Derechos Humanos Policy Guide

8/6/2019 Derechos Humanos Policy Guide

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A Guide or Business

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Ackwgmt

Author: Lucy Amis

Research assistance: Anita Househam

Design: Tannaz Fassihi

Printing:ISBN:

ut nat Gba Cmpact ofc a ofc th utnat Hgh Cmm Hma rght, 2011

The Global Compact Oce and the Oce o the United Nations High Commissioner or Hu-

man Rights (OHCHR) make no representation concerning, and do not guarantee, the source,

originality, accuracy, completeness or reliability o any statement, inormation, data, nding,

interpretation, advice or opinion contained within the publication.

This publication is intended strictly as a learning document. The company examples used

represent a possible good practice approach on the particular identied topic. The inclusion o

any particular example does not in any way constitute an endorsement by the United Nations

Global Compact and/or OHCHR o the company concerned or its corporate responsibility

perormance overall.

The designations employed and the presentation o the material in this publication do not

imply the expression o any opinion whatsoever on the part o the Secretariat o the United

Nations concerning the legal status o any country, territory, city or area, or o its authorities,

or concerning the delimitation o its rontiers or boundaries.

ut nat Gba CmpactTThe United Nations Global Compact is a strategic policy initiative or businesses that are

committed to aligning their operations and strategies with ten universally accepted principles

in the areas o human rights, labour, environment and anti-corruption (www.unglobalcompact.

org/AboutTheGC/TheTenPrinciples/index.html).

By doing so, business, as a primary agent driving globalization, can help ensure that markets,

commerce, technology and nance advance in ways that benet economies and societies

everywhere.The United Nations Global Compact has two objectives:

1. Mainstream the ten principles in business activities around the world;

2. Catalyse actions in support o broader United Nations goals, including the Millennium

Development Goals (MDGs).

www.gbacmpact.g

Th ofc th ut nat HghCmm Hma rght

The Oce o the United Nations High Commissioner or Human Rights (OHCHR) is a key

branch o the United Nations human rights structure. The High Commissioner is respon-

sible to the United Nations Secretary-General or encouraging the international community

and States to uphold universal human rights standards. OHCHR seeks to work with an ever

wider range o actors, including the private sector, to promote respect or and commitment

to human rights as widely as possible. OHCHR serves as secretariat or the United Nations

intergovernmental body on human rights, the Human Rights Council. OHCHR has supported

the human rights component o the United Nations Global Compact since it was launched in

2000.

www.hch.g


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3

Gie in s

Wh espect hn ights?

Allcompanieshavearesponsibilitytorespecthumanrights,whichmeanstoavoidinfring-

ingonthehumanrightsofothers.

Togaincommercialbenetsassociatedwithgoodhumanrightspractice,e.g.,attracting

investment,procurement,top-qualityrecruitsandsecuringthesociallicencetooperate.

ToliveuptothecompanyscommitmenttotheUnitedNationsGlobalCompact(ifitisa

participant).

Wh evelop hn ights polic? Toprovideabasisforembeddingtheresponsibilitytorespecthumanrightsthroughall

businessfunctions.

Torespondtorelevantstakeholderexpectations.

Toidentifypolicygapsandinitiateaprocessthatalertsthecompanytonewareasof

humanrightsrisk. Toelaborateonthecompanyscommitmenttosupporthumanrights.

Tobuildincreasedtrustwithexternalstakeholdersandtostarttounderstandandaddress

theirconcerns.

Tofosterthedevelopmentofin-houselearning,managementcapacityandleadershipon

humanrightsissues.

Todemonstrateinternationalgoodbusinesspractice.

Getting stte - the pocess ehin the polic Developingahumanrightspolicycanbeadynamic,thoughnotalwaysapredictableprocess.

Donotexpectperfectionatrst.Manyrmsupdatetheirpoliciesastheygainexperience.

Assignseniormanagementresponsibilitytodrivetheprocess.

Involveallbusinessoperationsinpolicydevelopment,implementationandreviews.

Mapexistingcompanypoliciestoidentifyhumanrightscoverageandgaps.

Involvecross-functionalpersonnel(humanresources,legal,procurement,security,etc.)inthe

processtobuildunderstanding,know-howandasenseofcommonpurpose.

Consultinternalandexternalstakeholderstoidentifyandrespondtotheirexpectations.

Wht e the ke ingeients o hn ights polic?

Allpolicieswhetherstand-aloneorintegratedshouldataminimumcomprise:

Anexplicitcommitmenttorespectallhumanrightswhichreferstointernationalhuman

rightsstandards,includingtheUniversalDeclarationofHumanRights.

Provisionsonlabour/workplacerights.

Provisionsonnon-labourrights.Thesewillreecthumanrightsprioritiesandarelikely

tobeparticulartothecompanysindustry/areasofoperation.

Net steps - Pth to ipleenttion Assessingthecompanyshumanrightsimpactsandriskareas,includingcountryanalyses,

newoperationassessmentsandstakeholderconsultation.

Integratinghumanrightsthroughoutthecompany,lookingattraining,communication,

managementsystems,etc.

Trackingandcommunicatingonperformance,includingbyidentifyingprogressmeasure-

mentindicators.

Providingfororcooperatinginremedyinganadversehumanrightssituationthatacompany

hascausedorcontributedtothroughlegitimateprocesses.

Establishingorparticipatingineffectiveoperational-levelgrievancemechanismsfor

individualsandcommunitiesthatmaybeadverselyaffectedbythecompanysactivities.


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4AGuideforBusinessHowtoDevelopaHumanRightsPolicy

1. Oveview - wht is hn ights polic?

Ahumanrightspolicycantakemanyformsandhasnouniformdenition.Ataminimum,itisapublicstatementadoptedbythecompanyshighestgoverningauthoritycommittingthe

companytorespectinternationalhumanrightsstandardsandtodosobyhavingpoliciesand

processesinplacetoidentify,preventormitigatehumanrightsrisks,andremediateanyad -

verseimpactithascausedorcontributedto.Itshouldexplicitlyusethewordshumanrights.

Manyhumanrightspoliciesalsoelaborateonthecompanyscommitmenttosupporthuman

rights.1Humanrightspoliciescanbefoundwithincompanystatementsofbusinessprinciples,

codesofconductorothervalues-relatedliterature,ortaketheformofstand-alonestatements

oncompanywebsitesorinotherpubliccorporateresponsibilitydocumentation.2

Adoptingahumanrightspolicyisaprecursortoacompanyshumanrightsduediligence

towardsmeetingitsresponsibilitytorespecthumanrights.Itsendsaclearsignaltointernal

andexternalstakeholdersthatthecompanyisstrivingtoembedhumanrightsintoitsopera-

tionalpoliciesandproceduresandtounderstandthehumanrightsimpactsofthebusiness,

bothpositiveandnegative.Italsosignalsacommitmenttotakerespectforhumanrightssuf-cientlyseriouslytoallocatemanagementtimeandresourcestodevelopingandimplementing

apolicy,includingbyconsultingexternally.

A Guide for Business: How to Develop a Human Rights Policy seekstooutlinewhycompanies

shouldrespecthumanrights,theprincipalreasonsforadoptingahumanrightspolicy,itskey

ingredientsandthebest-practiceprocesstodevelopone.

1.GlobalCompactPrincipleOneaskscompaniestorespectandsupporthumanrights.

2.Forexample,CNOOCincludedastatementonhowitviewshumanrightsissuesinitsoverseasoperationsinits2009CorporateSocial

Responsibilityreport,availablefromwww.cnoocltd.com/le/GetAttachment.pdf(accessed15April2011).


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2. Wh espect hn ights?

suMMArY All companies have a responsibility to respect human rights, which

means to avoid inringing on the human rights o others.

To gain commercial benets associated with good human rights

practice, e.g., attracting investment, procurement, top-quality

recruits and securing the social licence to operate

To live up to the companys commitment to the United Nations

Global Compact (i it is a participant).

Vles: nivesl esponsiilit

Companieshavearesponsibilitytorespectinternationalhumanrightsstandards,whichmeansnottoinfringeonpeoplesrightsandtoaddressadversehumanrightsimpactsthattheycause

orcontributeto.3

ThisuniversalresponsibilityisarticulatedintheProtect,RespectandRemedyframework,

welcomedbytheUnitedNationsHumanRightsCouncilin2008.In2011,GuidingPrinciples

addressedtobothGovernmentsandbusinessonhowtoimplementtheframework,including

theresponsibilityofbusinesstorespecthumanrights,wereendorsedbytheHumanRights

Council.TheendorsementestablishedtheGuidingPrinciplesastheauthoritativeglobalrefer-

encepointforbusinessandhumanrights.Theframework,whichhaswidespreadsupportfrom

businessandcivilsociety,impliesthatcompaniesmusthaveahumanrightspolicytoembed

humanrightswithintheiroperationalpoliciesandprocedures.ReportoftheSpecialRepresen-

tativeoftheSecretary-Generalontheissueofhumanrightsandtransnationalcorporationsand

otherbusinessenterprises,JohnRuggie,GuidingPrinciplesonBusinessandHumanRights:

ImplementingtheUnitedNationsProtect,RespectandRemedyFramework(A/HRC/17/31)

ThisresponsibilitytorespecthumanrightsisincorporatedinPrincipleOneoftheUnited

NationsGlobalCompact.

