers will develop and implement targeted outreach, including face-to-face meetings, with representatives of key stakeholder groups. Those meetings should ensure widespread awareness among relevant stakeholders of the existence of the DRP, how it be useful for them, and how they can use it when they have a grievance or dispute. 9. COD establishes reporting to RR/SMT, Regional Bureau Director, and DRSU 10. CO DRM launches 7

9 V. DISPUTE RESOLUTION PROCEDURES The DRP, both COD and DRSU, will use the procedures diagrammed and described below in receiving and responding to requests for dispute resolution. In most cases, the COD will take the lead in receiving and responding to requests for dispute/grievance resolution. However, there are several situations noted below in which the DRSU may take the lead, or the DRP (DRSU and COD jointly) may decide to refer a request to another mechanism. In cases of disagreement between the COD and the DRSU about their respective roles in a particular case, the DRSU is the final decision maker. However, the COD may request review of the DRSU decision by the relevant Regional Director. Whether the COD or DRSU takes the lead, the basic steps in the process remain the same: Receive request for dispute resolution; Register it into the global DRP database, and share with the SECU Acknowledge receipt to the requestor Review the request s eligibility If eligible, assess the request/complaint to identify opportunities for dispute resolution; Propose a response to the Requestor, or explain ineligibility and refer to other mechanism(s) if appropriate 8

10 Seek agreement on the response with the requestor and other stakeholders Implement the agreed response Review the response and close the case if successful; revise the response if needed; or close/refer out the case if unsuccessful Document main outcomes and key lessons in the DRP database, and make them public in appropriate summary form Following is more detailed guidance on each procedural step. 1. Receiving and registering requests for dispute/grievance resolution Receipt of a Request: The affected party files a request either to the DRSU or the COD. Requests received by the DRSU will be shared immediately with the relevant COD, and requests received by the COD will be shared immediately with the DRSU, using the DRP Database. What should be in a request: Requests should at a minimum include the following information: (1) Name of, and contact information for, the requestors, and a statement on confidentiality, indicating whether or not the requestors want to keep their names and identities confidential during the initial assessment; (2) Name and description of the UNDP-supported project or activity; (3) Adverse effects or impacts caused by the UNDP-supported project or activity; (4) A description of other efforts, including other dispute resolution processes, the requesters have tried to resolve their concerns; and (5) In case the requestor(s) are being represented, name of, and contact information for, the representative of the requestor(s) and a written statement from the requestor(s), authorizing the representatives to act on the requestor(s) behalf. The DRSU will provide an on-line form for providing this information. CODs should make this form available by creating a link from the UNDP CO Web site to the DRSU Web site, where the form will be made available globally. The COD should also provide paper copies on request. CODs should ensure that these forms are available in communities where there are substantial risks of adverse impact from UNDPsupported programmes and projects. Registration of the Request; sharing among COD, DRSU and Regional Bureau Director; forwarding to SECU: Within [two] business days from receipt of the request, the receiving office (either the DRSU or the COD, whichever received the request) registers the request and sends an acknowledgement to the requester, and copies to the Project/Programme sponsor and relevant Regional Bureau Director (protecting confidentiality of the requestor if asked). The Social and Environmental Compliance Unit (SECU) within OAI will automatically be notified when a request is registered in the DRSU database. SECU will review the request for any issues that might trigger compliance review, and advise the DRSU if so. 2. Acknowledge, Assess and Assign 9

