List of documents prepared by and submitted to SRSG on Business and Human Rights As of 10 AUGUST 2010 Introduction

In addition to the official reports that the SRSG has submitted to the Human Rights Council (HRC) since his appointment in 2005,1 he has sought to engage the broader business and human rights community directly. He views knowledge-sharing as one important means of advancing the business and human rights agenda, and to this end arranged early on for the creation of a public website providing access to all relevant documentation. The SRSGs website is accessible at: http://www.businesshumanrights.org/SpecialRepPortal/Home, and is updated on a regular basis. The SRSG is grateful to the Business and Human Rights Resource Centre for administering the website. In addition the SRSG has launched two further websites related to his work. The first, launched in December 2008, is BASESwiki (www.baseswiki.org) an online resource focused on the non-judicial mechanisms available around the world to help companies and their external stakeholders resolve disputes. It is a global, interactive forum where anyone can share, access and discuss information about these mechanisms and the resources and experts that can support their use. The second, launched in 2009, is an online forum open to all stakeholders for dialogue and engagement on the corporate responsibility to respect human rights, the second pillar of the Protect, Respect and Remedy Framework the SRSG proposed, and the HRC unanimously welcomed, in 2008 for moving the business and human rights agenda forward see below for more detail. The forum is available at: http://www.srsgconsultation.org/. This briefing note includes all documentation prepared by or for the SRSG to date. In addition to the SRSGs official reports, it also includes briefing papers prepared by the SRSGs research team as well as submissions from a variety of different stakeholders. The documents are divided into the following groupings: (1) official documents (reports and annexes) submitted by the SRSG to the HRC; (2) the analyses conducted by the SRSGs team on the subject of state responsibilities to regulate and adjudicate corporate activities under the United Nations core human rights treaties; (3) documentation related to consultations held by the SRSG; (4) general briefing papers and submissions prepared by or to inform the SRSG; and (5) correspondence with non-government organizations (NGOs). Documents are provided in chronological order where appropriate and official UN document numbers are included where available. Internet links to the English version of each document are also listed.2 Speeches, interviews and press releases are not generally included but can be found on the SRSGs website.

Human Rights Resolution 2005/69, available at: http://ap.ohchr.org/documents/E/CHR/resolutions/ECN_4-RES-2005-69.doc. 2 In case of problems accessing any of the internet links, please contact Ms. Lene Wendland in the Office of the United Nations High Commissioner for Human Rights at lwendland@ohchr.org.

(1) Official documents: reports and annexes

The SRSG has reported five times to the HRC in 2006, 2007, 2008, 2009 and 2010. All documents formally submitted to the HRC to date are listed below, as well as the SRSGs presentations of his reports to the Council and responses from state delegations. Press articles and other media commentary on the SRSGs reports are not included but are available on his website. Feedback from NGOs and corporations is not featured here but is set out in sections 4(c) and 5 below. On 18 June 2008, the HRC adopted, without a vote, a resolution extending the SRSGs mandate until June 2011. Resolution A/HRC/RES/8/7 is available at: http://ap.ohchr.org/documents/E/HRC/resolutions/A_HRC_RES_8_7.pdf. A major part of this resolution was that the HRC welcomed the Protect, Respect and Remedy policy framework the SRSG had proposed for better managing business and human rights challenges. Now widely referred to as the UN Framework, it rests on three pillars: the State duty to protect against human rights abuses by third parties, including business, through appropriate policies, regulation, and adjudication; the corporate responsibility to respect human rights, which means to act with due diligence to avoid infringing on the rights of others; and greater access by victims to effective remedy, judicial and nonjudicial. In its 2008 resolution, the HRC extended the SRSGs mandate with two main tasks: operationalizing the UN Frameworkthat is, providing concrete guidance and recommendations to States, businesses and other actors on the practical meaning and implications of the three pillars and their interrelationships; and promoting the Framework, through coordinating with relevant international and regional organizations as well as other stakeholders. A short summary of the UN Framework is available at: http://www.reports-and-materials.org/Ruggie-protect-respect-remedy-framework.pdf. Readers should look at the SRSGs official HRC reports from 2008 onwards for more detail. Feedback from other stakeholders on the Framework is available in consultation reports as well as submissions since the Framework was proposed.

Name of Document 2006 Official reports Interim report of the SRSG

Official Doc Number E/CN.4/2006/97

Date

Internet link

22 Feb, 2006

Interim report: http://ap.ohchr.org/Documents/d page_e.aspx?si=E/CN.4/2006/97 SRSGs statement to HRC introducing his interim report: http://www.reports-andmaterials.org/Ruggie-statementto-UN-Human-Rights-Council-25Sep-2006.pdf Discussion of the interim report by the HRC: http://www.reports-andmaterials.org/UN-Human-RightsCouncil-discussion-of-Ruggieinterim-report-25-26-Sep2006.doc Video clips of discussion at the HRC:

http://www.un.org/webcast/unhr c/archive.asp?go=060925 http://www.un.org/webcast/unhr c/archive.asp?go=060926

2007 Official reports Main report: Business and Human Rights: Mapping International Standards of Responsibility and Accountability for Corporate Acts

A/HRC/4/035

9 Feb, 2007

Main report: http://ap.ohchr.org/Documents/d page_e.aspx?si=A/HRC/4/35 SRSGs statement to the HRC: Video available at http://www.businesshumanrights.org/Documents/Rug gieHRC2007 Responses by governments: http://www.reports-andmaterials.org/Govt-comments-reJohn-Ruggie-report-28-Mar2007.doc SRSGs responses to questions from governments: Video available at http://www.businesshumanrights.org/Documents/Rug gieHRC2007

Addendum 1: State responsibilities to regulate and adjudicate corporate activities under the United Nations core human rights treaties: an overview of treaty body commentaries Addendum 2: Corporate responsibility under international law and issues in extraterritorial regulation: summary of legal workshops Addendum 3: Human Rights Policies and Management Practices: Results from questionnaire surveys of Governments and Fortune Global 500 firms Addendum 4: Business recognition of human rights: Global patterns, regional and sectoral variations

A/HRC/4/35/Add.1

13 Feb, 2007

http://ap.ohchr.org/Documents/ dpage_e.aspx?si=A/HRC/4/35/A dd.1

A/HRC/4/35/Add.2

15 Feb, 2007

http://ap.ohchr.org/Documents/ dpage_e.aspx?si=A/HRC/4/35/A dd.2

A/HRC/4/35/Add.3

28 Feb, 2007

http://ap.ohchr.org/Documents/ dpage_e.aspx?si=A/HRC/4/35/A dd.3

A/HRC/4/35/Add.4

8 Feb, 2007

http://ap.ohchr.org/Documents/ dpage_e.aspx?si=A/HRC/4/35/A dd.4

Companion report: Human rights impact assessments - resolving key methodological questions

A/HRC/4/74

5 Feb, 2007

http://ap.ohchr.org/Documents/ dpage_e.aspx?si=A/HRC/4/74

2008 Official reports Main report: Protect, Respect and Remedy: a Framework for Business and Human Rights

A/HRC/8/5

7 April, 2008

Main report http://www.reports-andmaterials.org/Ruggie-report-7Apr-2008.pdf SRSGs presentation to the Human Rights Council: http://www.businesshumanrights.org/Documents/Ru ggie-Human-Rights-Council-3Jun-2008.pdf State responses to presentation See generally: http://www.unog.ch/unog/webs ite/news_media.nsf/(httpNewsB yYear_en)/7A26BE393B4820AB C125745D005B84DE?OpenDocu ment SRSGs response to State questions: Same as above SRSGs presentation on mandate review http://www.reports-andmaterials.org/Ruggie-statementmandate-review-5-Jun-2008.doc State responses to presentation See generally: http://www.unog.ch/unog/webs ite/news_media.nsf/(httpNewsB yYear_en)/FA349461C35C01F5C 125745F003C30AF?OpenDocum ent SRSGs response to State questions Same as above. Resolution A/HRC/RES/8/7 extending the SRSGs mandate: http://ap.ohchr.org/documents/ E/HRC/resolutions/A_HRC_RES_ 8_7.pdf Press release from the Councils session on 18 June: http://www.unhchr.ch/huricane/ huricane.nsf/view01/F862D0932 8BA5EACC125746C006CB1DF?o pendocument Press release on the mandate extension: http://www.unhchr.ch/huricane/ huricane.nsf/view01/25A5BFE35 6481C47C1257474003701E8?op endocument SRSGs presentation to the UN General Assembly (28 October 2008): http://www.reports-andmaterials.org/Ruggie-statementUN-General-Assembly-27-Oct2008.pdf