Coecil

Manyrmsbelievethatshowingrespectforhumanrightsgivesthemacompetitiveadvantage

overcompetitorsthatoverlookthearea.Exercisinghumanrightsduediligencecanhelpcom-

paniesattractinvestment.Investmentthatfavoursgoodenvironmental,socialandcorporate

governanceisexpanding5andbeingmainstreamed,withassetmanagerslikeBlackRock,AXA

InvestmentManager,CalvertandHSBCallnowofferingfundswithsuchcriteria,somecover-

inghumanrights.IndicesliketheFTSE4GoodandDowJonesSustainabilityIndexhavestrict

humanrightsentrycriteria.6AndsomenationalStatepensionfundsandmajorpublicsector

fundsalsoscreenonlabourandhumanrights,e.g.,theUnitedStatesteachersandresearchers

pensionfundTIAA-CREF(US$314billion)andtheNorwegianGovernmentPensionFund(US$

380billion).

3.AccordingtotheReportoftheSpecialRepresentativeoftheSecretary-Generalontheissueofhumanrightsandtransnationalcorporations

andotherbusinessenterprises,JohnRuggie,Protect,respectandremedy:aframeworkforbusinessandhumanrights,doingnoharmisnot

merelyapassiveresponsibilityforrmsbutmayentailpositivestepsforexample,aworkplaceanti-discriminationpolicymightrequirethe

companytoadoptspecicrecruitmentandtrainingprogrammes(A/HRC/8/5).

4.SeeA/HRC/17/31.

5.Over500institutionalinvestorshavealsosigneduptotheUnitedNations-backedPrinciplesforResponsibleInvestmentandtogetherac-

countformorethanUS$20trillionworthofassetsundermanagementin36countries.

6.FTSE4Goodinsistsoncompaniesinhigh-risksectorshavingahumanrightspolicy.


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6AGuideforBusinessHowtoDevelopaHuman

Goodhumanrightspracticecanhelpattractnewbusiness,includingpublicsectorprocure-

ment.Forexample,suppliersoftheGovernmentoftheNetherlandsareexpectedtocomply

withspecichumanrightscriteria.7Anecdotalevidencesuggeststhatagrowingnumberof

smallercompaniesinthevalueorsupplychainsofglobalrmsarethemselvesdevelopinganexplicithumanrightspositioninordertoattractbusiness,becausetheyknowthatsomemulti-

nationalsdemandsuchstandardsoftheirsuppliersandbusinesspartners.8Inrecruitment,too,

surveysshowthatcorporateethicsisanincreasinglyimportantarea;manyapplicantsnowask

hiringmanagershowcompanyvalues,includingonhumanrights,aretranslatedintoday-to-

dayactivities.9Securingandmaintainingasociallicencetooperateisanotherincentive.Sup-

portforhumanrightscanalsobeasourceofinnovationfortheintroductionofnewproduct

linesoradjustmenttoexistingones.

LeglTheresponsibilitytorespecthumanrightsisnotalegaldutyimposedoncompaniesbytreaty,

butitisnotalaw-freezoneeither.Theprovisionsofmanyinternationalhumanrightstreaties

areembeddedindomesticlaw(e.g.,safety,health,anti-discrimination),andmanyGovern -

mentshaveadoptedtheRomeStatuteoftheInternationalCriminalCourt,whichdepend-

ingontheprovisionsoftheirowncriminalcodemaymeanthattheyareempoweredtoprosecutecompaniesforcertaininternationalhumanrightsviolations.Inaddition,because

theresponsibilitytorespecthumanrightshasbecomeaninternationalstandardofconduct

endorsednotonlybytheUnitedNationsbutalsobybusinessassociations,NGOsandGovern-

ments,failuretoliveuptothatstandardandinfringinghumanrightscanleadtocallsforlegal

liability,oratleastallegationsthatmightbeconsideredbynon-judicialgrievancemechanisms,

suchasbyanationalcontactpointoftheOrganizationforEconomicCo-operationandDevel-

opment(OECD).10

7Seewww.senternovem.nl/sustainableprocurement/criteria_development/index.asp(accessed15April2011).

8.GE,forexample,expectsitssupplierstorespecthumanandlabourrights,andworkstoimplementandauditthepracticesinitssupply

chain.WhileourexperienceisthatmostsuppliersseektomeetGEsexpectations,weterminatedapproximately160suppliersin2006for

poorperformanceinthisprogramme.Seewww.ge.com/les_citizenship/pdf/GE_2007_citizen_07rep.pdf(accessed15April2011).

9.AglobalsurveybyNewYork-basedconsultingrmDBMfoundthat82percentofhumanresourcesandcareerexpertscitecorporate

leadershipethicstobeimportanttojobseekerstoday.Globally,corporationsarebeingheldtothehigheststandardsbycurrentandfuture

employees.Seehttp://ndarticles.com/p/articles/mi_m3495/is_11_47/ai_94161915/?tag=content;col1(accessed15April2011).10.SeeJohnF.ShermanandAmyLehr,Humanrightsduediligence:Isittoorisky?,AWorkingPaperoftheCorporateSocialResponsibility

Institute,No.55(Cambridge,Massachusetts,HarvardUniversity,February2010).Availablefromwww.hks.harvard.edu/m-rcbg/CSRI/pub_main.

html.


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3. Wh evelop hn ights polic?

suMMArY To provide a basis or embedding the responsibility to respect

through all business unctions.

To respond to relevant stakeholder expectations.

To identiy policy gaps and initiate a process that alerts the

company to new areas o human rights risk.

To elaborate on the companys commitment to support human

rights.

To build increased trust with external stakeholders and to start

to understand and address their concerns.

To oster the development o in-house learning, management

capacity and leadership on human rights issues.

To demonstrate international good business practice.

To povie sis o eeing the esponsiilit to espect thoghll siness nctionsInordertoensurethatthecompanysresponsibilitytorespecthumanrightsisembedded

throughallbusinessfunctions,itshouldexpressitscommitmenttodosobydevelopinga

humanrightspolicy.Suchapolicyistherststepinshowingthatthecompanyunderstands

itsuniversalresponsibilitytorespecthumanrights.Itprovidesthebasisforpubliclyafrming

companyvaluesandembeddingtheresponsibilityintocompanyoperationsandthewayit

doesbusiness.

To espon to stkehole epecttionsAsindicatedabove,thereisanemerginginternationalconsensusaboutwhatstepscompanies

shouldtaketodemonstratetheircommitmenttorespectinghumanrights,mostnotablyrep-

resentedbytheProtect,RespectandRemedyframeworkandtheGuidingPrinciples.Having

ahumanrightspolicyisexplicitlyrequiredbytheframeworkandtheGuidingPrinciples,11

andincreasinglyexpectedbyrelevantstakeholders,includinginvestors,businesspartnersand

Governments.

To ienti polic gps n let the copn to new es o iskAcompanycanbothcauseandcontributetoadversehumanrightsimpactsthroughitsown

activities.Itsexistingpoliciesmaynotaddressbothdimensions.

Acompanymaynotrealizeitspotentialtoimpactparticularhumanrightswithoutrst

identifyingwhathumanrightsmeantothebusiness.Developingapolicycanbethecatalyst.

Moreandmorermsworldwidereportthatdevelopingandimplementingahumanrights

policyhashelpedthemseehumanrightsrisksandbecomebetterequippedtodealwith

humanrightsissuesthatarise.

Existingpoliciesmaybenetfromahumanrightsapproach.Forexample,environmental

policiescanfocussolelyontechnicalsolutionstoperceivedtechnicalproblemsandmissthe

potentialimpactoncommunitiesandpeoplesrights.Ahumanrightsapproachcanalso

strengthenthealignmentofexistingcompanypoliciesbydemonstratingtheiralignment

withuniversalvalues.

11.TheGuidingprinciplesonbusinessandhumanrights:implementingtheUnitedNationsprotect,respectandremedyframework

containclearrecommendationsontheparametersofacompanyshumanrightspolicycommitment(A/HRC/17/31,guidingprinciple16).


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12.LaurenGulaandYeJin,Cadburyandhumanrights:ndingthebestapproach,inEmbeddingHumanRightsinBusinessPracticesIII

(UnitedNationsGlobalCompact,2009).13.See,fordetails,www.unglobalcompact.org/issues/human_rights/CEO_Statement.html(accessed15April2011).

To il tst with stkeholes n ess thei concens

Adoptingahumanrightspolicyimpliesacommitmentbythecompanytoahumanrights

approach,throughengagingwithstakeholders,havingappropriatetransparency,andahuman

rightsfocus.Suchanapproachisrarelyrequiredbyexistingpolicies.Policiesthatfocusonlyontheimpactonthecompanymaybeinconsistentwithahumanrightsapproach,andmissrisks.

Makingpeoplepartoftheprocessbyengagingwithstakeholderscanhelpcompaniesbuild

trust,increasinglyimportantsincethe2008nancialcollapse.Ahumanrightspolicyshowsa

commitmenttobeingaresponsiblecorporatecitizenandprovidesinterestedstakeholderswith

anaccessiblemeansofgaugingcompanyperformance.Manycompaniesalsondthatexternal

stakeholdersbecomemorewillingtoengageconstructivelywiththemwhentheyhavea

humanrightspolicyandhumanrightsapproachinplace,andwillusuallytalkwiththe

companybeforeconsideringadversarialaction,e.g.,aboycottorlitigation.