11 Acknowledging receipt: If the request is complete enough to enable eligibility assessment, the receiving office should provide written acknowledgement within [three] business days that it has received the request, and indicate that it will complete eligibility review and initial assessment within [fifteen] business days after acknowledgement. If the request is incomplete, the receiving office should return it to the requestor within [three] business days of receipt, with a clearly specified request to provide the missing information. Assessing Eligibility of the Request: Within [five] business days after the request has been received, the COD in consultation with DRSU should determine the eligibility of the request. Who is eligible to file a request: Any person or group of persons potentially affected by a UNDP-supported project or programme is eligible to file a request for dispute resolution. To be eligible for UNDP s dispute resolution process, the request must: a. relate to a project, programme or other activity supported by UNDP; b. identify how the Requestors have been or may be adversely affected by the UNDPsupported activity (or indicate and document that the individual or organization filing the request is acting on behalf of people who believe the are or have been adversely affected); c. indicate whether any steps have already been taken to try to resolve the grievance or dispute, including use of project, programme, local and/or national dispute resolution mechanisms. d. indicate an interest in working with other stakeholders to resolve the grievance or dispute (however, requestors may ask for their identities to remain confidential during the assessment process). Exclusions: The following requests are excluded from UNDP s dispute resolution process: a. any request that is filed fraudulently or for malicious purposes; b. requests relating to projects or programmes that are not supported by UNDP or where UNDP s support has ended and its role can no longer reasonably be linked to the concerns raised in the request; c. requests by people or groups who have already raised the same issue with respect to the same project, unless significant new information is available or there has been a significant change in circumstances; d. requests that have not first been brought in good faith to an available project, programme, local or national dispute resolution process that UNDP believes is credible and effective; e. anonymous requests. Representation in filing Requests: Requests may be submitted by an authorized representative, on behalf of a person or group of people who believe they have been or may be adversely affected by a UNDP-supported project, programme or other activity. Assigning Responsibility for Response: As noted above, the COD has the default responsibility for leading the UNDP response to an eligible request. However, there are situations in which it may be appropriate for a national grievance mechanism, the DRSU and/or the SECU to respond to an eligible request: 10

12 1. There is a relevant and credible national grievance mechanism that could be used to respond to the request, and the requestor has not yet sought assistance from that mechanism. In this case, the UNDP DRP should refer the requestor to the relevant national mechanism for response, and should monitor and follow up on that referral to ensure that the request is being addressed. 2. The request has been made to the DRSU, and the requestor has indicated it has significant concern about the impartiality and/or capacity of the CO/COD to respond to the request. In this case, the DRSU should consult the CO/COD, preserving requestor confidentiality, and make a determination on what role, if any, the COD should play in the response. To help in that determination, the DRSU may contact the requestor and discuss the situation and the requestor s concerns about the CO/COD in order to clarify whether and how they could be addressed. 3. The SECU review of the Request determines that there is a need for compliance review. When SECU advises the DRP of the need for such a review, it is the responsibility of the receiving office (COD or DRSU) to communicate to the requestor any planned action by the SECU to review compliance issues, and to discuss with the requestor the possibility of conducting compliance review before, after, in parallel with, or instead of dispute resolution. From this point forward, and only for the sake of brevity in the text, the Guidance document uses the term DRP to mean both the typical situations where the COD leads the response, and the less typical situations where the DRSU leads. 3. Develop a response in consultation with CO staff, managers and other UNDP stakeholders After determining eligibility, and making an initial assignment of organizational responsibility, the DRP needs to determine what response to make to the requestor. The DRP has four basic response options: Indicate that the request is ineligible, and explain why Refer the requestor to a relevant and credible national grievance mechanism (as noted above), and explain why Propose direct action by the CO to resolve the grievance/dispute Propose further assessment and engagement with the requestor and other stakeholders to determine jointly the best way to resolve the grievance/dispute. To choose between the latter two options, the DRP needs to determine whether the request can be addressed directly, and the grievance or dispute resolved, through relatively straightforward action by the CO; or whether the request is complex enough that it requires additional assessment and engagement with the requestor, the CO and other stakeholders to determine how best to respond. Many grievances can be resolved through direct and relatively straightforward action on the part of UNDP program or operations staff and partners: e.g. investigating alleged damage caused by a vehicle; changing the time and location of a consultation; making public information more accessible in a community, etc. In developing response options, the DRP should consult directly with the CO staff whose programs, projects, or operational activities are the focus of the request. Preserving requestor confidentiality where appropriate, the DRP should discuss the issues raised in the request, and discuss in detail with the relevant CO staff their views on how best to respond. The lead DRP staff will need to maintain clarity about their role in this dialogue with CO staff: the goal is to learn more about the situation that gave rise to the request, and solicit CO perspectives and ideas on how best to respond. It would not be appropriate for the 11