Addendum 1: Summary reports of five multi-stakeholder consultations Addendum 2: Survey of Scope and Patterns of Alleged Corporate-Related Human Rights Abuse

A/HRC/8/5/Add.1

23 April, 2008

http://www.reports-andmaterials.org/Ruggie-1addendum-23-April-2008.pdf

A/HRC/8/5/Add.2

23 May, 2008

http://www.reports-andmaterials.org/Ruggie-2addendum-23-May-2008.pdf

Companion report: Clarifying the concepts of sphere of influence and complicity 2009 official reports Main report: Towards Operationalizing the Protect, Respect and Remedy Framework: A Progress Report

A/HRC/8/16

15 May, 2008

http://www.reports-andmaterials.org/Ruggiecompanion-report-15-May2008.pdf

A/HRC/11/13

22 April, 2009

http://www.businesshumanrights.org/Links/Reposito ry/715771 SRSGs presentation to the HRC: http://www.reports-andmaterials.org/Ruggie-statementto-UN-Human-Rights-Council-2Jun-2009.pdf Webcast also available: http://www.un.org/webcast/unh rc/archive.asp?go=011 UN Press Release: http://www.un.org/webcast/unh rc/archive.asp?go=011 http://www.reports-andmaterials.org/Ruggieaddendum1-15-May-2009.pdf

Addendum: State obligations to provide access to remedy for human rights abuses by third parties, including business: an overview of international and regional provisions, commentary and decisions 2010 official reports Main report: Business and Human Rights: Further steps toward the operationalization of the Protect, Respect and Remedy Framework

A/HRC/11/13/Add.1

15 May 2009

A/HRC/14/27

9 April 2010

http://www.reports-andmaterials.org/Ruggie-report2010.pdf Presentation of report to the Council: http://www.reportsand-materials.org/Ruggiestatement-to-UN-Human-RightsCouncil-1-June-2010.pdf, and for interactive dialogue, see http://www.un.org/webcast/unh rc/archive.asp?go=100601. Feedback to be posted on the SRSGs website can be sent to: regaignon@businesshumanrights.org. Commentary on the report is available at: http://www.businesshumanrights.org/SpecialRepPort

al/Home/ReportstoUNHumanRig htsCouncil/2010/Comments. See also Statements on the report to the Council from Amnesty International: http://www.reports-andmaterials.org/Amnestystatement-Human-RightsCouncil-re-Ruggie-1-Jun2010.doc. See also Blog prepared by the SRSG for the Institute for Human Rights and Business: http://www.institutehrb.org/blo gs/guest/putting_the_protect_re spect_remedy_framework_into_ practice.html

(2) State responsibilities to regulate and adjudicate corporate activities under the United Nations core human rights treaties
In 2006 the SRSGs team, with the assistance of the United Nations Office of the High Commissioner for Human Rights, embarked on a project to examine states obligations in relation to corporate activity under the United Nations core human rights treaties. Each report maps the scope and content of states parties responsibilities to regulate and adjudicate the actions of business enterprises under the particular treaty, drawing on commentaries from the relevant treaty body as appropriate. This series was undertaken to assist the SRSGs work under sub-para (b) of his mandate, which asks him to elaborate on the role of states in effectively regulating and adjudicating the role of transnational corporations and other business enterprises with regard to human rights, including through international cooperation. As set out above, a report summarizing the main findings and trends from the treatyspecific reports was submitted by the SRSG to the HRC, as Addendum 1 to his March 2007 report. In June 2007, the SRSG addressed the sixth Inter-Committee meeting of the human rights treaty bodies to discuss the series, and business and human rights issues more broadly. Links to the background paper and summary report for this meeting are included below. The background paper provides an updated view of the main trends from the series. There are no official UN document numbers for the individual treaty reports. Please also note that the reports were numbered chronologically according to the date of adoption of the relevant treaty rather than the date each report was completed.
Name of Document Report No. 1: International Convention on the Elimination of All Forms of Racial Discrimination Date Dec, 2006 Internet link
http://www.businesshumanrights.org/Documents/St ate-Obligations-Corporate-ActsCERD-18-Dec-2006.pdf http://www.reports-andmaterials.org/Ruggie-reportICESCR-May-2007.pdf http://www.reports-andmaterials.org/Ruggie-ICCPRJun-2007.pdf http://www.businesshumanrights.org/Documents/R uggie-report-CEDAW-Sep2007.pdf http://www.reports-andmaterials.org/Ruggie-reportConvention-against-TortureDec-2007.pdf http://www.businesshumanrights.org/Documents/R uggie-report-Convention-onRights-of-Child-Jul-2007.pdf

Report No. 2: International Covenant on Economic, Social and Cultural Rights Report No. 3: International Covenant on Civil and Political Rights Report No. 4: Convention on the Elimination of All Forms of Discrimination Against Women

May, 2007

June, 2007 Sept, 2007

Report No. 5: Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment

Dec, 2007

Report No. 6: Convention on the Rights of the Child and its Optional Protocols

July, 2007

Name of Document Report No. 7: International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families Background paper for the SRSGs address to the sixth Inter-Committee Meeting of the human rights treaty bodies Summary report of SRSGs address to the sixth InterCommittee Meeting of the human rights treaty bodies

Date Jan, 2007

Internet link
http://www.businesshumanrights.org/Documents/S RSG-report-migrant-workersJan-2007.pdf http://www.reports-andmaterials.org/Backgroundpaper-SRSG-treaty-bodies-19Jun-2007.pdf http://www.reports-andmaterials.org/Ruggie-addressto-treaty-bodies-19-Jun2007.pdf http://ap.ohchr.org/Documents /dpage_e.aspx?si=A/HRC/4/35/ Add.1

June, 2007

June, 2007

Addendum 1 to the SRSGs 2007 report: State responsibilities to regulate and adjudicate corporate activities under the United Nations core human rights treaties: an overview of treaty body commentaries (A/HRC/4/35/Add.1)

13 Feb, 2007

*Note also that reports on the nature of state duties to protect against corporate-related human rights abuse under Inter-American and African human rights systems have been prepared to inform the Special Representative. See part 4(b) below. A report on the European system is forthcoming.

(3) Consultations held by the SRSG

The SRSG has held numerous multi-stakeholder consultations to encourage dialogue and inform his work. In the lead-up to his 2007 report, he convened three regional consultations, four workshops of legal experts, and two sector-specific meetings. The autumn of 2007 has been a particularly busy time for the SRSG in preparing for his 2008 report. He held five multi-stakeholder consultations addressing various elements of the three baskets within which he plans to organize his recommendations to the HRC: the state duty to protect, the corporate responsibility to respect, and the need for more effective grievance mechanisms to populate the relatively barren space between litigation and campaigns against companies. Set out below are the background papers and summary reports from these consultations. Please note that while Addendum 2 to the SRSGs 2007 report summarized the 2006 consultations on the attribution of corporate responsibility under international law, as well as the permissible scope of extraterritorial regulation, the complete reports for these consultations are listed below because Addendum 2 provided only the abridged versions. (Only background papers and summary reports are set out below submissions from NGOs regarding various consultations and the SRSGs responses are included in section 5.) The SRSG is grateful to the governments providing financial and logistical support for these consultations. He is also appreciative to the Office of the High Commissioner for Human Rights for its assistance as well as to numerous NGOs and academic institutions which helped to host and organize various events these parties are acknowledged in the summary reports for each meeting. The SRSG has also held civil society consultations on five continents, visited the operations of firms in four industry sectors in developing countries and had discussions with representatives of all relevant multilateral institutions and some government officials. Records of these meetings are not publicly available though more information may be obtained from the SRSG as required.
Conference 2005 Sectoral consultation on Human Rights and the Extractive Industry Date 10-11 Nov, 2005 Location Geneva Docs Presentation by Sir Mark Moody Stuart (Chairman, Anglo American plc) ESCR-Net joint submission Internet link
http://www.unglobalcom pact.org/NewsAndEvents /news_archives/2005_11 _17.html

Summary report (UN Doc. E/CN.4/2006/92)

See consultations page on the SRSGs website: http://www.businesshumanrights.org/Gettings tarted/UNSpecialReprese ntative http://ap.ohchr.org/Docu ments/dpage_e.aspx?si= E/CN.4/2006/92

Conference 2006 African Regional Consultation

Date 27-28 March, 2006

Location Johannesburg

Docs Presentation by Salil Tripathi (International Alert) Summary report

Internet link
http://www.internationalalert.org/pdfs/Press%20 Releases/Salil_Tripathi_s peech.pdf http://www.reports-andmaterials.org/RuggieconsultationJohannesburg-27-28Mar-2006.pdf http://www.reports-andmaterials.org/Ruggiebriefing-paper-forThailand-consultationJune-2006.pdf

Asian Regional Consultation

26-27 June, 2006

Bangkok

Briefing paperMeaningful Change: Raising the Bar in Supply Chain Workplace Standards Summary report

http://www.reports-andmaterials.org/RuggieBangkok-consultationreport-26-27-Jun2006.pdf http://www.reports-andmaterials.org/Asian-civilsociety-statementRuggie-consultation-27Jun-2006.pdf Response from SRSG: http://www.reports-andmaterials.org/Ruggieresponse-to-Asian-civilsociety-statement-2-Jul2006.doc

Joint statement by Asian civil society page 3 lists all signatories.