To tigge in-hose hn ights lening, ngeentcpcit n leeshipTheveryprocessofdevelopingahumanrightspolicycanhavepositivemanagerialspin-offs.

Manyrmssaythatdevelopingthepolicyhelped:

Raiseawarenessandunderstandingofthecompanyshumanrightsimpactacross

departments;

Buildleadershipcommitmentaroundhumanrightssothattherewaspoliticalsupport

insidethecompanyforresourcestobeassignedtopolicyimplementation;and

Generatein-housemanagerialcapacity,insightsforfutureprioritiesandenthusiasm

aroundthetopic.

Ahumanrightspolicyalsoprovidesmanagerswithapublicstatementtoframeresponsesto

humanrightsquestions.

Cadbury epote tht the inspitionl lngge se thoghot the ocent

helpe otivte eploees n stkeholes to show thei sppot o the new vision. 12

To eonstte goo siness pctice

Itisanemerginggoodinternationalbusinesspracticetohaveahumanrightspolicyorposi-

tionstatement.Over50percentofFTSE100Indexlistedcompanieshavesuchapolicy.By

March2011,theBusiness&HumanRightsResourceCentrehadidentiedsome270companies

worldwidewithanexplicithumanrightspolicyposition.Itsndings,whichrecordonlypub-

liclyavailablepoliciesthatexplicitlyusethetermhumanrights,reectagrowingtrendamong

businessesfromallcontinentsmakingapubliccommitmenttorespectandsupporthuman

rights.Thistrendisalsoevidentinthepledgesignedbymorethan250globalCEOstomark

thesixtiethanniversaryoftheUniversalDeclarationofHumanRightsinDecember2008.13


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no More reAsons noT To HAve A PoliCYCompanies are seeing that by having a human rights policy they can start to better

identiy risks and opportunities, and start to build in-house management capacity and

demonstrate to stakeholders a sincere commitment to respect and support human

rights. A BSR/GlobeScan poll o business leaders rom 15 countries in late 2009 ound

that: Climate change and human rights are the most signicant priorities or business

sustainability eorts in the year ahead.14 Yet the number o rms with explicit human

rights policies still represents only a raction o the more than 7000 companies in over

130 countries that, as signatories to the United Nations Global Compact, have pledged

to adhere to general principles on human rights and labour standards, or o the wider

business community beyond.

Why have relatively ew rms globally backed up their pledges on human rights with a

policy or other due diligence measures? Historical obstacles can partly explain it. Back

in 2007, human rights remained, in the words o the Special Representative o the Sec-

retary-General on business and human rights, mysterious or business and companies

did not ully know what was expected o them. Workplace issues aside, human rights

were seen as the exclusive domain o States and no universally agreed ramework

existed on the expectations o business.

However, an agreed international business and human rights ramework now exists

the United Nations Protect, Respect, Remedy ramework and the Guiding Principles

on business and human rights or its implementation applying to companies as well

as States. In addition, there is a growing body o management guidance tools that help

demystiy human rights or business and map practical action. The business and human

rights discourse has also become global and accessible to companies o all sizes andsectors; daily updates on the Business and Human Rights Resource Centres website15

now appear in many languages, based on research rom every continent. In short, there

are ewer and ewer reasons not to develop a human rights policy.

14. Details o the BSR/Globescan State o Sustainable Business Poll survey can be ound at: www.globescan.com/news_archives/

bsr09 (accessed 15 April 2011).

15. www.business-humanrights.org.

KEy rEadINGS:

A Guide to Integrating Human Rights into Business Management,BusinessLeadersInitiativeon

HumanRights,theUNGlobalCompactandtheOfceoftheUNHighCommissionerfor

HumanRights,SecondEdition2010.Human Rights - It is Your Business: A Business Case for Corporate Engagement, International

BusinessLeadersForum,2005.

Protect, Respect and Remedy: A Framework for Business and Human Rights,UNSpecialRepresentative

onBusinessandHumanRights,UNDocumentA/HRC/8/57April2008.

A Human Rights Management Framework (Poster), BusinessLeadersInitiativeonHumanRights,

InternationalBusinessLeadersForum,theUNGlobalCompactandtheOfceoftheUNHigh

CommissionerforHumanRights,2010.

How to Do Business With Respect for Human Rights: A Guidance Tool for Companies, 2010,

Global Compact Network Netherlands, Business & Human Rights Initiative.

UNGlobalCompactGuidance:http://www.unglobalcompact.org/Issues/human_rights/Tools_

and_Guidance_Materials.html


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4. Getting stte

suMMArY

Developing a human rights policy can be a dynamic, though not al-

ways a predictable process. Do not expect perection at rst. Many

rms update their policies as they gain experience.

Assign senior management the responsibility to drive the process.

Involve all business operations in policy development, implementa-

tion and reviews.

Map existing company policies to identiy human rights coverage

and gaps.

Involve cross-unctional personnel (human resources, legal,

procurement, security, etc.) in the process to build understanding,

know-how and a sense o common purpose.

Consult internal and relevant external stakeholders to identiy and

respond to their expectations.

Thedevelopmentofahumanrightspolicycanbeadynamicprocess.Itmaystartwiththe

releaseofashortstatementofintentsometimesonlyafewparagraphsthatisrevisedand

becomesmoresophisticatedasthecompanygetstogripswiththeissues.Whenrstdevelop-

ingahumanrightspolicy,managersshouldnotfeelunderpressuretoachieveperfection.

Manybestpracticeexamplestodaytookshapeoverseveralyearsandhaveundergonereview.

barCLayS developed its rst hman rights policy in 2004 nder the sponsorship of the

Gop Vice-Chin. [It] ws signe o the copns Gop bn n repttion

Coittee.16 The policy was revised in 2006 and again in 2008. Policies and practices

e pte to tke ccont o new isses ise n gowing weness n iliit

within the siness o the hn ights ipcts o o ecisions. Policies e eeshe

to keep the live n topicl n ense the e conicte egll.17

Cadburypblished its rst Hman Rights and Ethical Trade Policy in 2000, bt to

ense ll o its copote policies wee ligne with its eisting hn ights elte

policies, s well s incesing glol epecttions n ting nestning o

how siness cn contite positivel to the eliztion o hn ights 18 in 2008 it

released an overarching hman rights policy docment Cadbrys Approach to Hman

rights.

Eachofthestepsinthissectionisimportant,butthepreciseordercanvary.Somecompanies

reportthattheydidnotinitiallyhaveseniormanagementbuy-inandthattheimpetusfora

policycamefrombelow,withthemappinganalysisandstakeholderfeedbackbeinginstru-

mentalinwinningseniormanagementsupportandhavingresourcesassignedforpolicy

implementation.

Nosinglesequencewillsuiteverycompany.Thetimingofthepolicysreleaseislargelya

matterofchoice.Somecompanieswillreleaseaninitialshortstatementtoraisein-house

16.TheCommitteewascomprisedofseniormanagementfromthedifferentBarclaysbusinessesandcentralfunctions.

17.PhilippaBirtwell,HeadofPublicPolicyResearch,Barclays.

18.GulaandJin,Cadburyandhumanrights:ndingthebestapproach.


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11

awarenessorinresponsetostakeholderpressure,evenbeforetheotherstepsarecomplete;

theymaythenfollowuptheinitialstatementwithalongerpolicydocument.Othersrelease

theirhumanrightspolicystatementonlywhentheyarereadytointegrateitintotheirmanage-

mentsystems.

Therecanbeoverlapbetweenthestepsneededtodraftapolicy,toassessthecompanys

humanrightsimpactandtointegratethembothinthecompanysmanagementsystems.Even

duringtherstphaseofdevelopingapolicy,somermshavefoundithelpfultodosome

basicmappingofthecompanyskeyhumanrightsrisksandlikelypriorities;thiswillneed

tobetakentoanotherlevelduringthephaseofassessingimpacts.Similarly,thestakeholder

consultationneededtoinformahumanrightspolicywillbespecictothattask;stakeholder

consultationforanimpactassessmentwillbeofadifferentmagnitude.

Ke Steps

Assign SeniorManagement Responsibility

Consult with stakeholders onthe human rights policy

Put in place a cross-unctional team

Communicate the policy internally and

externally and stipulate expectations

Conduct a preliminary gapanalysis/policy mapping

Refect human rights policy inoperational policies and procedures

assign senio ngeent esponsiilit. Thedecisiontodraftapolicyisoftenmadebythe

chiefexecutiveorbyoneormoreseniorexecutives.Whoeverinstigatestheproject,amember

ofseniormanagementwilltypicallyneedtobeappointedtoleadtheprocess,signoffonthe

nalpolicyandassignresourcesneededforitsimplementation.

Involve ll siness opetions. Manyrmsputinplaceacross-functionalteam,committee

ortaskforcetohelpsteerthepolicythroughthecompany.Whetherdrivenbyateamornot,

thecompanyneedstocapturein-houseknowledgefromacrossvariousbusinessunitsand

functions,considervaryinglegaljurisdictions,draftthepolicyandlatercommunicateitinter-

nallyandoverseetrainingandreportingneeds.Inmanycases,ateamorcommitteewillretain

responsibilityforthepolicyandanyrevisionsinthemediumtolongterm.