13 DRP either to adopt a stance of alliance with CO staff to defend UNDP against the requestor, or to adopt a stance of advocate on behalf of the requestor, demanding a particular CO response without a thorough and impartial review of the issues and options. In some cases, CO staff (including managers) may become anxious and/or defensive in response to requests that pertain to their work. It is important for the DRP to stress in dialogue with CO counterparts that the value of the DRP mechanism is to resolve requestor concerns using a collaborative, nonadversarial approach. Even if CO staff believe that there is no factual basis for the grievance, the DRP will need to make its own initial assessment of the facts. With the exception of requestor concerns or grievances that the DRP determines to be entirely without basis in fact, it is the responsibility of both the DRP and the CO to engage in a good faith effort to resolve the requestor s concerns, beginning with a joint effort to clarify the facts. 6 In complex grievances and disputes involving multiple external stakeholders and issues, the DRP will need to explore the issues and response options not only with CO staff, but also with the requestor(s), key external stakeholders (such as government and/or civil society program partners, and other government counterparts), and possibly with members of the requestor s community or constituency. This exploration may require a structured process of joint fact-finding, dialogue and/or negotiation. In these cases, the DRP should propose a stakeholder assessment and engagement process as the initial response to the request (see steps 4 and 5 below). Regardless of whether the COD or DRSU is leading on the response, the COD and DRSU should consult with each other before finalizing the proposed response. Where compliance issues may be involved, the DRP should also consult with the SECU, to develop a joint proposal for addressing both grievance/dispute issues and compliance issues, with clarity about the respective roles of DRP and SECU. 4. Communicate proposed response to requestor and seek agreement The DRP should communicate the proposed response back to the requestor within [15 business days] of acknowledging the request. 7 The proposed response should also be logged into the DRP database. It should be in writing, in language that is easily accessible to the requestor. The COD may also contact the requestor by telephone, or set up a meeting to review and discuss the proposed response. Whatever method is used, it is essential that the requestor(s) fully understand both the proposed response, and what choices they can make after considering the proposed response. The proposed response should include a clear restatement of the requestors concerns by the DRP; 6 In cases where the COD is leading the response, and there is a serious disagreement between the COD and relevant CO staff/managers on the factual basis of the request, or on how to respond, the COD should seek assistance from the DRSU in resolving the disagreement. Whether the COD or the DRSU is leading, the DRSU can escalate the discussion to the Regional Director if necessary to resolve disagreement on what response to propose. 7 In the case of grievances alleging serious harm or risk of harm, and/or serious rights violations (death, serious injury, risk of violence, major loss of livelihood or housing, denial of basic political or civil rights), the DRP should fast-track the response, by direct action in consultation with the RR, CD and relevant UNDP program staff, and/or by immediate referral to a national government office or organization and immediate notification of the requestor of that referral. 12

14 a detailed description of the proposed response, with an explanation of why the DRP is proposing it; and a listing of the requestor s choices, given the proposed response. (Those choices may include, among others: agreement to proceed; request for a review of an eligibility decision, a referral decision, or a plan for compliance review; further dialogue on a proposed action; or participation in a proposed assessment and engagement process.) The requestor may or may not agree with the proposed response. If there is agreement, then the DRP and CO can proceed with the proposed response, whether direct action, further assessment, or referral. If the requestor challenges a finding of ineligibility, rejects a proposed direct action, or does not want to participate in a more extensive process of stakeholder assessment and engagement, the DRP needs to ensure that it fully understands the reasons why the requestor does not accept the proposed response. If possible, the DRP should revise the proposed approach to meet the requestor s concerns. Revision may require further consultation with the CO and/or other stakeholders. If there is still not agreement, the DRP needs to make sure the requestor understands what other recourse may be available, whether through the judicial system or other administrative channels. The DRP also needs to document the outcome of the discussions with the requestor in a way that makes clear what options were offered and why the requestor chose not to pursue them. For sensitive and challenging cases, where the DRP as a whole (i.e. COD and DRSU) have limited credibility and/or capacity to manage the response, the DRP may seek agreement from the requestor and other stakeholders to use independent assessment, mediation and/or arbitration in response to the request. If independent mediation or arbitration is used, it may be appropriate to set up joint oversight of the process by senior representatives of key stakeholders (e.g. the requestor(s), government, international partners, communities, NGOs, and/or businesses involved), to ensure the mediator s/arbitrator s impartiality and to provide strategic oversight of the process. Paying for independent consultants and other process costs in these complex cases may require significant financial resources, ranging from thousands to tens of thousands of dollars. These costs should be built into the program project. 5. Implement the response to resolve the grievance When there is agreement between a requestor and the DRP to move forward with the proposed action, or a relatively simple direct dialogue or negotiation process, then the response should be implemented, with DRP monitoring to ensure that the response resolves the issues raised by the requestor. In the cases where the initial response to the request is to initiate broader stakeholder assessment and engagement, the assessment process may be conducted by DRP staff themselves, or by consultants or others perceived as impartial and effective by the requestor, DRP, senior CO management, and other relevant stakeholders. The main purpose of the assessment and engagement process is to clarify: The issues and events that have led to the request The stakeholders involved in those issues and events The stakeholders views, interests and concerns on the relevant issues Whether key stakeholders are willing and able to engage in a joint, collaborative process (which may include joint fact finding, dialogue and/or negotiation) to resolve the issues 13