Expert Legal Workshop on Human rights and Transnational Corporations: Legislation and Government Regulation Expert Legal Workshop on Corporate Complicity in Human Rights Violations Expert Legal Workshop on Extraterritorial Legislation as a Tool for Improving the Human Rights Accountability of Transnational Corporations

15 June, 2006

London

Summary report

http://www.reports-andmaterials.org/ChathamHouse-legal-workshophuman-rightstransnationalcorporations-15-June2006.doc http://www.reports-andmaterials.org/Corporatecomplicity-workshop-Oct2006.pdf

23-24, Oct, 2006

Oslo

Summary note

3-4 Nov, 2006

Brussels

Background paper

http://www.reports-andmaterials.org/Olivier-deSchutter-report-forSRSG-re-extraterritorialjurisdiction-Dec-2006.pdf http://www.businesshumanrights.org/Docume nts/Extraterritoriallegislation-to-improveaccountability-legalexperts-seminarBrussels-summary-

Summary report

10

Conference

Date

Location

Docs

Internet link
report-3-4-Nov-2006.pdf

Expert Legal Workshop on Attributing Corporate Responsibility for Human Rights Under International Law

17 Nov, 2006

New York

Summary report

http://www.businesshumanrights.org/Docume nts/Workshop-CorpResponsibility-under-IntlLaw-17-Nov-2006.pdf

2007 Latin America Regional Consultation 18-19 Jan, 2007 Bogota Summary report
http://www.reports-andmaterials.org/RuggieLatin-AmericaConsultation-report-1819-Jan-2007.pdf http://www.reports-andmaterials.org/Joint-NGOdeclaration-on-RuggieLat-Am-consultation-19Jan-2007.pdf SRSGs response: http://www.reports-andmaterials.org/Ruggieresponse-to-LatinAmerican-civil-societydeclaration-29-Jan2007.pdf

Joint statement by Latin American civil society page 2 lists all signatories.

Sectoral Consultation on Human Rights and the Financial Sector

16 Feb, 2007

Geneva

Summary report (UN Doc. A/HRC/4/99)

http://ap.ohchr.org/Docu ments/dpage_e.aspx?si= A/HRC/4/99

Expert Consultation No. 1 on Accountability Mechanisms for Resolving Complaints and Disputes

1112 April, 2007

Boston

Background papers

http://www.ksg.harvard. edu/mrcbg/CSRI/publications/w orkingpaper_37_Rees.pdf http://www.oecd.org/dat aoecd/42/11/38297552.p df

Summary report

http://www.ksg.harvard. edu/mrcbg/CSRI/publications/re port_15_accountabilitym echanisms.pdf http://www.reports-andmaterials.org/Ruggiespecial-procedures-19Jun-2007.pdf

SRSGs meeting with UN Special Procedures

19 June, 2007

Geneva

Summary note

11

Conference Expert Consultation on Business & Human Rights in Conflict Zones: the Role of Home States

Date 5 Nov, 2007

Location Berlin

Docs Announcement of joint project with Global Witness on corporate-related abuses in conflict zones Background paper

Internet link
http://www.businesshumanrights.org/Docume nts/Ruggie-GlobalWitness-announcement24-Sep-2007.pdf

http://www.reports-andmaterials.org/RuggieGlobal-Witness-Berlinbackground-paper-5Nov-2007.pdf http://www.reports-andmaterials.org/RuggieGlobal-Witness-Berlinreport-5-Nov-2007.pdf http://edit.businesshumanrights.org/Docume nts/Ruggie-CleanClothes-Campaignannouncement-1-Oct2007.pdf

Summary report

Expert Consultation on Improving the Human Rights Performance of Business through Multistakeholder Initiatives

6-7 Nov, 2007

The Hague

Announcement of joint project with Clean Clothes Campaign on governance of multistakeholder initiatives and implementation of supply chain codes Background paper: Principles that make for effective governance of multistakeholder initiatives Summary report

http://www.businesshumanrights.org/Docume nts/Principles-foreffective-MSIs-6-7-Nov2007.pdf

http://www.businesshumanrights.org/Docume nts/MSI-Consultation-67-Nov-2007.pdf http://www.reports-andmaterials.org/Copenhage n-8-9-Nov-2007backgrounder.pdf http://www.businesshumanrights.org/Docume nts/Ruggie-Copenhagen8-9-Nov-2007.pdf

Expert Consultation on the Role of States in Effectively Regulating and Adjudicating the Activities of Corporations With Respect to Human Rights

8-9 Nov, 2007

Copenhagen

Background paper

Summary report

Expert Consultation No. 2 on Accountability Mechanisms for Resolving Complaints and Disputes

19-20 Nov, 2007

Boston

Summary report

http://www.reports-andmaterials.org/Accountabil ity-mechanismsworkshop-report-Nov2007.pdf Rights-compatible grievance mechanisms: a guidance tool for companies and their stakeholders http://www.reports-and-

Related documents

12

Conference

Date

Location

Docs

Internet link
materials.org/Grievancemechanisms-principlesJan-2008.pdf Mapping grievance mechanisms in the business and human rights arena http://www.reports-andmaterials.org/ReesVermijs-Mappinggrievance-mechanismsJan-2008.pdf Grievance mechanisms for business and human rights: strengths, weaknesses and gaps http://www.reports-andmaterials.org/ReesExisting-grievancemechanisms-Jan2008.pdf

Expert Consultation on the Corporate Responsibility to Respect Human Rights 2008 Stabilization Clauses and Human Rights: 1

4-5 Dec, 2007

Geneva

Summary report

http://www.reports-andmaterials.org/RuggieGeneva-4-5-Dec2007.pdf

22 May, 2008

London

Summary report

http://www.businesshumanrights.org/Docume nts/Stabilization-clausesand-human-rightsconsultationsummary.DOC http://www.reports-andmaterials.org/Ruggieconsultation-stabilizationclauses-21-Oct-2008.pdf http://www.businesshumanrights.org/Docume nts/Ruggie-consultationforum-access-toremedies-Sep-2008.pdf http://www.businesshumanrights.org/Docume nts/Non-judicial-andjudicial-mechanisms-Mar2009.doc

Stabilization Clauses and Human Rights: 2

October 2008

Johannesburg

Summary report

Non-judicial grievance mechanisms as a means of access to remedy in the context of business and human rights.

20-21 November 2008

Boston

Online forum to discuss ideas for November consultation. Background report Non-Judicial and Judicial Grievance Mechanisms for Addressing Disputes between Business and Society: Their Roles and Interrelationships Summary report

http://www.reports-andmaterials.org/Nonjudicial-mechanismsconsultation-report2008.doc

13

Conference 2009 Regional consultation (Asia-Pacific)

Date 5-6 February 2009 14 15 May 2009

Location New Delhi

Docs Summary report

Internet link
http://www.reports-andmaterials.org/ReportRuggie-consultationDelhi-5-6-Feb-2009.pdf Forthcoming http://www.businesshumanrights.org/Docume nts/NGO-statement-afterJohn-Ruggie-BuenosAires-consultation-May2009.doc SRSG response: http://www.reports-andmaterials.org/Ruggieresponse-to-BuenosAires-NGO-statement-11Jun-2009.pdf

Regional consultation (Latin America)

Buenos Aires

Summary report Joint - Statement from NGOs

International Roundtable on Conflict Management and Corporate Culture in the Mining Industry

12 June 2009

Boston

Background paper

Summary report

http://www.hks.harvard. edu/mrcbg/CSRI/publications/re port_36_sherman_grieva nce.pdf http://www.hks.harvard. edu/mrcbg/CSRI/publications/re port_37_rees_cm_roundt able.pdf

