Caroline Rees PROFILE EXPERIENCE. Director, Governance and Accountability Program, Corporate Social Responsibility Initiative, Harvard Kennedy School

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1 10024 Caroline Rees 441 W End Ave, #16C, New York, NY Tel: «Phone»caroline_rees@harvard.edu PROFILE With a strong academic grounding in international relations and international law, extensive experience as a UK diplomat with strengths in multilateral negotiation and human rights, Caroline has for the last five years focused on the business and human rights agenda, chairing negotiations within the United Nations, advising the UN Secretary-General s Special Representative for Business and Human Rights, leading research at Harvard University s Kennedy School into grievance handling and dispute resolution between companies and communities, and working with companies as well as speaking and writing on the issue of grievance mechanisms. Today, Caroline is widely recognized as a leading global authority on company-level grievance mechanisms and is sought out by companies, industry and professional organizations as well as academic institutions and international organizations to speak, teach, collaborate and advise on these issues. EXPERIENCE Director, Governance and Accountability Program, Corporate Social Responsibility Initiative, Harvard Kennedy School present - Leadership and oversight of research projects into grievance handling, conflict management and dispute resolution between companies and communities, working directly with companies as well as academic, professional and industry organizations around the world. - Work with top global companies on the development of their grievance mechanisms, including the largest coal mine in Latin America, a multi-billion dollar liquid natural gas project in Russia, a global UK supermarket chain and a top Chinese garment company. - Speeches, presentations, articles and working papers on company-community grievance handling, as well as on-going advice to companies on practical implementation. Guest lecturer at Columbia University, George Washington University and Harvard Law School. - Development of the leading global on-line platform on business-to-society grievance mechanisms: Adviser to the UN Secretary-General s Special Representative (SRSG) on Business and Human Rights present - Advice to the UN SRSG for business and human rights on political management of his mandate and on substantive issues related to access to remedy for human rights abuse by business. Trustee, Institute for Human Rights and Business present - dedicated to being a global centre of excellence and expertise on the relationship between business and internationally proclaimed human rights standards. Board Member, Resolve present - a non-profit organization dedicated to advancing the effective use of consensus building in public decision making.

2 page 2 Advisory Board Member, Global Social Compliance Programme present - a business-driven programme for companies whose vision is to harmonise existing efforts in order to deliver a shared, global and sustainable approach for the continuous improvement of working and environmental conditions across categories and sectors in the global supply chain. Fellow, Corporate Social Responsibility Initiative, Harvard Kennedy School Development of widely-referenced operational guidance for companies on designing effective grievance mechanisms; - Advice to corporations and business groups on human rights and grievance mechanisms eg General Electric, Nestle, Yahoo, Arcelor Mittal, the International Council on Mining and Metals, Fair Labor Association - Collaboration with partner organisations, including the International Bar Association, to build a global wiki that can improve access to and learning from non-judicial dispute resolution mechanisms Vice Chair, Advisory Panel to the Board of Newmont Mining Assessment of Newmont Mining s Community Relations Review, leading to an Advisory Panel report to their Board in advance of their 2009 AGM. Diplomat, UK Foreign and Commonwealth Office Head of Human Rights Unit, UK Mission to the United Nations, Geneva Chaired UN negotiations on business and human rights, leading to the creation of the mandate of the UN Secretary-General s Special Representative for Business and Human Rights. Led the UK s negotiating team on human rights, covering issues such as Sudan, Iran, indigenous peoples and development; Head of EU Enlargement Team, Foreign & Commonwealth Office, London Ran cross-government coordination of UK positions for the negotiations leading to the accession of the Central and East European states into the European Union. Head of Political Team, United Nations Department, Foreign & Commonwealth Office, London Oversaw a range of Security Council business, UN reform issues, humanitarian intervention policy. 1999: UN advisor in East Timor Emergency Unit, FCO Second Secretary, UK Embassy, Bratislava, Slovakia Ran the UK s transition aid programme to Slovakia in support of the development of market economy and democratic institutions through projects with central and local government, the private sector, financial sector and civil society. Desk Officer for Iran, Middle East Dept, Foreign & Commonwealth Office, London Developed recommendations for UK policy on human rights, nuclear proliferation and trade licensing issues in relation to Iran. EDUCATION Fletcher School, Tufts University, USA

3 page 3 MA in Law and Diplomacy (MALD) Sasakawa Fellow; Graduated first in class Queen s College, Oxford University, UK BA Hons in Modern Languages College Scholar Graduated with First Class degree. TEACHING 2007: taught highly-appraised seminars and seminar sessions on UN human rights diplomacy and on business and human rights at Colorado College, Columbia University and the UK Foreign Office : taught guest classes on access to remedy in the context of business and human rights at Columbia University graduate and undergraduate programs; on business and human rights at George Washington University; and on the role of international mediation in company-community conflicts at Harvard Law School. PUBLICATIONS Rees, Caroline Overview of a Selection of Existing Accountability Mechanisms for Handling Complaints and Disputes. Corporate Social Responsibility Initiative, Working Paper No.37. Cambridge, MA: John F. Kennedy Rees, Caroline Corporations and Human Rights: Accountability Mechanisms for Resolving Complaints and Disputes. Corporate Social Responsibility Initiative, Report No. 15. Cambridge, MA: John F. Kennedy Rees, Caroline and David Vermijs Mapping Grievance Mechanisms in the Business and Human Rights Arena. Corporate Social Responsibility Initiative, Report No. 28. Cambridge, MA: John F. Kennedy Rees, Caroline. February Dispute resolution The case for corporate diplomacy. Ethical Corporation Magazine, UK. Rees, Caroline Grievance Mechanisms for Business and Human Rights: Strengths, Weaknesses and Gaps. Corporate Social Responsibility Initiative, Working paper No. 40. Cambridge, MA: John F. Kennedy Rees, Caroline Corporations and Human Rights: Accountability Mechanisms for Resolving Complaints and Disputes. Report of 2nd Multi-Stakeholder Workshop, November, Corporate Social Responsibility Initiative, Report No. 27. Cambridge, MA: John F. Kennedy Rees, Caroline Access to Remedies for Corporate Human Rights Impacts: Improving Non-Judicial Mechanisms: Report of a Multi-Stakeholder Workshop, November Corporate Social Responsibility Initiative, Report No. 32. Cambridge, MA: John F. Kennedy Corporate Social Responsibility Initiative Rights-Compatible Grievance Mechanisms: A Guidance Tool for Companies and Their Stakeholders. Corporate Social Responsibility Initiative Working Paper No. 41. Cambridge, MA: John F. Kennedy