15 How the stakeholders will be represented, and what their decision making authority will be What work plan and time frame the stakeholders could use to work through the issues What resources they will need, and who will contribute them In some cases, the stakeholder assessment will produce clarity and agreement among the relevant stakeholders on a collaborative process to resolve the issues raised in the request. In others, the assessment may determine that one or more key stakeholders are unable or unwilling to participate. Whether or not a collaborative process appears viable, the DRP needs to communicate the assessment findings to the requestor and other stakeholders, and document them in the DRP database, with a recommendation on whether and how to proceed. If a collaborative process is possible, then the DRP will normally be responsible for managing it (in some cases, the DRP may delegate process management responsibility to the CO, a national institution, or an independent consultant). The DRP may directly facilitate the stakeholders work on the issues, create a consultant contract with a facilitator, or use traditional and local consultation and dispute resolution procedures and leaders/facilitators. Where joint fact-finding is needed (for example, in a dispute about whether UNDP did or did not follow through on financial or technical assistance commitments to a civil society group), it may be necessary to have the stakeholders jointly select an impartial expert to review correspondence, financial transactions and program/project records to clarify what did or did not take place. If the collaborative process produces agreement on actions to resolve the request, then the DRP is responsible for documenting agreements reached, and will normally be responsible for overseeing implementation of those agreements and actions. In a multi-stakeholder context, both the CO and other actors (the requestor(s), government, civil society and/or private sector stakeholders) may be involved in the solution. It is important for the DRP and the stakeholders to monitor implementation jointly. Where implementation of agreements reached is a multi-step process, and there is some implementation risk, the DRP should seek commitments from all stakeholders to come back to the table when needed to deal with challenges during implementation. 6. Review the response if unsuccessful As noted above, in some cases it may not be possible to reach agreement with the requestor on the DRP s proposed response. In a multi-stakeholder dispute, an assessment process may lead to the conclusion that a collaborative process is not feasible. If a collaborative process is used, good faith efforts may still not succeed in resolving key issues. In any of these situations, the DRP should review the process and the outstanding issues with the requestor, the relevant CO staff/managers, and any other relevant stakeholders, to see whether any modification of the response might meet all of their interests and concerns (see step 4 above). If no modification to the response is mutually acceptable, the DRP should inform the requestor about alternatives that may be available, including the use of judicial or other administrative mechanisms for recourse. Whatever alternative the requestor chooses, is important for DRP staff to document their discussion with the requestor and the requestor s informed choice among alternatives in the DRP database. 14

16 7. Close out or refer the request The final step is to close out the grievance. If the response has been successful, the DRP should document the satisfactory resolution. In cases where there have been major risks, impacts and/or negative publicity, it may be appropriate to include written documentation from the requestor indicating satisfaction with the response. In others, it will be sufficient for the DRP to note the action taken and that the response was satisfactory to the requestor and the organization/program. In more complex and unusual grievance situations, it may be useful to document key lessons learned as well. If the grievance has not been resolved, DRP should document steps taken, communication with the requestor (and other stakeholders if there has been substantial effort to initiate or complete a multistakeholder process), and the decisions made by DRP, the CO and the requestor about referral or recourse to other alternatives, including legal alternatives. In general, DRP documentation on particular cases should maintain confidentiality about details, while making public aggregate statistics on the number and type of complaints received, actions taken and outcomes reached. It may be appropriate in some cases to make basic information about the identity of requestors publicly available, with the consent of the requestor. 8 VI. TRACKING, MONITORING AND DOCUMENTING REQUESTS, RESPONSES AND RESULTS A. Tracking Requests and Responses Accurate case tracking and documentation using the DRP database is essential for organizational accountability, organizational learning, and resource planning. Therefore, tracking and documenting cases is both a formal way to account for the response to a particular request, and a critically important way to ensure that key information and lessons are captured. Documenting the key process steps, and the results (positive, negative or mixed) of efforts to resolve requests using the DRP, is especially critical. To facilitate this documentation, the DRSU will create a template for case close-out and documentation and integrate it into the DRP database for use by CODs and DRSU staff. The DRSU will maintain a centralized registry on its web page that reports the status of all requests and provides copies of the requests, assessment reports and any non-confidential agreements or summaries of agreements reached through the dispute resolution process. Where the COD has taken the lead in the dispute resolution process, the COD will have responsibility to report to the DRSU the information needed for maintaining the registry, using the global database administered by the DRSU. B. Monitoring and Documenting Responses and Results The DRP will include with any agreement an agreed plan for monitoring the implementation of the agreement made as the result of the dispute resolution process. Monitoring may be as simple as a telephone call with the requestor and a discussion with the relevant CO staff to confirm that a relatively straightforward response has been fully implemented. On the other hand, effective monitoring may require ongoing meetings of a multi-stakeholder group that has reached agreement, (e.g. to review 8 The CO and/or other stakeholders may wish to document and publicize the resolution of the request. It is important for the DRP to confirm with all relevant stakeholders that they are comfortable with publicizing the process and its results before any stakeholder does so. 15