Leadership Group 1st meeting

14 15 June 2009

Salzburg

Summary note

http://www.reports-andmaterials.org/RuggieSalzburg-LeadershipGroup-mtg-15-Jun2009.pdf http://www.reports-andmaterials.org/Report-onRuggie-responsiblecontracting-workshop-2526-Jun-2009.pdf http://www.reports-andmaterials.org/Gendermeeting-for-Ruggie-29Jun-2009.pdf

Workshop on Responsible Contracting

25 26 June 2009

Paris

Summary report

Workshop on integrating a gender perspective into the SRSGs work Corporate Law Tools Project Meeting

29 June 2009

New York

Summary report

30 June 2009

New York

Summary report

http://www.reports-andmaterials.org/Ruggiecorporate-law-toolsmeeting-summary-30Jun-2009.pdf http://www.businesshumanrights.org/SpecialR epPortal/Home/OHCHRC onsultation-Geneva56Oct2009 See also remarks by Yahoo!:

OHCHR consultation on operationalizing the Protect, Respect and Remedy Framework

56 October 2009

Geneva

SRSG remarks; submissions; sideevent information

14

Conference

Date

Location

Docs

Internet link
http://www.yhumanright sblog.com/blog/2009/10/ 15/yahoo-at-the-un/

Expert consultation on Corporate Law and Human Rights 2010 Closing Governance Gaps: Application of the U.N. Protect, Respect, Remedy Framework

5 -6 November 2009

Toronto

Summary report

http://www.reports-andmaterials.org/Corporatelaw-tools-Torontomeeting-report-5-6-Nov2009.pdf http://www.reports-andmaterials.org/Ruggieexpert-consultationsummary-Berlin-20-Jan2010.pdf See also report from broader meeting convened 21 January 2010 by Development Policy Forum, InWEnt, on behalf of German Federal Ministry for Economic Cooperation and Development (BMZ) http://www.inwent.org/i mperia/md/content/ainternet2008/ef/report_th ats_it.pdf

20 January 2010

Berlin

Summary report

International Forum Business And Human Rights - Protect, Respect and Remedy

16 March, 2010

Moscow

Agenda

http://www.reports-andmaterials.org/AgendaMoscow-forum-16-Mar2010.pdf http://www2.unrussia.ru/ eng/Newsletter/02_2010/ OON69.pdf http://www.reports-andmaterials.org/ShermanCorporate-counselhuman-rights-duediligence-30-Apr2010.pdf http://www.reports-andmaterials.org/Agendacorporate-counselmeeting-for-Ruggie-30Apr-2010.pdf Summary report is forthcoming. See commentary from Wachtell, Lipton, Rosen & Katz: http://www.reports-andmaterials.org/Wachtellmemo-re-Ruggiecorporate-law-27-May2010.pdf

Report

Expert Meeting of North American Corporate and External Counsel: Exploring Human Rights Due Diligence

30 April, 2010

New York

Background paper

Agenda

Summary report and commentary

http://www.reports-and-materials.org/Wachtell-memo-re-Ruggiecorporate-law-27-May-2010.pdf 15

(4) General briefing papers and submissions

The 2007 report drew on some two-dozen research papers prepared by or for the SRSG. Since then, the number of briefing papers, discussion papers and submissions provided to the SRSG by external parties has continued to grow, with the SRSG receiving material from a variety of stakeholders, including NGOs, business associations and law firms. The SRSGs own team has also contributed several research and discussion papers, sometimes in conjunction with other organizations, including the International Finance Corporation. Where publicly available, these external and internal papers are listed below, grouped depending on the type of author. In rare cases where authors were comfortable with making their work publicly available, but not for attribution, the relevant documents have been listed as being produced by the SRSGs team. Documents are labelled as discussion papers, briefing papers, reference papers or submissions. By way of explanation, discussion papers are shorter papers, generally prepared by the SRSGs team, intended to summarize the current state of play and engender debate on a particular issue. Briefing papers, also produced by the SRSGs team, are more detailed research reports examining issues in greater depth. Reference papers are not produced by the SRSGs team but have been identified by the SRSG as providing useful analyses of issues falling within the mandate. Those reference papers that were explicitly prepared to inform the SRSG are included below. Submissions are papers from external parties that are designed to inform and advise the SRSG, usually containing recommendations rather than descriptive information. Readers should note that the SRSG expects additional submissions from several parties in the lead up to the 2008 report. These submissions will be highlighted on the SRSGs homepage as new additions as they become available. (a) SRSGs team

Set out below are discussion papers and briefing papers prepared by the SRSG and his team. Note that some of the documents were summarized in the four addenda attached to the SRSGs 2007 report but are listed separately here given that not all of them were reproduced in full in the addenda. The table below also lists feedback from external parties on documents prepared by the SRSG and his team as well as forthcoming publications.
Document 2006 Questionnaire for UN member states Nb: the results of the questionnaire were summarized in addendum 3 to the SRSGs 2007 report, featured in section 1 above. Date Public feedback from external parties?
No

Internet links

May, 2006

http://www.reports-andmaterials.org/Questionn aire-UN-member-statesbusiness-human-rightsMay-2006.doc

16

Document Discussion paper on Human Rights Impact Assessments

Date 18 July, 2006

Public feedback from external parties?

Joint NGO letter and SRSGs response: http://www.reports-andmaterials.org/Joint-NGOletter-to-Ruggie-re-humanrights-impact-assessments24-Sep-2006.doc http://www.reports-andmaterials.org/Ruggieresponse-to-Bronson-reimpact-assessments-4-Oct2006.pdf Joint letter from Socially Responsible Investors: http://www.iccr.org/news/pre ss_releases/pdf%20files/rugg ieltr10-10-06.pdf International Business Leaders Forum: http://www.businesshumanrights.org/Documents/ IBLF-letter-Ruggie-re-HRIA12-Jan-2007.doc

Internet links
http://www.reports-andmaterials.org/Discussion -paper-human-rightsimpact-assessments-Jul2006.pdf

Discussion paper on Security of People and Assets

21 July, 2006

John OReilly (formerly of BP): http://www.reports-andmaterials.org/OReillycomments-on-securitydiscussion-paper-8-Oct2006.doc The Ethical Funds Company http://www.reports-andmaterials.org/Ethical-Fundssubmission-RevenueTransparency-10-Oct2006.pdf Joint letter from Socially Responsible Investors: http://www.iccr.org/news/pre ss_releases/pdf%20files/rugg ieltr10-10-06.pdf OECD and SRSGs response http://www.reports-andmaterials.org/OECD-Bonucciletter-to-Ruggie-4-Oct2006.pdf http://www.reports-andmaterials.org/Ruggie-replyto-OECD-Bonucci-7-Oct2006.pdf Financial Times http://www.ft.com/cms/s/0/7 7d77060-3956-11db-a21d0000779e2340.html?nclick_ch eck=1

http://www.reports-andmaterials.org/Discussion -paper-security-Jul2006.pdf

Discussion paper on Revenue Sharing and Fiscal Management

28 July, 2006

http://www.reports-andmaterials.org/Discussion -paper-revenue-sharing28-Jul-2006.pdf

Discussion paper on Reporting on NonFinancial Performance

7 Aug, 2006

http://www.reports-andmaterials.org/Discussion -paper-reporting-7-Aug2006.pdf

Briefing paper on Human Rights Policies & Management Practices of Fortune Global 500 Firms: Results of a Survey

1 Sept, 2006

http://www.reports-andmaterials.org/Ruggiesurvey-Fortune-Global500.pdf

17

Document Briefing paper on Business Recognition of Human Rights: Global Patterns, Regional & Sectoral Variations 2007 Business and Human Rights: The Evolving International Agenda Note: this article was prepared by the SRSG for the American Journal of International Law and is included in its October 2007 edition. Addendum to briefing paper on Business Recognition of Human Rights: Global Patterns, Regional & Sectoral Variations Human Rights Policies of Chinese Companies - Results from a Survey By Invitation Submission to Ethical Corporation Magazine: Standards and Practices Guiding Principles for Business and Human Rights

Date 12 Dec, 2006

Public feedback from external parties?