Makingbasicpolicydecisionswithintheoverlappingframeworksofacompanysexisting

standardsandcommercialmanagementsystems,whilebearinginmindvaryingstakeholder

expectations,canbedemanding.Thereisastrongcasetokeeptheprocesslargelyin-house

ratherthanoutsourcingit,toensurethatanylessonslearnedstaywithinthecompanyand

helpbuildcapacityovertime.

Conct sic polic gp nlsis/pping eecise todeterminewhichoftheinternation-

allyrecognizedhumanrightsarealreadycoveredbythecompanysexistingpoliciesandiden-

tifyanyrelevantonesthataremissing.Thiswillhelpcompaniesidentifyanypriorityissues.

Mostcompaniesndthatlongstandingcorporatepoliciesandcodesofconductalreadyaddress

humanrightsbutthattheydonotusehumanrightslanguage,e.g.,policiesondiversity,non-

discrimination,bullyingorharassment,healthandsafety,minimum-ageprovisionorworking

hours.


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Draftingahumanrightspolicywillnotnecessarilyhighlightentirelynewissuesforthebusi-

ness,butcanhelpexpressandlinktogetherexistingpositionsinadifferentway,orshinea

lightonissuesthatmightotherwisegetoverlooked.

TheGuidingPrinciplesstatethatcompanieshavearesponsibilitytorespectallhumanrights,

notjustaselectfew,andahumanrightspolicyneedstoreectthisfact.Operationally,while

rmsneedtobealerttoallpotentialhumanrightsrisks,inpractice,somerightswillbemore

relevantthanothersinparticularindustriesandcircumstancesandwillbethefocusofheight-

enedcompanyattention.However,situationsmaychange,sobroaderperiodicassessments

arenecessarytoensurethatnosignicantissueisoverlooked.19Inaddition,companiesalso

needtotakeintoaccounttheimportantprincipleofinternationalhumanrightslawthathu-

manrightsareinterdependentandindivisible,andthattheycannotchoosetoignorenegative

impactsonsomehumanrights,whilerespectingothers.

rESOurCE TIP: When developing a policy, tools like Human Rights Translated: A Business Reference Guide can

help managers become familiar with the full spectrum of human rights and identify which may have to be priori-

tized given the companys unique geographical footprint, relationships, industry and operating context.

Conslt with intenl n etenl stkeholes.Inadditiontoensuringthatthepolicy

isinformedbyrelevantinternaland/orexternalexpertise,thecompanyshouldidentifykey

stakeholders.Thisistohelpensurethatthepolicyistforpurposeandaddressesexpecta-

tionsandconcernsofpotentiallyaffectedgroupsandotherrelevantstakeholders.Forexample,

workersandtheirrepresentativeorganizationsareimportantstakeholdersforlabour-related

humanrights;andengagementwiththemisgenerallyreferredtoassocialdialogue.Relevant

stakeholderscanalsoincludeindustrypeersthathavealreadyadoptedapolicy,thosebehind

sector-basedmulti-stakeholderinitiativeswhohaveexperienceofadvisingcompaniesina

similarpositionandbusinessassociations.Companiesshouldalsoconsiderinvolvingsocially

responsibleinvestors,clients,civilsocietyexperts,consumers,campaigngroups,academics

andcommunitygroups.Involvingpotentialcriticsintheprocesswillgivearealitycheck.Some

rmsshareanearlydraftofthepolicywithstakeholderstoelicitfeedback.Someofthestake-

holdersthatprovideinputintothepolicywillbecomeusefulalliesduringlaterduediligence

phases.

Conicte the polic intenll n etenll n stiplte epecttions.Nopolicy

canbeeffectiveunlessitiscommunicatedtoallrelevantstakeholders.Thepolicyshouldbe

publiclyavailable.Itneedstobedisseminatedtoallemployeestoraiseawarenessandcoupled

withnecessarytrainingforrelevantpersonnel.Itshouldalsobecommunicatedactivelyto

otherparties,inparticularbusinesspartnersandaffectedstakeholders.Thepolicyshould

simultaneouslymakeclearwhatexpectationsthecompanyhasofitsemployees,business

units,suppliers,subcontractors,franchisees,vendors,businesspartnersandotherrelevant

partiesdirectlylinkedtoitsoperations,productsorservices.

Reect the hman rights policy in operational policies and procedres. Companiesshould

carefullyconsiderhowotherpoliciesandpracticestheyhaveinplacerelatetotheexpressed

commitmenttorespecthumanrights.Lackofcoherenceisacommonrisk;areaswhere

discrepanciesmayariseincludeprocurementandlobbying.Ifthehumanrightspolicyisnot

effectivelydisseminated,reectedinotherpoliciesandprocedures,andembeddedinmanage-

mentacrossallfunctions,neglectcanquicklybecomerealityevenwithallthebestintentions

inplace.Thisissuealsorelatestothebroaderquestionofhowtoimplementthecompanys

commitmenttohumanrights,whichisaddressedinthenalsectionofthisGuide.

19.Businessandhumanrights:furtherstepstowardtheoperationalizationoftheprotect,respectandremedyframeworkReportofthe

SpecialRepresentativeoftheSecretary-Generalontheissueofhumanrightsandtransnationalcorporationsandotherbusinessenterprises,

JohnRuggie(A/HRC/14/27).


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13

KEy rEadINGS

A Guide to Integrating Human Rights into Business Management,BLIHR,UnitedNationsGlobal

CompactandOHCHR,2nded.,2010.

Human Rights Translated: A Business Reference Guide,CastanCentre,InternationalBusinessLead-ersForum,UnitedNationsGlobalCompactandOHCHR,2008.

How to Do Business with Respect for Human Rights: A Guidance Tool for Companies, GlobalCompact

NetworkNetherlands,Business&HumanRightsInitiative,2010.

Cadburyandhumanrights:ndingthebestapproach,byLaurenGulaandYeJinin

Embedding Human Rights in Business Practices III,UnitedNationsGlobalCompact,2009.

Protect,RespectandRemedy:aFrameworkforBusinessandHumanRightsReportofthe

SpecialRepresentativeoftheSecretary-Generalontheissueofhumanrightsandtransna-

tionalcorporationsandotherbusinessenterprises,JohnRuggie(A/HRC/8/5).

Businessandhumanrights:Towardsoperationalizingtheprotect,respectandremedy

frameworkReportoftheSpecialRepresentativeoftheSecretary-Generalontheissueof

humanrightsandtransnationalcorporationsandotherbusinessenterprises(A/HRC/11/13).

BusinessandHumanRights:Furtherstepstowardtheoperationalizationoftheprotect,

respectandremedyframeworkReportoftheSpecialRepresentativeoftheSecretary-

Generalontheissueofhumanrightsandtransnationalcorporationsandotherbusinessenterprises(A/HRC/14/27)

SocialDialogueatEnterpriseLevel:SuccessfulExperiences,ILO,Geneva,2004.Available

fromwww.ilo.org/public/libdoc/ilo/2005/105B09_252_engl.pdf(accessed15April2011)

UnitedNationsGlobalCompactGuidance:www.unglobalcompact.org/Issues/human_rights/

Tools_and_Guidance_Materials.html(accessed15April2011)


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5. Wht e the ke ingeients o goohn ights polic?

suMMArY

All policies whether stand-alone or integrated should at a

minimum comprise:

An explicit commitment to respect all human rights which reers

to international human rights standards, including the Universal

Declaration o Human Rights.

Provisions on labour/workplace rights.

Provisions on non-labour rights. These will refect human rights

priorities and are likely to be particular to the companys industry/

areas o operations.

Fewhumanrightspoliciesarethesame.Intheabsenceofregulatoryguidelines,manyrms

simplydowhattsbestwithinthecompanysexistingpolicycommitmentsandinternalpro-

cesses.Commonconventionshoweverdoexist,manyofwhichwereidentiedbytheSpecial

Representativeonbusinessandhumanrightsandhisteamduringtherstmandate(2005-08),20

andmanygoodpracticepolicyexamplescanbefoundinthepolicybankavailableviatheBusi-

ness&HumanRightsResourceCentreswebsite(www.business-humanrights.org).

a stn-lone vess n integte hn ights polic?Humanrightspoliciesgenerallyfallintotwocategories:stand-alonestatementsandpolicies

thatareintegratedwithinthecompanyswiderstandardsliterature,e.g.,employeecodesof

conduct;ethicalsourcingstandards;environment,healthandsafetyguidelines;andsocial/

communityinvestmentcommitments.Recently,thereappearstobeagradualtrendtowards

theintegratedmodel(particularlyamongcompaniesthathaverevisedtheirpolicyapproachat

leastonce),buttherearereasonableargumentsinfavourofeitherstrategyandmanagerswill

needtodetermineforthemselveswhichisbettersuitedtotheircompany.

An advantage cited for free-standing procedures is that the relevant issues get the attention and profes-

sionalization they deserve. But a disadvantage may be that it is not connected to the rest of the company. In

contrast, folding human rights due diligence into ongoing processes may put human rights on par with other

key issues when managers evaluate potential projects, but the unique attributes of human rights may thereby

get diminished. Special Representative, April 200921

Stand-aloneorfree-standingpolicieshaveanadvantageinexternalcommunication,making

iteasierforinterestedstakeholderstoaccessinformationtheyrequire.Stand-alonestatements

arecommonlyemployedbycompaniesthataredevelopingahumanrightspolicyfortherst

timeandallowthecompanytosetoutitsintentionswhileitgoesaboutbuildingtherequisite

in-houseknowledgeandcapacitytoassessandmanageitshumanrightsimpacts.