17 implementation of a set of commitments for consultation with indigenous people, or a implementation of a new approach to developing an voter registry). The DRP will issue a monitoring report at least annually until such time as the agreement has been fully implemented. All monitoring plans and reports will be made available to the requestors and the public on the DRP Web site maintained by the DRSU. VII. DRP ADVISING AND REPORTING TO UNDP AND ITS STAKEHOLDERS A. Advisory Notes The DRSU may provide written Advisory Notes to the UNDP Administrator regarding systemic, institution-wide, or policy issues that it believes need to be addressed, based on lessons learned from responding to specific requests. The UNDP Administrator may also request an Advisory Note from the DRSU on appropriate issues. Advisory Notes will be made available to the public on the DRP Web site. For complex issues, the DRSU may first decide to release a draft Advisory Note and solicit comments from the public and other stakeholders. B. Annual Reports The DRSU will report at least annually to the UNDP Administrator on the functions, operations and results of the dispute resolution process. Such annual reports will also be made available to the public and to other stakeholders. VIII. PUBLIC OUTREACH AND TRAINING BY DRP The DRSU and CODs will conduct outreach to potentially affected persons explaining UNDP s dispute resolution process. Information materials about the dispute resolution process will be distributed as widely as possible, especially to project- or programme-affected people. The COD will be responsible for ensuring that all UNDP project and program managers in the Country Office, and national program and project partners, are aware of UNDP s DRP, capacity, and requirements. As noted above, the DRSU will also establish a website for reporting on its activities. At a minimum, the following information will be publicly disclosed on the website: Basic information about the dispute resolution process and contact information for the DRSU and the CODs; Instructions for how to file a request for dispute resolution; Detailed operating procedures for the DRP; A registry of requests, including basic information about the request and its status; And for each request received: For requests determined ineligible, a brief explanation of why; Assessment reports if produced, including proposed steps for dispute resolution; Any substantial and non-confidential reports developed during the dispute resolution process; For processes lasting more than one month, periodic updates reporting on the status and progress of the dispute resolution process; A summary of any final agreement reached by the parties, excepting confidential elements that UNDP and other stakeholders have agreed not to disclose; 16

18 A final report, summarizing the request, actions taken, primary non-confidential terms of agreement, and any recommended future actions by UNDP, including plans for monitoring implementation of the agreement; Advisory notes prepared by the DRSU; and Annual reports describing the DRSU activities. The DRSU will also develop and implement training for CODs on how to conduct outreach regarding the dispute resolution processes, how to inform potential requestors about the procedure for submitting requests, and how to implement or manage dispute resolution processes. 17

19 ANNEX: TERMS OF REFERENCE FOR UNDP DRP COUNTRY OFFICE DESIGNEE (COD) 1. Responsibilities of the COD Reports to the UNDP Country Director, with operational guidance and oversight from the UNDP DRSU. Establishes and operates the UNDP DRP at country level. Coordinates with the DRSU and follows DRSU guidance in responding to individual grievances and disputes. Ensures DRSU is informed of progress on all grievances/disputes received (using DRP database and direct communication with DRSU as appropriate). Collaborates with the DRSU to document case results, and lessons learned. Participates in ongoing community of practice (including training and professional development opportunities) with counterpart DRP CODs in other COs, supported by DRP. 2. Qualifications P4 or P5 At least 3 years experience of management responsibility for country programmes, projects and/or operations with potentially significant social and/or environmental impacts highly effective communications, problem solving and interpersonal skills Prior experience facilitating dialogue, negotiations, consensus building and/or conflict resolution with government and civil society counterparts on social and/or environmental issues highly desirable 18