No

Internet links
http://www.reports-andmaterials.org/BusinessRecognition-of-HumanRights-12-Dec-2006.pdf http://ksgnotes1.harvar d.edu/Research/wpaper. nsf/rwp/RWP07-029

27 June, 2007

No

Sept, 2007

No

http://www.businesshumanrights.org/Docum ents/Ruggie-Chinasurvey-Sep-2007.pdf

6 Sept, 2007

Sir Geoffrey Chandler (Founder Chair of Amnesty International UK Business Group): http://www.ethicalcorp.com/c ontent.asp?ContentID=5420 No

http://www.ethicalcorp.c om/content.asp?Content ID=5353

By Invitation Submission to Ethical Corporation Magazine: Voluntary initiatives Helping the laggards join the race

7 Oct, 2007

http://www.ethicalcorp.c om/content.asp?Content ID=5428

By Invitation Submission to Ethical Corporation Magazine: Business and Human Rights Beyond Corporate Spheres of Influence By Invitation Submission to Ethical Corporation Magazine: Foreign Direct Investment Balancing Risks for Global Investors Nb: prepared in conjunction with a joint project with the International Finance Corporation (IFC) on investment contracts and human rights.

12 Nov, 2007

No

http://www.ethicalcorp.c om/content.asp?Content ID=5504

11 Dec, 2007

No

Submission: http://www.ethicalcorp.c om/content.asp?Content ID=5565&ContTypeID= 2

Press release on joint project with IFC: http://www.ifc.org/ifcext /media.nsf/content/Sele ctedPressRelease?Open Document&UNID=21BE 753E0EEED2278525733 00058F692

2008 By Invitation Submission to Ethical Corporation Magazine: Human Rights Powers without Strength (an exploration into the roles states can and

January 2008

No

http://www.ethicalcorp.c om/content.asp?Content ID=5626

18

Document should play in the business and human rights space) By Invitation Submission to Ethical Corporation Magazine: Dispute Resolution: The Case for Corporate Diplomacy Briefing paper on Stabilization Clauses and Human Rights joint research paper by the IFC and the SRSG

Date

Public feedback from external parties?

Internet links

February 2008

No

http://www.ethicalcorp.c om/content.asp?Content ID=5700

March 2008

No

Consultation draft: http://www.reports-andmaterials.org/Stabilizatio n-Clauses-and-HumanRights-11-Mar-2008.pdf See also Feb 2008 SRSG statement (discussing this project) to UNCITRAL working group on arbitration and conciliation http://www.reports-andmaterials.org/Ruggiestatement-UNCITRALFeb-2008.pdf

Business and Human Rights: Corporate Recognition and Responsibility (article in China Rights Forum by Christine Bader in her personal capacity) Survey of Scope and Patterns of Alleged Corporate-Related Human Rights Abuse

April 2008

No

http://hrichina.org/publi c/PDFs/CRF.1.2008/CRF2008-1_Corporate.pdf

April 2008

No

http://www.reports-andmaterials.org/Ruggiescope-patterns-ofalleged-abuse-Apr2008.pdf http://www.ethicalcorp.c om/content.asp?contenti d=5887

By Invitation Submission to Ethical Corporation Magazine: Business and Human Rights Treaty Road Not Traveled Business and Human Rights: A Political Scientists Guide to Survival in a Domain where Lawyers and Activists Reign (presented by John Ruggie at 2008 International Law Association Conference) Next Steps in Business and Human Rights (presented by John Ruggie at Chatham House) Results from a survey of national human rights institutions regarding their practices with respect to business and

May 2008

No

May 2008

No

http://www.reports-andmaterials.org/RuggieILA-17-May-2008.pdf

May 2008

No

http://www.reports-andmaterials.org/Ruggiespeech-Chatham-House22-May-2008.pdf http://www.reports-andmaterials.org/OHCHRNational-Human-Rights-

May 2008

No

19

Document human rights issues joint study with OHCHR Background note on the State duty to protect for BLIHR workshop on the role of governments

Date

Public feedback from external parties?

Internet links
Institutions-practicesApr-2008.doc

18 June, 2008

No

http://www.businesshumanrights.org/Docum ents/Ruggie-Duty-toProtect-note-for-BLIHR18-Jun-2008.pdf http://www.reports-andmaterials.org/Ruggiepresentation-OECD-NatlContact-Points-24-Jun2008.doc Background paper: http://www.businesshumanrights.org/Docum ents/PresentationHuman-Rights-TreatyBodies-24-Jun-2008.pdf Explanatory Note: http://www.businesshumanrights.org/Docum ents/Ruggie-notepresentation-to-treatybodies-27-Jun-2008.doc

Keynote Presentation Annual Meeting of National Contact Points OECD Presentation of policy framework to 7th Inter-Committee Meeting of UN Human Rights Treaty Bodies (Geneva)

24 June, 2008

No

24 June, 2008

No

Statement on Arbitration and Transparency to UNCITRAL

27 June, 2008

No

http://www.reports-andmaterials.org/Ruggiestatement-to-UNCITRALJun-2008.pdf http://www.reports-andmaterials.org/BIICLGlobal-Witness-RuggieWorkshop-23-May2008.pdf http://www.reports-andmaterials.org/Ruggieletter-to-FT-re-Afrimex10-Sep-2008.pdf http://www.reports-andmaterials.org/Ruggiecomments-ICJcomplicity-report-12Sep-2008.pdf ICJ response: http://www.reports-andmaterials.org/ICJ-replyto-Ruggie-30-Sep2008.pdf

Summary of meeting on policy framework, hosted by Global Witness and the British Institute of International and Comparative Law Comment on UK NCP decision against Afrimex under OECD Guidelines

May 2008

No

September 2008

No

Comment on ICJ report on corporate complicity

September 2008

No

Preliminary workplan for 2008-2011

October 2008

No

http://www.reports-andmaterials.org/Ruggiepreliminary-work-plan2008-2011.pdf

20

Document Presentation of the policy framework to the Inter-American Commission on Human Rights

Date October 2008

Public feedback from external parties?

No

Internet links
Background paper http://www.reports-andmaterials.org/Ruggiepresentation-IACHR-17Oct-08.pdf http://www.policyinnova tions.org/ideas/briefings /data/000089 http://www.reports-andmaterials.org/Ruggieremarks-Yale-LawSchool-30-Oct-2008.pdf http://www.reports-andmaterials.org/RuggieEconomist-Debate-2Nov-2008.pdf http://www.reports-andmaterials.org/Ruggieremarks-South-Africa-3Nov-2008.pdf

Remarks at Carnegie Council

28 October 2008 30 October 2008

No

Presentation at Yale Law School: reframing the business and human rights agenda Remarks at Economist Debate against the proposition that the business of business is business Video Presentation at SAIFAC conference in South Africa: business and fundamental rights: the state duty to protect and domestic legal reform 2009 Remarks at Responsible Investment Forum

No

2 November 2008 3 November 2008

No

No

12 January 2009

No

http://www.reports-andmaterials.org/Ruggieaddress-to-ResponsibleInvest-Forum-12-Jan2009.pdf http://www.reports-andmaterials.org/Corporatelaw-firms-advise-Ruggie23-Mar-2009.pdf See also preliminary research template: http://www.reports-andmaterials.org/Ruggietemplate-for-corporatelaw-tools-project-May2009.pdf Law firm reports available as completed at: http://www.businesshumanrights.org/Special RepPortal/Home/Materia lsbytopic/Corporatelaw/ CorporateLawTools

Press release: Corporate Law Project

29 January 2009

No

Message to Voluntary Principles on Security and Human Rights Plenary

March 2009

No

http://www.businesshumanrights.org/Docum ents/Text-of-Ruggievideo-message-to-VPsplenary-16-Mar-2009.pdf http://www.reports-andmaterials.org/Ruggieremarks-to-European-

Remarks at European Parliament

16 April 2009

No

21

Document

Date

Public feedback from external parties?

Internet links
Parliament-16-Apr2009.pdf

Statement to UN Permanent Forum on Indigenous Issues

May 2009

No

http://www.reports-andmaterials.org/UNSpecial-Rep-statementindigenous-18-May2009.doc http://www.businesshumanrights.org/Docum ents/Ruggie-statementUK-3-Jun-2009.pdf http://www.reports-andmaterials.org/Ruggiesubmission-toAustralian-Natl-HumanRts-ConsultationCommittee-9-Jun2009.pdf http://www.reports-andmaterials.org/SRSGgrievance-mechanismspilot-19-Aug-2009.doc http://www.reports-andmaterials.org/Ruggiestatement-to-S-AfricaGovt-re-review-of-BITs4-Sep-2009.pdf http://www.reports-andmaterials.org/Ruggieconflict-project-noteOct-2009.pdf

Statement to UK Parliament Joint Committee on Human Rights

3 June 2009

No

Submission to Australian National Human Rights Consultation Committee

9 June 2009

No

Pilot project on principles for companylevel grievance mechanisms

19 August 2009

No

Statement to the Department of Trade and Industry, South Africa (BITs review)

4 September 2009

No

Press release: announcement of project on Business and Human Rights in Conflictaffected Regions: The Roles of States Statement to 3rd Committee of UN General Assembly

22 October 2009

No

22 October 2009

No

http://www.reliefweb.int /rw/RWFiles2009.nsf/Fil esByRWDocUnidFilenam e/MUMA-7X49Y4full_report.pdf/$File/full_ report.pdf http://www.reports-andmaterials.org/Ruggieremarks-ICJ-Access-toJustice-workshopJohannesburg-29-30Oct-2009.pdf http://www.reports-andmaterials.org/RuggieWhy-Companies-MustPay-Attention-toHuman-Rights-5-Nov2009.pdf http://www.reportsand-

Remarks prepared for ICJs Access to Justice Workshop (by video)

29 October 2009

No

Remarks at Canadian Business for Social Responsibility event: Just Business Why Companies Must Pay Attention to Human Rights

5 November 2009

No

Keynote speech at EU Presidency Conference on Corporate Social

10 November

No

22

Document Responsibility (remarks focused on extraterritorial jurisdiction)

Date 2009

Public feedback from external parties?