Forcompanieswithwell-establishedcodesofconductonemploymentorethicalsourcing

guidelines,etc.,theintegratedapproachmaybeeasiertodeliverandavoidamultiplicityof

standardsthatcouldgenerateinternalconfusion.Integratedpoliciescansuggestthathuman

rightsconsiderationsaremoredeeplyengrainedwithinthecompanysoverallthinking,which

canappealtoexternalstakeholders.Neitherapproachisrightnorwrong.

20.SeeBusinessrecognitionofhumanrights:Globalpatterns,regionalandsectoralvariations,addendumtotheReportoftheSpecialRep-

resentativeoftheSecretary-Generalontheissueofhumanrightsandtransnationalcorporationsandotherbusinessenterprises(A/HRC/4/35/

Add.4).

21.A/HRC/11/13.


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15

Acompromiseoption,whichdrawsonbothmodels,istoproduceareadilyaccessiblepublic

humanrightsstatementthatcross-referencesestablishedcodesandpolicies,highlighting

wherethehumanrights-relatedelementscanbefoundwithinexistingmanagementstan-dards.Thisallowsforeffectivecommunicationandcansitwellwithcurrentsystems.Itmay,

however,requirenewpolicyelementstobedrawnuptoaddresshumanrightsissuesthathad

previouslygoneunaddressed.

LaNGuaGE TIP: to gain buy-in within the company it is important to use practical, clear and concise

language to explain the context and issues. Since much human rights language was originally designed for

States, it can initially seem alien to business readers, so a company may need to make a few adaptations;

stakeholder consultation can help ensure that both in-house and external stakeholders are comfortable with

theendproduct.Somermsndthattheinspirationallanguageassociatedwithhumanrightscanactually

be helpful in generating internal support.

Hman rightsrefertobasicstandardsoftreatmenttowhichallpeopleareentitled.Itisa

broadconcept,witheconomic,social,cultural,politicalandcivildimensions.ForFord,this

meansensuringthatourproducts,nomatterwheretheyaremade,aremanufacturedunderconditionsthatdemonstraterespectforthepeoplewhomakethem.Italsomeansrespecting

therightsofpeoplelivinginthecommunitiesaroundourfacilities,andthoseofoursuppliers,

whomaybeaffectedbytheseoperations.Ford Motor Company

STEP 1: a coitent to espect intentionl hn ights stnsAhumanrightspolicywillneedtoincludeastatementofcommitmenttorespectinternational

humanrightsstandardsthatmakesexplicituseofthewordshumanrights.Somestakeholders

viewpoliciesthatfailtousethewordshumanrightslessfavourably.22Agoodhumanrights

policyshouldataminimumreferto:

TheUniversalDeclarationofHumanRights;

TheInternationalCovenantonCivilandPoliticalRights;

TheInternationalCovenantonEconomic,SocialandCulturalRights;and

TheInternationalLabourOrganizations(ILO)DeclarationonFundamental

PrinciplesandRightsatWork. 23

[TheUniversalDeclarationofHumanRightsandthetwoCovenantsarecommonlyreferred

tocollectivelyastheInternationalBillofHumanRights.]

Basichumanrightsarealsofurtherarticulatedinotherinternationalhumanrightsinstru-

ments,whichelaborateontherightsofindividualsbelongingtoparticularlyvulnerable

groups.24

PrOCESS TIP:In some countries the language of human rights is considered sensitive. Where managers

encounterthistheymayndithelpfultoexplaintocolleaguesthatall192GovernmentsoftheUnited

NationshaveendorsedtheUnitedNationsGlobalCompactanditstenprinciples,includingitshumanrights

and labour principles.25

reeence to othe elevnt stns n volnt inititivesSomecompaniesadditionallyrefertootherrelevantstandardsandvoluntaryinitiatives,many

ofwhichhaveprinciplesorcodesthataddressauniquesetofhumanrightschallenges,

22.TheBusiness&HumanRightsResourceCentreswebsitelinksonlytostatementsbycompaniesthatexplicitlyrefertohumanrightsinits

policybank,seewww.business-humanrights.org/Documents/Policies.

23.ILOconsidersitseightcoreconventionstobefundamentalandtheyformthebasisoftheILO1998DeclarationofFundamentalPrin-

ciplesandRightsatWork.TheseeightconventionsunderpinthefourUnitedNationsGlobalCompactLabourPrinciples,seeA/HRC/14/27and

www.unglobalcompact.org/labour.

24.http://www2.ohchr.org/english/law/index.htm#core(accessed15April2011).

25.SeeGeneralAssemblyresolution64/223(para.14).


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forinstance:

TheUnitedNationsGlobalCompact;

OECDGuidelinesforMultinationalEnterprises; ILOTripartiteDeclarationofPrinciplesconcerningMultinational

EnterprisesandSocialPolicy;26

TheEthicalTradingInitiative;

TheFairLabourAssociation;

TheGlobalNetworkInitiative;

TheKimberleyProcess;

TheVoluntaryPrinciplesonSecurityandHumanRights(ExtractiveSector).

ExamPLES Of COrPOraTE POLICy STaTEmENTS:

Genel stteents o hn ights coitent

ABB is committed to developing an organizational culture which implements a policy of support for internation-

ally recognized human rights and seeks to avoid complicity in human rights abuses. We support the principles

containedwithintheUniversalDeclarationofHumanRights,theOECDGuidelinesforMultinationalEnterprises

andtheILOCoreConventionsonLabourStandards.abb

Respectandprotectthefundamentalhumanrights,asstatedintheUniversalDeclaration[of]HumanRightsof

theUN,aswellasthedignityoftheindividualsworkinginitsoperations.Coelco

[TheMitsubishiCorporation]embracesandcomplieswithinternationalconventionsonhumanrights.These

conventionsincludetheUniversalDeclarationofHumanRights,FundamentalILOConventionsandVoluntary

Principles on Security and Human Rights. mitsishi

[.]Werespectinternationalhumanrightsprinciplesaimedatpromotingandprotectinghumanrights,

includingtheUnitedNationsDeclarationofHumanRightsandtheInternationalLabo[u]rOrganizations

DeclarationonFundamentalPrinciplesandRightsatWork,andweactivelyparticipateintheUnitedNations

Global Compact. The Coc-Col Copn

Coitents to sppot hn ightsSomecompaniesalsoelaborateonthecompanyscommitmenttosupporthumanrights,i.e.,

tomakeapositivecontributiontohumanrights.Thisisencouraged.Note,however,thatthe

responsibilitytorespectisabaselineexpectation,andacompanycannotcompensateforhu-

manrightsharmbyperforminggooddeedselsewhere. 27Sosuchcommitmentsshouldcomple-

ment,andnotpurporttosubstitutefor,provisionsimplementingthecompanysresponsibility

torespectinternationalhumanrights.


Wedoencouragethecreationofeducation,trainingorapprenticeshipprogram[me]stiedtoformaleduca-

tion of young people.alco

We encourage our employees to fully utilize their potential by offering ample training and education opportu-

nities. be

an oveview o the steps tken to evelop the policOftenaccompanyingthehumanrightspolicyorpositionstatementisanoutlinebythecompany

ofthepolicysscopeandthestepsithastakentodevelopthepolicy/positionstatement.Overviews

ofthiskinddonotusuallygointomuchdetailbutsimplysummarizesomeoftheprocessesthe

companyhasundertakentodevelopthepolicy,forexample,ifitappointedacross-functional

team,ifanypolicymappingexercisewascarriedoutorhowitconsultedstakeholders.

26.Availablefromwww.ilo.org/empent/Whatwedo/Publications/lang--en/docName--WCMS_094386/index.htm(accessed15April2011).

27.Clearly,companiesmayundertakeadditionalcommitmentsvoluntarilyorasamatterofphilanthropy.[]Theseareworthyendeavours

thatmaycontributetotheenjoymentofhumanrights.Butwhatitisdesirableforcompaniestodoshouldnotbeconfusedwithwhatis

required[],namelytorespecthumanrightsthroughoutitsoperationsandrelationships(A/HRC/11/13).


17/28

17


Senio ngeent leeship n coss-nctionl tsk oces

TheimportanceascribedtohumanrightsbyEniisalsodemonstratedbythefactthattheCEO

has adhered to the initiative promoted by the High Commissioner for Human Rights as well as by theGlobalCompactdocumentdraftedatthetimeofthesixtiethanniversaryoftheUniversalDeclarationof

Human Rights. Eni

[Yahoo!]haslaunchedaBusiness&HumanRightsProgram[me].Thisprogram[me]bringstogetheracore

team of professionals across the company, including Public Policy, Law Enforcement, Ethics & Compliance,

InternationalLegal,PublicAffairs,Privacy,Paranoids[sic],IT,Yahoo!ForGood,andtheOperationsteams,

among others, to integrate human rights decision-making into all of our business operations.yhoo!

