GLOBAL CONSULTATIONS ON EC/GC/01/18
INTERNATIONAL PROTECTION 4 September 2001
3rd Meeting
Original: ENGLISH
COMPLEMENTARY FORMS OF
PROTECTION
I. INTRODUCTION
1. The
issue of complementary forms of protection is complex and multifaceted. It was discussed at the Standing
Committee’s eighteenth meeting in June 2000 on the basis of a conference
room paper (EC/50/SC/CRP.18). As
reflected in the report of the meeting[1],
there are significant variations in State practice with respect to
complementary protection. The
consequent need for greater harmonization in the way States deal with such
cases was acknowledged. Many delegations expressed the view that harmonization
should reflect reasonable minimum standards, and not be at the lowest common
denominator. At the same time, the need for State flexibility in responding to
varying protection situations was highlighted. Following this debate, the Executive Committee noted in its
Conclusion on international protection[2]
that complementary forms of protection adopted by some States are a pragmatic
response to ensure that persons in need of such protection receive it,
recognizing in this context the importance of full application of the 1951
Convention and 1967 Protocol.
2. The
inclusion of further consideration of this topic in the work programme of the
Global Consultations was at the specific request of States at the time of the
organizational meeting in December 2000, under the theme of protection of
refugees in individual asylum systems.
This note thus complements the above-mentioned conference room paper by
providing an update on new developments that are of relevance. It is hoped that the further discussion
on this issue could now lead to the formulation of a protection conclusion for
adoption, in due course, by the Executive Committee. A draft conclusion based largely on the concluding
observations of last year’s paper is to be found in the final section of
this note. Since the issue of
complementary forms of protection is currently being considered in a number of
regional fora, the deliberations on this topic in the context of the Global
Consultations will also help to inform those discussions from a global
perspective.
II. ADDITIONAL ELEMENTS FOR REFLECTION
3. As
already noted[3], defining
and determining the beneficiaries of complementary protection is a complex
undertaking. This has also become
clear in related discussions in the context of the second track of the Global
Consultations. Interesting
developments of relevance include the revision and consolidation of the Bangkok
Principles[4]
and the process of harmonization of European Union asylum law and policy. These
developments, taken together, contribute to enhancing understanding both of
those who should be protected by complementary protection from refoulement, and the procedural
means by which this would be determined.
The following paragraphs are a factual update in this regard. They form
the background to the amended proposals for a draft conclusion set out in the
final paragraph of this note.
A. Discussions in the context of Global
Consultations
expert
roundtables (second track)
4. At
the Lisbon Expert Roundtable held in May 2001, some consideration was given to
the relevance of the cessation clauses of the 1951 Convention in respect of
beneficiaries of complementary forms of protection. While it was agreed that
they would not be directly applicable, it was accepted that there is an obvious
parallel as regards considerations which would be relevant to the “ceased
circumstances” clause of Article 1C of the 1951 Convention, and those
which would be relevant for ending complementary protection. As a result, the
doctrine developed with respect to the Convention cessation clauses was
recognized as being one guide for the development of standards appropriate in
the context of ending complementary protection.
5. At
the Cambridge Expert Roundtable held in July 2001, there was general
appreciation that refugee law is a dynamic body of law, informed by the broad
object and purpose of the 1951 Convention and 1967 Protocol, as well as by
developments in related areas of international law, such as human rights law
and international humanitarian law. In addressing the scope of the principle of
non-refoulement, the Opinion[5]
prepared as background for the discussion at this Expert Roundtable draws
attention to the significant fact that the non-refoulement principle is
increasingly articulated to apply to persons fleeing generalized danger.[6]
This is becoming an important protection complement in that the scope of
protection is extended, on a firmer legal basis, to a broader number of
persons.
B. Regional developments regarding the
definition of a refugee
6. A
revised consolidated text of the Bangkok Principles on the Status and Treatment
of Refugees was adopted by the Asian-African Legal Consultative Organization
(formerly Committee) at its 40th Session in New Delhi on 24 June
2001[7]. It incorporates a definition of refugee
which includes persons who, owing to external aggression, occupation, foreign
domination or events seriously disturbing public order in either part or the
whole of their country of origin or nationality are compelled to leave the
place of habitual residence in order to seek refuge in another place outside
the country of origin or nationality.
7. While
the Bangkok Principles are declaratory in nature, their provisions represent
the result of serious and lengthy negotiations by member States of the
Asian-African Legal Consultative Organization. They reflect an important understanding of who is a refugee
in the contemporary context in parts of the world with significant experience
in receiving and hosting refugees.
C. A single asylum procedure
8. There
is significant divergence in practice among States with respect to procedures
used for determining the need for complementary protection. [8]
In some States there are parallel procedures, whereby a person seeking
protection must select which sort of application to make, and which form of
protection to request. In others, there may be separate, sequential
considerations of protection needs, before different decision-makers, where
failed applicants for Convention refugee status may apply, in turn, for
protection based on other human rights instruments or on humanitarian or
compassionate grounds. In yet others, there exists one single procedure in
which all protection needs are determined in a comprehensive way, taking into
account all the circumstances of the asylum-seeker’s case.