Internet links
materials.org/Ruggiepresentation-Stockholm10-Nov-2009.pdf See Swedish and Spanish Governments statement on the Protect, Respect and Remedy Framework at same event: http://www.reports-andmaterials.org/EUPresidency-statementProtect-RespectRemedy-Nov-2009.pdf Other presentations made at the conference are available at: http://www.se2009.eu/e n/meetings_news/2009/ 11/10/protect_respect_r emedy__a_conference_on_corp orate_social_responsibili ty_csr

Note on ISO 26000 Guidance Draft Document

November 2009

No

http://www.businesshumanrights.org/Docum ents/Ruggie-note-reISO-26000-Nov2009.PDF Press release: http://www.reports-andmaterials.org/Ruggieonline-forum-launch-1Dec-2009.pdf Online consultation site: www.srsgconsultation.or g

Online consultation on the corporate responsibility to respect press release

December 2009

No

Engaging Business: Addressing Respect for Human Rights keynote address at meeting sponsored by U.S. Council for International Business; U.S. Chamber of Commerce; International Organization of Employers Hosted by The Coca-Cola Company International Bar Association interview with the SRSG

25 February 2010

No

http://www.reports-andmaterials.org/Ruggiekeynote-address-inAtlanta-25-Feb-2010.pdf

19 April 2010

No

http://www.ibanet.org/A rticle/Detail.aspx?Article Uid=CB9BDC34-184D42A2-BE7C613B3EFDC89F http://www.reports-andmaterials.org/Ruggiestate-CSR-policiessurvey-Jun-2010.pdf

Survey of States national CSR policies summary report

June 2010

No

23

Document Remarks to International Labor Conference

Date 3 June 2010

Public feedback from external parties?

Yes see NGO submissions

Internet links
http://www.reports-andmaterials.org/Ruggiestate-CSR-policiessurvey-Jun-2010.pdf http://www.reports-andmaterials.org/Ruggieremarks-to-OECD-reexport-credit-agencies23-Jun-2010.pdf Supply chains paper: http://www.oecd.org/da taoecd/17/50/45535896. pdf Guidelines paper: http://www.oecd.org/da taoecd/17/35/45545887. pdf

Remarks to OECD Export Credit Group: Engaging Export Credit Agencies in Respecting Human Rights

23 June 2010

No

Submissions to 10th OECD Roundtable on Corporate Responsibility: The corporate responsibility to respect human rights in supply chains Updating the Guidelines for Multinational Enterprises

30 June 2010

No

Corporate Law Project overarching trends report

July 2010

No

http://www.reports-andmaterials.org/Ruggiecorporate-law-projectJul-2010.pdf http://www.reports-andmaterials.org/Ruggieremarks-re-VoluntaryPrinciples-1-Jul-2010.pdf http://www.reports-andmaterials.org/Ruggiestatement-ColombiaGuidelines-14-Jul2010.pdf

Remarks to members of Voluntary Principles on Security and Human Rights Statement on Colombia Guidelines on Human Rights & International Humanitarian Law

1 July 2010

No

14 July 2010

No

(b)

Civil society and academics

Author BankTrack Date 18 Dec, 2006 Internet links
http://www.banktrack.org/doc/File/policies% 20and%20processes/banks%20and%20hum an%20rights/061218%20letter%20to%20ru ggie%20on%20banks%20and%20human%2 0rights.pdf

Document 2006 The Role of the Financial Services Sector in Respecting Human Rights

Indigenous Peoples Rights, Extractive Industries and Transnational and Other Business Enterprises 2007 The Role and Responsibilities of International Financial Institutions with Respect to Human Rights and Their Relevance to the Private-

Forest Peoples Programme & Tebtebba Foundation Bank Information Center

29 Dec, 2006

http://www.businesshumanrights.org/Documents/Forest-PeoplesTebtebba-submission-to-SRSG-reindigenous-rights-29-Dec-2006.pdf

February 2007

http://www.reports-and-materials.org/BankInformation-Ctr-submission-to-Ruggie-Feb2007.pdf

24

Document Sector State duty to protect: the Relevance of Private Finance 2008 Facilitating Specification of the Duty to Protect

Author

Date

Internet links

BankTrack

Nov, 2007

http://www.businesshumanrights.org/Documents/BankTrackduty-to-protect-Nov-2007.pdf http://www.businesshumanrights.org/Documents/KnoxSpecification-of-Duty-to-Protect-14-Dec2007.pdf http://www.reports-andmaterials.org/Halifax-Initiative-Export-CreditAgencies-Jan-2008.pdf

Professor John H. Knox

Jan, 2008

Export Credit Agencies and the International Law of Human Rights Corporate Abuse in 2007: a Discussion Paper on What Changes in the Law Need to Happen Recommendations to Reduce the Risk of Human Rights Violations and Improve Access to Justice

Halifax Initiative

Jan, 2008

Jennifer Zerk for Corporate Responsibility (CORE) Coalition Coopration Internationale pour le Dveloppement et la Solidarit (CIDSE) Howard Mann, Senior International Law Advisor, International Institute for Sustainable Development Dr. Susan A. Aaronson (George Washington University)

Feb, 2008

http://www.corporateresponsibility.org/module_images/corporatea buse_discussionpaper.pdf

Feb, 2008

http://www.reports-andmaterials.org/CIDSE-submission-Ruggie-Feb2008.pdf

International Investment Agreements, Business and Human Rights: Key Issues and Opportunities

Feb, 2008.

http://www.reports-and-materials.org/IISDRuggie-Feb-2008.pdf

Impact of WTO Rules on Business Ability to Fulfill Human Rights Responsibilities and upon the State Duty to Protect

April, 2008

http://www.reports-andmaterials.org/Aaronson-submission-toRuggie-2-Apr-2008.pdf

State Responsibilities to Regulate and Adjudicate Corporate Activities under the Inter-American Human Rights System: A Report on the American Convention on Human Rights The International Finance Corporations Performance Standards and the Equator Principles: Respecting HR and

Cecilia Anicama

April, 2008

http://www.reports-and-materials.org/StateResponsibilities-under-Inter-AmericanSystem-Apr-2008.pdf And in Spanish: http://www.reports-andmaterials.org/Anicama-responsabilidad-delestado-bajo-sistema-interamericano-abr2008.pdf

CIEL, Bank Information Center, BankTrack,

August 2008

http://www.businesshumanrights.org/Documents/NGOsubmission-to-Ruggie-re-IFC-standardsEquator-Principles-Aug-2008.doc Response from SRSG:

25

Document remedying violations

Author Oxfam Australia, World Resources Institute Oxford University Pro Bono Publico

Date

Internet links
http://www.reports-andmaterials.org/Ruggie-statement-re-NGOssubmission-1-Oct-2008.pdf

Obstacles to Justice and Redress for Victims of Corporate Human Rights Abuse 2009 Human Rights and Socially Responsible Investment in North America An Overview CSR Soft Law Developments in the EU 2010 Closing the Governance Gaps Submission to the UN Protect, Respect, Remedy Framework Expert Multi-Stakeholder Consultation Berlin, January 2010 The State Duty to Protect, Corporate Obligations and Extra-territorial Application in the African Regional Human Rights System

November 2008

http://www.reports-andmaterials.org/Oxford-Pro-Bono-Publicosubmission-to-Ruggie-3-Nov-08.pdf

Elizabeth Umlas (independent researcher) Oxford University Pro Bono Publico Oxfam Australia