Hman rights mapping exercises

This commitment follows an expert third-party review of our business to understand the extent to which ANZ

policies and practices are meeting the requirements of these standards, with a particular focus on human

rights. The review assessed ANZs performance against guidelines set out in global human rights instru-

ments[].ItfoundthatANZcompliedwith,andinmanycasesexceeds,mostcriteriainAustraliaandNew

Zealand[].Thereviewalsofoundmoreworkwasrequiredtounderstandandmitigatehumanrightsrisksin our supply chain, our lending decisions in our institutional business and our operations and partnerships

inAsia,PacicandIndia.[].aNZ bnk

Stkehole conslttion

We listen to the views of our stakeholders. For customers, shareholders, employees and suppliers we have

formalwaysofdoingthis[including]specicmechanisms[]toencourageopenfeedback.Wehaveengaged

ouremployees[]throughourrepresentationcommittees,knownasBusinessInvolvementGroupsandcar-

riedoutananonymoussurveytogaugetheirviews.[]Duringthelastyear,wecarriedoutdetailedresearch

withourcustomers.[]WealsohadregulardiscussionswithGovernment,regulators,communitypartners,

tradeassociationsaswellasenvironmental,humanrightsandanimalwelfaregroups[].CSR[corporate

socialresponsibility]isconstantlyevolvingasexpectationschangeandnewissuesemerge.Thismeansthat

whilstourapproachtoCSRisunderpinnedbyacoresetofvalues,italsohastobeadaptableandexible.

mks & Spence

Othe isses elte to scope tht the polic ess


Setting onies n hn ights pioities

OneofthemostsignicantandmultifacetedchallengesfacingAngloGoldAshantiisthatofartisanaland

small-scalemining(ASM).ItisamaterialissueatthecompanysoperationsinGhana,Guinea,[theUnited

Republicof]TanzaniaandtoalesserextentMaliaswellastheexplorationsitesinColombiaandthe

DemocraticRepublicof[the]Congo.angloGol ashnti

A particular challenge for any business of our size and scale is drawing the boundaries of responsibility.

We do not believe that it is appropriate for AstraZeneca to promote proactively individual rights and

freedomsmorewidelyinsocietythandescribedabove,butwebelievethatwecan,anddo,inuenceothers

throughleadingbyexample.[]TheRighttoHealthdebateinsomequartersallocatesaccountabilitiesto

both Governments and pharmaceutical companies. We believe that in this context, it is Governments who are

accountableforprovidingarobusthealth-careinfrastructurefortheirpopulations[].AstraZenecanever-

thelessrecognizesthatwehaveaparttoplay[].astZenec

We believe our main responsibilities lie in a number of critical areas: employee rights, the right to access

nanceforvulnerableanddisadvantagedmembersofthecommunityandtheriskofhumanrightsviolations

within our supply chain. The Westpc Gop

Legl jisiction isses

We are committed to comply with effective law. This also applies if, in some countries, the resources or the

This Statement draws together the policies, principles and standards to be adopted by all parts of the

Barclays Group.... Where local legislation imposes more rigorous requirements, Group operations in those


18/28


countries must ensure that they comply with such requirements while having regard to the content of

this Statement. bcls

We are committed to comply with effective law. This also applies if, in some countries, the resources or thepolitical will to implement and enforce applicable law are lacking...

Asaresponsibleemployer,weintheBASFGroupstrictlyupholdtheILOcorelabo[u]rstandardsaslong

as this is not explicitly prohibited by applicable law.

Iftheimplementationofinternationalconventionsisrestrictedbynationallaw,wedevelopinnovative

approaches to adhere in our actions to the principles underlying the internationally recognized standards.

For example, we have developed suitable solutions for a dialogue in locations where the employees right

to elect employee representatives is restricted. In these cases we discuss with employee representatives topics

ofcommoninterestattheregionallevel[].baSf

appling the polic:

[W]erecogni[z]ethatachievingthesestandardspresentsuniquechallengesindifferentpartsoftheworld.Going

forward together with our suppliers, our intention is to drive towards the adoption of these, or comparable

standards by our suppliers for their own operations, and those of their suppliers in turn. digeo

WithOurDirectBusinessPartners:IncorporatingappropriateprinciplesofTheSpirit&TheLetterintocon-

tracts with suppliers, business partners and distributors. Monitoring adherence by key suppliers in emerging

marketstoenvironmental,healthandsafetystandards,prohibitionsagainstforcedandchildlabo[u]r,andlocal

wage and hour laws. Evaluating human rights issues involving our direct business partnersparticularly in

emerging marketsand considering practical responses within the relevant context. Advancing application of

theILODeclarationthroughengagementandcollaboration.GE

[]WeseektoestablishrelationshipswithentitiesthatsharethesameprinciplesandvaluesasVale.Wealso

promote human rights awareness and respect along our value chain, including the adoption of legal contractual

clauses. In the event of disrespect to human rights, duly proven by government authorities and mechanisms

provided by legislation, we notify the supplier/partner or the customer so they may adopt corrective measures

and, in cases in which such measures are not taken, we then are entitled to rescind the respective commercial

relationship.Vle

STEP 2: Povisions on hn ights o wokes

Humanrightspolicies/positionstatementsincludeprovisionsonemploymentorworkplace

rights.Forbiggercompaniestheseissuesmayalreadybecoveredunderexistingemployee

codesofconduct;thepolicy-mappingexercisereferredtointheGettingStartedsectionabove

shouldhelpidentifyanygaps.

Thelevelofdetailacompanygoesintowillvary.Someofferashortsentenceonkeylabour

rightsissuesthatoutlinetheircommitment.Othersreferstakeholderstocompanyliterature,

suchascodesofconduct,whereadditionaldetailistobefound.Somecompaniespublicly

disclosemorethanothers.

Moredetailedprovisionsmaybeneededforsomerightsifthermoperatesincountrieswhere

aparticularrightisknowntobeatspecialrisk,oriftheindustryfacesauniquerightschal-

lenge.Forexample,retailrmswithoperationswherechildlabourisprevalentmayhavemore

detailedchildlabourprovisionsthanrmsforwhomtheriskofchildlabourislow.


19/28

19

Keyhumanrights-relatedareasregularlycoveredinhumanrights

policydocumentationinclude:

Non-discrimination Equality

Childlabour/minimumageworkers/worstformsofchildlabour

Forced/bonded/compulsorylabour

Freedomofassociation/collectivebargaining

Healthandsafety

Workingconditions-includingworkinghours

Fairwages/compensation

Noharshordegradingtreatment/harassment

Accessibilityforpersonswithdisabilities

Maternityprotection

Righttostrike

rESOurCE TIP:TheILOTripartiteDeclarationofPrinciplesconcerningMultinationalEnterprisesandSo-

cial Policy provides guidance to companies on human rights at work and is a valuable resource for companiesdevelopingahumanrightspolicy.ILOhasdevelopedaresourceplatformspecicallyforbusiness:www.ilo.

org/[email protected].


Non-isciintion

TheFortuneGlobal500surveyandreportonbusinessrecognitionofhumanrights28intoover

300companiesconductedbytheUnitedNationsSpecialRepresentativeduringhisrstmandate

bothfoundthatover90percentofcompaniesalreadyhadpoliciesaddressingdiscrimination.

We respect each individuals human rights and will not discriminate on the basis of race, colour, religion,

creed, sex, age, social status, family origin, physical or mental disability or sexual orientation, nor will we

commit other violations of human rights. Such discrimination will not be tolerated. We will be resolute in

upholding human rights in everything we do and will not tolerate such discrimination in others. Ignorance

and inaction do not constitute excuses for discrimination. fjits

We provide equality of opportunity and treatment for the purposes of eliminating discrimination based on

race, colour, gender, sexual orientation, gender identity, religion, political opinion, nationality, social origin

and status, indigenous status, disability, age or other status of individuals unrelated to the individuals ability

to perform work. Ntionl Gi

Chil lo

AsperChileanlawandconventionsratiedbyChile,childrenunder18arenotallowedtoworkinoperations

or jobs requiring excessive force, nor in activities that may be hazardous to their health or safety. Those under

21yearsrequirepre-employmentmedicalexaminationstoworkinundergroundmines.[]Codelcoadheres

totheprinciplesestablishedintheConventionontheRightsoftheChildoftheUnitedNations,andinConven-

tion138oftheILO.Coelco

Childlabourisnotused.Thereisnorecruitmentofchildlabour.Ifanyincidenceofchildlabourisidentied

in the suppliers industry and region, the supplier shall initiate, or participate in, a programme to transfer

any children involved in child labour into quality education until they are no longer children.

No one under eighteen years old is employed at night or in hazardous work or conditions.

InthisCode,childmeansanyoneunderfteenyearsofage,unlessnationalorlocallawstipulatesahigher

mandatory school leaving or minimum working age, in which case the higher age shall apply; and child la-

bourmeansanyworkbyachildoryoungperson,unlessitisconsideredacceptableundertheILOMinimum

AgeConvention1973(C138).Pentln Gop plc

28.A/HRC/4/35/Add.4.