9. The
advantages of this last approach - a single consolidated asylum procedure for
all protection claims - have been noted on a number of recent occasions by
various stakeholders.[9]
In circumstances where asylum procedures in some parts of the world have become
increasingly complex, the institution of a consolidated procedure which first
assesses whether an asylum-seeker qualifies for 1951 Convention refugee status
and, if not, then assesses the need for other complementary protection, is
coming to be supported as the clearest, fastest and most economical means of
identifying persons in need of international protection. There is also a sense
among some governments that it is likely to lead to the establishment of a more
coherent interpretation of international protection needs, avoiding
inconsistencies that can arise in parallel or sequential procedures. UNHCR
shares this understanding, as long as care is taken to ensure the full and
inclusive application of the refugee definition of the 1951 Convention and 1967
Protocol, as explained in more detail in last year’s conference room
paper.[10]
10. Important
elements of a comprehensive procedural system, at least some of which are
already in place in some States, would include the following:
· one central and expert
authority to determine, in a single procedure, the protection needs of an
applicant, considering first the 1951 Convention definition and
subsequently, on a sliding scale, the other grounds which might justify
international protection;
· appropriate evidentiary
standards and rules in place (including that the standard of proof for claims
is the “reasonable possibility” of the harm occurring[11]),
with reasons for decisions provided;
· an opportunity for a
meaningful review of any negative decision, with suspensive effect, so that no
applicant is removed before a final determination of his or her need for
protection;
· persons seeking
protection being given access to UNHCR and vice-versa, and UNHCR having an
opportunity to participate in the process, on account of the Office’s
particular expertise, should this be necessary and appropriate. Such participation could take the form
of providing country of origin information or expert opinions on interpreting
protection needs.
III. CONCLUDING OBSERVATIONS
11. As
explained in the introductory paragraphs to this note, the draft text below is
based on the concluding observations of last year’s conference room
paper. Amendments reflecting
additional elements contained in this note are shown in bold print. This proposed text could form the basis
of a conclusion on complementary forms of protection that could be presented to
ExCom at its fifty-third session, with a view to promoting coherence among the
approaches of States.
Alternatively, delegations may wish to express their views at this
Global Consultations meeting on how the debate on this topic should now be
brought to an appropriate conclusion.
(a) Complementary
forms of protection adopted by States to ensure that persons in need of
international protection actually receive it, are a positive way of responding
pragmatically to certain international protection needs.
(b) Beneficiaries
of complementary protection should be identified according to their
international protection needs, and treated in conformity with those needs and
their human rights. The criteria
for refugee status in the 1951 Convention should be interpreted in such a
manner that individuals who fulfil the criteria are so recognized and protected
under that instrument, rather than being treated under complementary protection
schemes.
(c)
Measures to provide complementary protection should be implemented in a manner
that strengthens, rather than undermines, the existing global refugee
protection regime.
(d)
The standards of treatment of beneficiaries of complementary protection should
provide for the protection of basic civil, political, social and economic
rights. States should, as far as possible, strive to devise harmonized
approaches to the treatment provided. They should implement complementary
protection measures in such a way as to ensure the highest degree of stability
and certainty possible in the circumstances, including through appropriate
measures to ensure respect for other important principles, such as the
fundamental principle of family unity.
(e) A
single comprehensive procedure, before a central expert authority, for
assessing whether an asylum-seeker qualifies for refugee status or other
complementary protection represents an efficient means of identifying persons
in need of international protection. Such a single procedure should meet all
the requirements of fairness, including the right to appeal with suspensive
effect, and access to UNHCR.
(f) Criteria
for ending complementary protection should be objective, clearly enunciated in
law and should never be arbitrary. Where it is relevant, the doctrine that has
been developed regarding the cessation provisions of Article 1 of the 1951
Convention offers helpful guidance in this regard. A consultative role should
be envisaged for UNHCR, given its particular expertise, when considering the
appropriateness of ending complementary protection measures.
(g) Temporary
protection, which is a specific provisional protection response to situations
of mass influx providing immediate emergency protection from refoulement, should be clearly
distinguished from forms of complementary protection which are offered
after a status determination and which provide a definitive status.
(h) The
1951 Convention and its 1967 Protocol form the cornerstone of the international
protection of refugees and provide the basic framework for such protection. Refugee
law, which includes complementary forms of protection, is a dynamic body of
law, informed by the broad object and purpose of the Convention and Protocol,
as well as by developments in related areas of international law, such as human
rights law and international humanitarian law. The standards elaborated in the
Convention, together with those developments, provide an important guide with
respect to the treatment that should be afforded to persons in need of
international protection.
(i) States
that have not already done so should accede to these instruments and to other
applicable regional refugee protection instruments, in order to ensure the
widest possible, and most closely harmonized, application of the basic
principles of refugee protection.
[1] See A/AC.96/939, paras 11-12.
[2] See A/AC.96/944, para. 23.
[3] See EC/50/SC/CRP.18, paras 6 to 11.
[4] Originally adopted at the Eighth Session of the Asian-African Legal Consultative Committee in Bangkok, August 1966.
[5] See An Opinion on the Scope and Content of the Principle of Non-Refoulement prepared by Sir Elihu Lauterpacht and Daniel Bethlehem, available on the UNHCR website (Global Consultations page).
[6] Ibid, paras 136 to 143.
[7] See Resolution 40/3.
[8] See, for example, European Commission Proposal for a draft directive on minimum standards on procedures in Member States for granting and withdrawing refugee status (COM (2000) 578(final) of September 2000).
[9] See the European Commission’s Communication COM (2000) 755 final of 22 November 2000, Towards a common asylum system and a uniform status, valid throughout the Union, for persons granted asylum at section 2.2; see also the report of the seminar held in Norrkoping, Sweden, 23/24 April 2001 International Protection within One Single Asylum Procedure. For discussions under the Global Consultations, see report of the 2nd meeting held in June 2001 (EC/GC/01/12, paras 24 and 48).
[10] See EC/50/SC/CRP.18, paras 7-9 and 25(b).
[11] See The International Protection of Refugees: Interpreting Article 1 of the 1951 Convention relating to the Status of Refugees, UNHCR, April 2001, para. 10, for a summary of the burden and standard of proof issues for refugee claims, which should apply in a comprehensive, single procedure.