January 2009

http://www.reports-andmaterials.org/Umlas-Human-Rights-and-SRIJan-2009.pdf

July 2009

http://www.reports-and-materials.org/CSRsoft-law-in-EU-Oxford-Pro-Bono-Publico-forRuggie-30-Jul-2009.pdf http://www.reports-andmaterials.org/Submission-to-Ruggie-Berlinconsultation-by-Oxfam-Australia-Jan2010.pdf

January 2010

South African Institute for Advanced Constitutional, Public, Human Rights and International Law International Union of Food, Agricultural, Hotel, Restaurant, Catering, Tobacco and Allied Workers Associations Sherpa Yann Queinnec

17 February 2010

http://www.reports-andmaterials.org/SAIFAC-paper-re-businesshuman-rights-in-African-regional-system-17Feb-2010.pdf

Precarious work undermining human rights

March 2010

http://www.institutehrb.org/news/2010/exch ange_forum_irene_khan_22feb2010_report. html

Sustainable Contracts Concepts outlines and exploration tracks Trade Agreements, Business and Human Rights: The case of Export Processing Zones Precarious Work: Undermining Human Rights

March 2010

http://www.reports-andmaterials.org/Sherpa-on-sustainablecontracts-Jan-2010.pdf

Dr Andrew Lang London School of Economics International Metalworkers Federation

April 2010

http://www.reports-and-materials.org/Langexport-processing-zones-Apr-2010.pdf

May 2010

http://www.reports-and-materials.org/IntlMetalworkers-Federation-submission-toRuggie-May-2010.doc

26

(c)

Business community
Author ICMM Date March, 2006 Internet links
http://www.reports-and-materials.org/ICMMsubmission-Ruggie-Mar-2006.pdf

Document 2006 First submission by the International Council on Mining & Metals (ICMM) Second submission by the ICMM Business and Human Rights: The Role of Business in Weak Governance Zones

ICMM

Oct, 2006

http://www.icmm.com/uploads/1469ICMMBHR-2ndsubmissionFINAL.pdf Submission: http://www.reports-andmaterials.org/Role-of-Business-in-WeakGovernance-Zones-Dec-2006.pdf Cover letter from the IOE, ICC & BIAC: http://www.reports-and-materials.org/Letterto-Ruggie-from-IOE-ICC-BIAC-21-Dec2006.pdf Statement by the SRSG: http://www.reports-andmaterials.org/Ruggie-statement-Jan2007.pdf

International Organization of Employers (IOE), International Chamber of Commerce (ICC) and the Business and Industry Advisory Committee to the OECD (BIAC)

Dec, 2006

2007 Third submission by the ICMM

ICMM

Nov, 2007

Submission: http://www.icmm.com/uploads/1774ICMMbhr-3rdRuggieSubmission-Finaltoweb.pdf Statement by the SRSG: http://www.businesshumanrights.org/Documents/Ruggie-reICMM-3rd-submission-14-Jan-2008.doc

2008 Response to SRSGs 2008 report Response to SRSGs 2008 report

IOE, ICC and BIAC Business Leaders Initiative on Human Rights Socially responsible investors see p. 2 4 for signatories

May, 2008

http://www.reports-and-materials.org/LetterIOE-ICC-BIAC-re-Ruggie-report-May2008.pdf http://www.reports-andmaterials.org/BLIHR-statement-Ruggiereport-2008.pdf

May, 2008

Response to SRSGs 2008 report

June 2008

http://www.reports-and-materials.org/SRIletter-re-Ruggie-report-3-Jun-2008.pdf See also press release from US Social Investment Forum applauding HRCs decision to extend SRSGs mandate: http://www.businesshumanrights.org/Documents/US-SIF-reRuggie-mandate-extension-2-Jul-2008.doc

Response to SRSGs 2008 report 2009 Submission from ICC, IOE and BIAC

ICMM

June, 2008

http://www.icmm.com/page/8331/icmmwelcomes-ruggie-report http://www.reports-and-materials.org/Jointviews-of-IOE-ICC-BIAC-to-Ruggie-Mar2009.pdf

IOE, ICC and BIAC

March 2009

27

Document Commentary on 2008 report from Dutch Business Associations

Author Commission on Multinational Enterprises of Confederation of Netherlands Industry; Employers VNONCW; ICC Netherlands Dated: BDA Association of German Employers Federations

Date April 2009

Internet links
http://www.reports-and-materials.org/Dutchbusiness-groups-comments-on-2008-Ruggiereport-9-Apr-2009.pdf

2010 Protect, respect and remedy fleshing out John Ruggies concept concerning corporate responsibility for human rights. Input from German employers

February 2010

http://www.reports-and-materials.org/BDApaper-re-Protect-Respect-Remedy-Feb2010.pdf

(d)

Law firms and legal experts

Author Allens Arthur Robinson (Australia) Date Aug, 2006 Internet links
http://www.reports-and-materials.org/Legalbrief-on-Asia-Pacific-for-Ruggie-Aug2006.pdf

Document 2006 Reference paper on Corporations and Human Rights in the Asia-Pacific Region 2007 Discussion paper on Trends in the Use of Corporate Law and Shareholder Activism to Increase Corporate Responsibility and Accountability for Human Rights

Fried Frank (United States)

Dec, 2007

Memo: http://www.businesshumanrights.org/Documents/Fried-FrankMemo-Dec-2007.pdf Appendix - Survey of Social & Environmental shareholder proposals 2006-2007: http://www.businesshumanrights.org/Documents/Shareholderproposal-survey-Dec-2007.XLS

2008 Comparative report on Corporate Culture as a Basis for the Criminal Liability of Corporations Allens (Australia) Feb, 2008
http://www.reports-and-materials.org/AllensArthur-Robinson-Corporate-Culture-paperfor-Ruggie-Feb-2008.pdf

Memorandum on Corporate Duty and Human Rights under Australian Law

Allens (Australia)

March, 2008

http://www.reports-and-materials.org/AARRuggie-Mar-2008.pdf

28

Document A United Nations Proposal Defining Corporate Social Responsibility for Human Rights Corporate Social Responsibility for Human Rights: Comments on the UN Special Representatives Report Entitled Protect, Respect and Remedy: a Framework for Business and Human Rights

Author Wachtell, Lipton, Rosen and Katz

Date May 2008

Internet links
http://amlawdaily.typepad.com/amlawdaily/fi les/wachtell_lipton_memo_on_global_busine ss_human_rights.pdf

Weil, Gotshal & Manges LLP

May, 2008

http://www.reports-and-materials.org/WeilGotshal-legal-commentary-on-Ruggie-report22-May-2008.pdf See also the following commentary in American Lawyer discussing both the Weil and Wachtell memos. The Millstein-Lipton Debate on UN Human Rights http://amlawdaily.typepad.com/amlawd aily/2008/06/analysis-the-mi.html A Sarbanes-Oxley for Human Rights http://amlawdaily.typepad.com/amlawd aily/2008/06/titans-of-corpo.html

Commentary on joint SRSG/IFC report Stabilization Clauses and Human Rights State Immunity and State Owned Enterprises

Herbert Smith

June, 2008

http://www.reports-andmaterials.org/Herbert-Smith-Ruggie-bulletin17-Jun-2008.doc http://www.businesshumanrights.org/Documents/CliffordChance-State-immunity-state-ownedenterprises-Dec-2008.PDF Leigh Day submission: http://www.reportsand-materials.org/Richard-Meeran-letter-toJohn-Ruggie-16-Jan-2009.doc Response from SRSG: http://www.reportsand-materials.org/Ruggie-statement-onMeeran-letter-19-Jan-2009.pdf

Clifford Chance

December 2008

Legal remedies for corporate abuses in South Africa

Richard Meeran (Leigh Day & Co)

16 January, 2009

Extraterritorial Jurisdiction: Lessons for the Business and Human Rights Sphere from 6 Regulatory Areas

Dr. Jennifer Zerk (submission to Harvard CSR Initiative)

June 2010

http://www.hks.harvard.edu/mrcbg/CSRI/publications/workingpaper_59_zer k.pdf

(e)

Governments
Author Daniel Bethlehem QC, Legal Adviser, UK Foreign & Commonwealth Office Date 9 July 2009 Internet links
http://www.reports-and-materials.org/UKForeign-Office-letter-to-Ruggie-9-Jul2009.pdf Response from SRSG: http://www.reportsand-materials.org/UK-Foreign-Office-letterto-Ruggie-9-Jul-2009.pdf