20/28


foce/one lo

Freelychosenemployment:Ensurenoforced,bondedorinvoluntaryprisonlabo[u]risusedintheproduction

of HP products or services. Ensure that the overall terms of employment are voluntary. HP

Business partners must not use forced labour, whether in the form of prison labour, indentured labour, bond-

ed labour or otherwise. No employee may be compelled to work through force or intimidation of any form, or

as a means of political coercion or as punishment for holding or expressing political views.ais

feeo o ssocition/collective gining

The Company respects our employees right to join, form or not to join a labour union without fear of

reprisal, intimidation or harassment. Where employees are represented by a legally recognized union, we are

committed to establishing a constructive dialogue with their freely chosen representatives. The Company is

committed to bargaining in good faith with such representatives. Coc-Col Copn

We are committed to an open and constructive dialogue with our employees and, if applicable, with their rep-

resentatives.Ouremployeesarefreetojoinorganizationsoftheirchoicethatrepresentthemconsistentwith

local organizing laws. These organizations may if recognized as the appropriate agent engage in collective

bargaining according to the applicable legal regulations. Employees who act as representatives are neitherdisadvantaged nor favoured in any way. In locations where employees have decided not to appoint represen-

tatives, we promote direct and open communication between employees and management.ais

Allworkersshallhavetherighttoformandjointradeunions.(ILOConvention87)WhereUNIafliates

represent the workers employed in companies owned by Telefnica and its subsidiaries the company shall

recogni[z]etherightofunionstorepresentsaidworkersin:

(a)Collectivebargaining.(ILOConvention98)Ontheirpartunionswillagreetonegotiateingoodfaith,are

awareofthenecessitytondthebestpracticeswhichguaranteethedevelopmentofthecompaniesand

their viability, which eventually is the best guarantee of the employment of the workers.

(b) Any procedures settlement of disputes.

(c) Negotiations and consultations in all matters affecting jobs and training.

(d) Where no trade union exists, the company shall adopt a neutral view and shall not prevent workers

fromorgani[z]ing.Itshallalsorespecttherightoftradeunionstoorgani[z]eemployees.

uNI-Telenic Coe o conct

Health and safety

Balfour Beatty regards high standards of safety and health as a cornerstone of a successful business. You have

a clear duty to take every reasonable precaution to maintain a safe and healthy working environment in

order to avoid the possibility of injuring yourself or putting at risk those with whom you work and members

of the public. Strict adherence to the Groups Health & Safety Policy is expected of every employee.blo

bett

We believe that all injuries and occupational illnesses, as well as safety and environmental incidents are

preventable,andourgoalforallofthemiszero.Wewillpromoteoff-the-jobsafetyforouremployees.Our

commitment is set forth in the DuPont Safety, Health, and Environmental Commitment.dPont

Woking conitions, incling hos

We will treat all employees fairly and honestly regardless of where they work. All staff will have a written

contract of employment, with agreed terms and conditions, including notice periods on both sides. All staff are

entitled to reasonable rest breaks, access to toilets, rest facilities and portable water at their place of work, and

holiday leave in accordance with the legislation of the country where they work. All employees are provided

with appropriate job skills training. Tesco


21/28

21

BasedontheEthicalTradingInitiativeBaseCode[]workinghourscomplywithnationallawsandbench-

mark industry standards, whichever affords greater protection; in any event, workers are not on a regular

basisrequiredtoworkinexcessof48hoursperweekandareprovidedwithatleastonedayoffforevery

7-dayperiodonaverage.Overtimeisvoluntary,doesnotexceed12hoursperweek,isnot[to]bedemandedon a regular basis and is always being compensated at a premium rate. monsoon accessoize

fi wges/copenstion

Togiveworkersremunerationwhichsatisestheirbasicneedsandthoseofthemembersoftheirfamilywho

are directly dependent on them. Ceo

Wewillonlydobusinesswithvendorswhopayemployees,asaoor,atleasttheminimumwagerequiredby

local law or the prevailing industry wage - when available, whichever is higher, and who provide all legally

mandatedbenets.Employeesshallbecompensatedforovertimehoursattherateestablishedbylawinthe

country of manufacture or, in those countries where such laws do not exist, at a rate at least equal to their

regular hourly compensation rate. Phillips-Van Hesen

No harsh or inhman treatment/Harassment

The IKEA supplier shall not engage in or support the use of corporal punishment, threats of violence or otherforms of mental or physical coercion. The IKEA supplier shall not make use of public warning and punish-

mentsystems.[]TheIKEAsuppliershallnotengage,supportorallowanyformofharassmentorabusein

theworkplace.[]Harassmentcanbeanyoffensiveact,commentordisplaythathumiliates,insultsorcauses

embarrassment,oranyactofintimidationorthreat[].IKEa

Employees of a Tata company shall be treated with dignity and in accordance with the Tata policy of main-

taining a work environment free of all forms of harassment, whether physical, verbal or psychological.

Tt Gop

[TheCompanyis]opposedtoviolentbehavio[u]r,sexualharassmentorpowerharassment. CNOOC Lt

KEy rEadINGS TheILOTripartiteDeclarationofPrinciplesconcerningMultinationalEnterprisesandSocial

Policy

TheLabourPrinciplesoftheUnitedNationsGlobalCompact:AGuideforBusiness,ILO-UnitedNations

GlobalCompact,2008(reprint2010)

RulesoftheGame.AbriefintroductiontoInternationalLabourStandards,ILO,Department

ofInternationalLabourStandards,Geneva,2009(rev.ed.)

ILOHelpdeskforBusinessoninternationallabourstandards(www.ilo.org/business)

GuidingPrinciplesonBusinessandHumanRights:ImplementingtheUnitedNationsPro-

tect,RespectandRemedyFramework(A/HRC/17/31)

STEP 3: Povisions on non-lo elte ights issesEachcompanywillneedtodetermineforitselfwhichgivenhumanrightsmayneedtobe

prioritizedwhetherbecausetheyposeuniquechallengestothecompanysindustryandits

relationshipsorbecausethecompanydoesbusinessinoneormorehigh-risklocationsand

whetherthesemeritaspecicpolicyprovision.Atthesametime,itisimportanttonotethat

eveniftheparticularoperatingconditionsofacompanymeanthatsomerightsareatgreater

risksthanothers,theresponsibilitytorespectappliestoallinternationallyrecognizedhuman

rights.Thus,whilenotallhumanrightsissuesmaymeritspecicpolicyprovisionsatagiven

pointintime,thepolicyshouldneverthelessstressthecompanyscommitmenttorespectall

humanrights.Toraiseawarenessinternallythathumanrightsrisksmaychangeassituations

evolve,thepolicyshouldalsostipulatethatitwillbesubjecttoreviewifproveninadequate

throughthecompanysongoinghumanrightsduediligenceprocess.


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Companiesdonotalwaysusehumanrightslanguagetodescribepolicyprovisionsthataddress

non-labourrightsissues,forexamplecompanysecurityarrangementsmayimpactontherights

tolifeandsecurityofpersons,butwillnormallybelistedbythecompanyasapolicyonsecu-

rityarrangements,ratherthanapolicyontherighttolife.

rESOurCE TIP: The publication Human Rights Translated: A Business Reference Guide is also a

recommended resource.


Secit

It is the policy of Cerrejn to maintain its relationship with Private Security Companies and the legally

constituted State Security Forces, within the highest standards or practices and with the greatest transparency

possible,thusdevelopingcorporatebehaviourinaccordancewiththeVoluntaryPrinciples;forthisreasonit

trainsthemandkeepsthemabreastofmattersofHumanRights[...].Ceejn

We only allow armed security when required by law or when considered that there is no other way to manage

securityrisks.Allarmedguardsmustmeetourstandards,basedonUNguidelinesandconventionsontheuse

offorceandtheVoluntaryPrinciplesonSecurityandHumanRights.Armedguardsmustrsttrytoresolvea security incident without using force. If this fails then they should only use the minimum force needed and

offer help to anyone including offenders injured as a result. Shell

Inigenos Peoples/Titionl/Ln ights

[We]haveregardtotheprinciplesofILOConventionNo.169onIndigenousandTribalPeoples,wherever

our operations may impact the human rights of indigenous peoples. bG Gop

TheCompanyrecogni[z]esandrespectstheimportanceofindigenouspeoplesculture,heritageandtradi-

tionalrightsandsupportstheidentication,recording,managementandprotectionofindigenouscultural

heritage sites. BHP Billiton

Clinicl tils

We put safeguards in place to ensure that the human rights of people taking part in our clinical research

are protected. This includes the informed consent process and procedures to protect patient privacy. We are

especially careful to protect the rights of any children involved in our clinical trials. GSK

Engaging with Government Ofcials/Advocacy

Yahoo!hasbeenandwillcontinueworkingtosecurethereleaseofcertainpoliticaldissidentsthrough

ongoingdiscussionswithhigh-ranking[UnitedStates]andChineseofcials,congressionalleaders,human

rights groups, and the State Department.yhoo!

We reserve the right to express to Governments our position concerning our operations, employees and

shareholders and our belief in the importance of respecting human rights. Totl

mignt wokes


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23

Migrant workers shall have exactly the same entitlements as local employees. Any commissions and other fees

in connection with employment of migrant workers must be covered by the employer. The employer must not

requiretheemployeetosubmithis/heridenticationdocuments.Depositsarenotallowed.Workersemployed

through an agent or contractor are the responsibility of H&Ms supplier and other business partners, and arethus covered by this Code. H&M

Sel eploittion o chilen

Marriottcondemnsallformsofexploitationofchildren.TheCompanydoesnotrecruitchildlabo[u]r,and

supportstheeliminationofexploitativechildlabo[u]r.Marriottalsosupportslawsdulyenactedtoprevent

and punish the crime of sexual exploitation of children. Marriott will work to raise awareness concerning

such exploitation, and will cooperate with law enforcement authorities to address any such instances of

exploitation of which the Company becomes aware.