4 page 4 Rees, Caroline Principles for hearing grievances, and an effective response. Alternatives to the High Cost of Litigation, 26: doi: /alt Rees, Caroline Worker Participation and Engagement: The Key to Long-Term Improvements in Labor Rights Implementation. Fair Labor Association 2008 Annual Report. Washington, DC: Fair Labor Association Rees, Caroline, Report of International Roundtable on Conflict Management and Corporate Culture in the Mining Industry. Corporate Social Responsibility Initiative, Report No. 37. Cambridge, MA: John F. Kennedy Rees, Caroline Mediation in Business-Related Human Rights Disputes: Objections, Opportunities and Challenges. Corporate Social Responsibility Initiative Working Paper No. 56. Cambridge, MA: John F. Kennedy Kovick, David and Caroline Rees, International Support for Effective Dispute Resolution Between Companies and Their Stakeholders: Assessing Needs, Interests, and Models. Corporate Social Responsibility Initiative Working Paper No. 63. Cambridge, MA: John F. Kennedy Rees, Caroline, Piloting Principles for Effective Company-Stakeholder Grievance Mechanisms: A Report of Lessons Learned. Corporate Social Responsibility Initiative, Cambridge, MA: John F. Kennedy School of Government, Harvard University. Other media: Video training manual moderator: Lawyers as Leaders: Corporate Sustainability and Human Rights. International Bar Association. June Available at: Podcast interview: International Dispute Negotiation Podcast No. 87 Go Sit Under The Mango Tree: Globalisation and Mediation. International Institute For Conflict Prevention and Resolution. March Available at Podcast interview: Trends: Wikis for Human Rights. SeaChange Media. February Available at: Blog: Relax the Grip: A role for mediation in business and human rights disputes. April Available at: isputes.html Podcast interview: Guiding Principle on Business and Human Rights. July Available at: (access code ergon2011 ) Video: Making Monkey Business : Building company-community dialogue in the Philippines. June Available at: Citations: International Finance Corporation, UN Global Compact and International Business Leaders Forum, Guide to Human Rights Impact Assessment and Management : Resouces Section. Available at:

5 page 5 Office of the Compliance Advisor/Ombudsman of the World Bank Group, A Guide to Designing and Implementing Grievance Mechanisms for Development Projects, Washington, DC: June CIMA: world s largest and leading professional body of management accountants. Interviewed for and cited in Clear Path article in Excellence in Leadership, June 2008 Hague Institute for the Internationalisation of Law, Law of the Future 2009 Conference Report Globalisation, the Nation-State and Private Actors: Rethinking Public-Private Cooperation in Shaping Law and Governance. The Hague, Netherlands. Oxfam Australia. Community-company grievance resolution: A guide for the Australian mining industry. Victoria, Australia: Marmorat, Marion. Non-Judicial Remedies in Norway for Corporate Social Responsibility Abroad: A Discussion Paper. Fafo Paper 2009:14. Oslo, Norway: Available at: Stevelman, Faith. Globalization and Corporate Social Responsibility: Challenges for the Academy, Future Lawyers, and Corporate Law, New York Law School Law Review, Volume 53, 2008/09. Available at: International Institute for Environment and Development, Building public trust: Transnationals in the community. January Centre for Social Responsibility in Mining. Community Complaint and Grievance Mechanisms and the Australian Minerals Industry. University of Queensland, Australia: July Office of the Extractive Sector Corporate Social Responsibility Counsellor. Building a review process for the Canadian international extractive sector: A backgrounder. Toronto, Canada: June Reviewer/Advisor on Publications: International Finance Corporation. Good Practice Note: Addressing Grievances from Affected Communities: Guidance for Projects and Companies on Designing Grievance Mechanisms. Washington, DC: September 2009 International Council on Mining and Metals. Human Rights in the Mining and Metals Sector: Handling and Resolving Local-Level Concerns and Grievances. London, UK: October 2009 World Resources Institute. Breaking Ground: Engaging Communities in Extractive and Infrastructure Projects. Washington, DC: 2009 Centre for Social Responsibility in Mining, Mining industry perspectives on handling community grievances. University of Queensland: April The Forests Dialogue, Company-Led Approaches to Conflict Resolution in the Forest Sector Other Publications: As Advisor and drafter for the UN Secretary-General s Special Representative for Business and Human

6 page 6 Rights, contributed substantively to his reports to the UN Human Rights Council and UN General Assembly between 2008 and 2011, including the Guiding Principles submitted in March As Member of Advisory Panel to Newmont Gold: Building Effective Community Relationships: Final Report of the Advisory Panel to Newmont s Community Relationships Review. February 2009.