Marriotthasalonghistoryofsupportingprogram[me]sandpartnershipsthathelpat-riskyoungpeopleand

theirfamiliesprepareforandndmeaningfulemployment[and]program[me]sthathelpchildrenbreakout

of the cycle of poverty that makes them and their families vulnerable. miott

KEy rEadINGS GuidingPrinciplesonBusinessandHumanRights:ImplementingtheUnitedNations

Protect,RespectandRemedyFramework(A/HRC/17/31)

Business&HumanRightsResourceCentrewebsite:www.business-humanrights.org/

Documents/Policies


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Developingahumanrightspolicyisonlytherststepforacompanytoknowandshowthatitrespectshumanrights.Embeddingitthroughouttherelevantprocessesandproceduresofthe

companyisnecessarytoensureitseffectiveimplementation.

Aproperlyembeddedhumanrightspolicywillguidethehumanrightsduediligenceprocess

thatisnecessaryforacompanytoknowandshowthatitrespectshumanrights.Ahuman

rightsduediligenceprocesscomprisesthefollowingelements:

(a)Anassessmentofthecompanyshumanrightsimpacts;

(b)Integrationoftheassessmentsndingsacrossrelevantinternalfunctionsandprocesses

inordertoensurethatactualorpotentialadversehumanrightsimpactsareeffectively

preventedandmitigated;

(c)Trackingtheeffectivenessoftheresponsetoactualorpotentialadversehumanrights

impacts;

(d)Beingpreparedtocommunicatehowhumanrightsimpactsareaddressed;and(e)Providingfororcooperatingintheremediationofnegativehumanrightsimpacts

thecompanyhascausedorcontributedto.

Duediligencestepssuchasthesewillusuallyalsoyieldinformationabouttheopportunities

acompanymayhavetosupporthumanrights.

Theseandtheothermanagementactionsbusinesscantaketorespectandsupporthuman

rightsarereectedintheposter:AHumanRightsManagementFramework.Thekeyreadings

boxesinthisGuideagotherpublicationsthatcanhelp.

Thekeyistoensurethatthehumanrightspolicybecomesmorethanjustapieceofpaperthat

noonelooksat.Havingapolicyanddoingnothingtoimplementitcanpotentiallybeworse

thanhavingnopolicyatall.Failingtoact,oractinginadequately,incontradictionwitha

policy,canopenacompanytocriticismfromawidevarietyofsources,notjusthumanrights

NGOsbutalsothosewholookattheintegrityofitscorporategovernance.Implementationis

thereforecritical.

Ke points to consie when oving towsipleenttion o the hn ights polic

assessing ipcts

Undertakingahumanrightsbaselinestudyforthebusiness,includingcountry-riskanalyses.

Undertakingahumanrightsimpactassessmentatthepre-feasibilitystageofanymajor

projectwiththepotentialtonegativelyimpacthumanrights,fornewoperations,andonan

ongoingbasis,ashumanrightsrisksmaychangeovertime.Someoperatingcontexts,such

asconict-affectedareas,willrequireadditionalattention.Aspartoftheirhumanrightsap-

proach,companiesneedtoconsultpotentiallyaffectedgroupsandotherstakeholdersin

ameaningfulway.

Integting hn ights thoghot the copn

Integratingandactingonthendingsoftheimpactassessment.

Engaginginongoingstakeholderconsultationtobuildrelationshipsacrossthe

companyandwithexternalgroups.

Reviewingcompanytrainingtoincludehumanrightscriteriaasappropriateand

identifyingtargetgroupsthatmayneedadditionallearningsupport.

Embeddinghumanrightsintomanagementsystems,includingresponsibilitiesin

jobdescriptionsandperformanceappraisals.

Integratinghumanrightsintothecompanysinternalandexternalcommunications,e.g.,

6. Next Steps - Path to Implementation


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IntranetorWeb2.0systems,toensurerelevantstakeholdersunderstandthepolicyand

businessimplicationsofnotadheringtoitorfailingtoactonimpactassessmentndings.

Tcking peonce Identifyingindicatorsformeasuringhumanrightsperformance,developingandimplement-

ingsystemsforacquiringqualitativeandquantitativedata,drawingonbothinternaland

externalfeedback,includingfromaffectedstakeholders,andreviewingthendingstoin-

formfuturestrategy.

Conicting on how ipcts e esse

Communicatingoncommitments,targetsandperformance(throughtheGlobalCompact

CommunicationonProgressforUnitedNationsGlobalCompactparticipants).Thecommuni-

cationshouldbeofaformandfrequencythatreecttheenterpriseshumanrightsimpacts

andthatareaccessibletoitsintendedaudiences.

Thecommunicationshouldprovideinformationthatissufcienttoevaluatetheadequacy

ofanenterprisesresponsetotheparticularhumanrightsimpact.

reeition Ifacompanyndsthatithascausedorcontributedtonegativehumanrightsimpacts,itis

expectedthatitengagesactivelyinremediation.

Thecompanyshouldprovidefororcooperateintheremediationofsuchimpactsthrough

legitimatemechanisms.

Establishingorparticipatinginoperational-levelgrievancemechanismscanbeaneffective

meansofprovidingaccesstoremedyforindividualsandcommunitiesthatmaybeadversely

impactedbythecompanysactivitiesifthesemechanismsmeetcertaincriteria.29

KEy rEadINGS GuidingPrinciplesonBusinessandHumanrights:ImplementingtheUnitedNations

Protect,RespectandRemedyFramework(A/HRC/17/31).

A Guide to Integrating Human Rights into Business Management,BLIHR,UnitedNations

GlobalCompactandOHCHR,2nded.,2010.

A Human Rights Management Framework (Poster), BLIHR,InternationalBusinessLeadersForum,

UnitedNationsGlobalCompactandOHCHR,2010.

Human Rights Compliance Assessment,DanishInstituteforHumanRights(online).

Guide to Human Rights Impact Assessment and Management, InternationalBusinessLeadersForum,

InternationalFinanceCorporationandUnitedNationsGlobalCompact,http://guidetohria.

org/guide.

Human Rights and Business Dilemmas Forum:http://human-rights.unglobalcompact.org.

UnitedNationsGlobalCompactGuidance:www.unglobalcompact.org/Issues/human_rights/

Tools_and_Guidance_Materials.html.

29.SeeA/HRC/17/31,guidingprinciples29-31.


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HuMAn riGHTs PoliCies or sMAll And

MediuM-sized enTerPrises

The universal baseline expectation that companies should respect human rights

applies to all companies regardless o size. Many o the legal pressures and some,

though not all, o the commercial drivers or respecting human rights apply equally to

big and small companies. For companies to show respect or human rights requires

due diligence, o which a human rights policy is only the rst step. How companies go

about this in practice will depend considerably on the resources available, as well as

the level o the companys risk o negatively impacting human rights.

It is not unusual or multinational companies to have ormal policies and procedures

to ensure that non-nancial issues like human rights are properly addressed company-

wide, including across unctions and business units, whereas such policies are rare or

non-existent among small to medium-sized enterprises (SMEs). Human rights, how-

ever, are a new consideration even or many large companies and in the absenceo a uniorm denition or regulation governing human rights policies, SMEs and

multinationals alike can draw upon examples in this Guide to help develop a policy or

position statement that is best suited to their own circumstances.

SMEs are reminded that many larger rms human rights policies oten started as

statements a ew paragraphs long; this may be the best model. In developing a human

rights policy specic to their needs and situation, SMEs could check that their human

rights policy/position statement shows that they have:

Givenoverallresponsibilityforthepolicytoaseniorgureinthecompany;

Takenstepstounderstandthehumanrightsissuesthatmightberelevant

(human rights ocus);

Involvedcolleaguesfromalldepartmentsorteams;and

Talkedwithandlistenedtotheirstakeholders,possiblyincludingthosethatmaybeaected by company activities.

And that the human rights policy or statement at a minimum has a sentence that is:

Anexplicitcommitmentbythecompanytorespectinghumanrightsthatrefersto

international human rights standards (including the Universal Declaration o Human

Rights).


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HuMAN RIGHTS

Businessesshouldsupportandrespecttheprotectionof

internationallyproclaimedhumanrights;andmakesurethattheyarenotcomplicitinhumanrightsabuses.

LabOur

Businessesshouldupholdthefreedomofassociationandthe

effectiverecognitionoftherighttocollectivebargaining;theeliminationofallformsofforcedandcompulsorylabour;theeffectiveabolitionofchildlabour;and

theeliminationofdiscriminationinrespectofemploymentandoccupation.

ENVIrONmENT

Businessesshouldsupportaprecautionaryapproachto

environmentalchallenges;undertakeinitiativestopromotegreaterenvironmental

responsibility;andencouragethedevelopmentanddiffusionof

environmentallyfriendlytechnologies.

aNTI-COrruPTION

Businessesshouldworkagainstcorruptioninallitsforms,includingextortionandbribery.

Principle1

Principle2

Principle3

Principle4Principle5

Principle6

Principle7

Principle8

Principle9

Principle10

TheTenPrinciplesoftheUnitedNationsGlobalCompact