Document 2009 Letter on the state duty to protect

29

(5) Correspondence with NGOs

The SRSG has been encouraged by the interest taken by NGOs in his mandate and has greatly benefited from extensive dialogue with these parties, both at consultations and through more formal correspondence. Included in section 4 above are the research papers NGOs have submitted to the mandate. Illustrated below is other correspondence from NGOs commenting on and providing general suggestions regarding the work of the mandate. As highlighted below, the SRSG endeavors to respond to correspondence from NGOs where appropriate. Also listed below is a selection of press releases from NGOs discussing the SRSGs work. Note that a significant number of NGO submissions were made to the October 2009 OHCHR consultation on the operationalization of the SRSGs Protect, Respect and Remedy Framework. They are available at: http://www.businesshumanrights.org/SpecialRepPortal/Home/OHCHRConsultation-Geneva5-6Oct2009.
Subject of correspondence 2005 Letter on the work of the mandate 2006 Joint SRI letter on the work of the mandate NGO(s) Date Internet links Formal response from SRSG?
No

Amnesty International (AI)

16 Sept, 2005

http://www.reports-andmaterials.org/Amnestyletter-to-John-Ruggie-16Sep-2005.doc http://www.iccr.org/news /press_releases/pdf%20fi les/ruggieletter020706.pd f

Joint letter from Socially Responsible Investors page 3 lists all signatories. International Federation for Human Rights (FIDH) Earthrights International

6 Feb, 2006

No

Commentary on 2006 Interim report

15 March, 2006

http://www.fidh.org/IMG /pdf/business442a.pdf

http://www.reports-andmaterials.org/Ruggieresponse-to-FIDH-20-Mar2006.pdf http://www.reports-andmaterials.org/Ruggieresponse-to-EarthRights23-Mar-2006.pdf http://www.reports-andmaterials.org/Ruggieresponse-to-MaryRobinson-31-Mar-2006.pdf http://www.reports-andmaterials.org/Ruggieresponse-to-AmnestyInternational-1-May2006.pdf http://www.reports-andmaterials.org/Ruggieresponse-to-joint-NGOletter-22-May-2006.pdf

Commentary on 2006 Interim report

22 March, 2006

http://www.earthrights.o rg/legalfeature/ominous_ outlook_for_the_un_nor ms.html http://www.realizingright s.org/images/stories/Posi tion_on_Ruggie_reportFI NAL.pdf http://www.reports-andmaterials.org/AmnestyIntl-comments-onRuggie-interim-report-27Apr-2006.pdf http://www.reports-andmaterials.org/Joint-NGOcomments-on-Ruggieinterim-report-18-May2006.doc

Commentary on 2006 Interim report

Realizing Rights: the Ethical Globalization Initiative AI

31 March, 2006

Commentary on 2006 Interim report

27 April, 2006

Joint NGO comments on 2006 Interim report

This letter was signed by 70 NGOs page 3 lists all signatories.

18 May, 2006

2007

30

Subject of correspondence Joint NGO Statement to HRC on the SRSGs 2007 report

NGO(s) AI; ESCR-Net; Human Rights Watch; International Commission of Jurists; and FIDH Centre Europe-Tiers Monde; Women's International. League for Peace & Freedom; and Fdration Syndicale Mondiale

Date March, 2007

Internet links
http://www.reports-andmaterials.org/NGO-jointstatement-to-UN-reRuggie-report-29-Mar2007.pdf

Formal response from SRSG?

No

Press release responding to SRSGs 2007 report: Commentaires sur le rapport du Reprsentant spcial du Secrtaire gnral sur les droits de lhomme et les socits transnationales Commentary on 2007 report

March, 2007

http://www.cetim.ch/fr/in terventions_details.php?ii d=282

No

Clean Clothes Campaign

23 March, 2007

http://www.businesshumanrights.org/Docume nts/Clean-ClothesCampaign-letter-Ruggie23-Mar-2007.pdf http://www.actionaid.org /pages.aspx?PageID=34 &ItemID=251

http://www.businesshumanrights.org/Documen ts/Ruggie-response-CleanClothes-Campaign-17-Apr2007.pdf No

Press release responding to SRSGs 2007 report: Tougher measures needed for corporations on UN rights abuses Press release responding to SRSGs 2007 report: UN report shows need for business curbs NGOs survey of emblematic cases of corporate human rights abuses

ActionAid

26 March, 2007

War on Want

28 March, 2007

http://www.waronwant.o rg/UN+report+shows+ne ed+for+business+curbs+ 14318.twl

No

ESCR-net (letter was a response to correspondence from the SRSG)

5 Sept, 2007

http://www.reports-andmaterials.org/ESCR-Netresponse-to-Ruggie-5Sep-2007.pdf

SRSGs letter is available at: http://www.reports-andmaterials.org/Ruggieletter-ESCR-Net-29-Aug2007.pdf http://www.reports-andmaterials.org/Ruggieresponse-to-joint-NGOletter-15-Oct-2007.pdf See also response from Sir Geoffrey Chandler: http://www.reports-andmaterials.org/Chandleropen-letter-to-NGOsignatories-of-letter-toRuggie-15-Oct-2007.doc

Joint NGO letter on the work of the mandate

This letter was signed by 198 NGOs see page 6 for the full list of signatories.

25 October, 2007

http://www.escrnet.org/usr_doc/OpenLet ter_Ruggie_FinalEndorse ments.pdf

2008 Commentary on 2008 report

CEDHA (Centre for Human Rights and Environment)

April, 2008

http://www.cedha.org.ar/ en/more_information/un_ special.php See also submission to the HRC:

No

31

Subject of correspondence

NGO(s)

Date

Internet links
http://ap.ohchr.org/docu ments/dpage_e.aspx?si= A/HRC/8/NGO/45

Formal response from SRSG?

Commentary on 2008 report

Robert Senser, Human Rights for Workers This statement was submitted by 11 NGOs see statement for full list Sir Geoffrey Chandler

April, 2008

http://www.businesshumanrights.org/Links/R epository/399353/link_pa ge_view http://www.reports-andmaterials.org/NGOstatement-Ruggie-report20-May-2008.doc

No

Joint NGO statement on 2008 report

May, 2008

No

Response to joint-NGO statement from Sir Geoffrey Chandler

May, 2008

http://www.reports-andmaterials.org/Chandlercomment-on-NGOstatement-28-May2008.doc See also AI response to Sir Chandler: http://www.reports-andmaterials.org/Amnestyresponse-to-Chandler-2Jun-2008.doc

No

Commentary on 2008 report

International Indian Treaty Council

May, 2008

http://ap.ohchr.org/docu ments/dpage_e.aspx?si= A/HRC/8/NGO/1

No

Commentary on 2008 report

CIDSE

May, 2008

http://www.cidse.org/doc s/200805301819191963. pdf?username=guest@ci dse.org&password=9999 http://ungcdocuments.go oglegroups.com/web/gpfmisereor-comment-onruggie-report2008.pdf?gda=c4L2BV8A AABH54bfagLYA3q7MZzk EDTJ_Pj5YX_WtUkVg5yD c5dHjWG1qiJ7UbTIupM2XPURDShVOVw9GrmV IRI6j5fz6iUm2yCHwuYwwnQwm73 f7K5d21OW0xyAHEM1Qe XGXmWNs http://www.reports-andmaterials.org/ActionAidletter-to-Ruggie-30-Jun08.doc http://www.reports-andmaterials.org/CernicLibertas-Working-Paperre-Ruggie-report2008.pdf

No

Commentary on 2008 report

Misereor/Global Policy Forum

June 2008

Yes: http://www.reportsand-materials.org/Ruggieresponse-to-Misereor-GPF2-Jun-2008.pdf Misereor/GPI response: http://www.reports-andmaterials.org/StrohscheidtMartens-response-toRuggie-13-Jun-2008.pdf

Commentary on 2008 report

ActionAid UK

June 2008

No

Commentary on 2008 report

Libertas

July 2008

No

32

Subject of correspondence Commentary on 2008 report

NGO(s)

Date

Internet links

Formal response from SRSG?

No

Amnesty International

July 2008

http://www.reports-andmaterials.org/Amnestysubmission-to-RuggieJul-2008.doc http://www.halifaxinitiati ve.org/updir/CNCA_state ment_re_Ruggie_reportJuly_08.pdf

Commentary on 2008 report

Canadian Network for Corporate Accountability

August 2008

Yes (to earlier draft from CNCA): http://www.reports-andmaterials.org/Ruggieresponse-to-CanadianNetwork-7-Jul-2008.pdf CNCA response to SRSGs letter: http://www.businesshumanrights.org/Documen ts/Canadian-Networkreply-to-Ruggie-21-Jul2008.doc Yes http://www.reports-andmaterials.org/Ruggieresponse-to-Jus-Semper21-Oct-2008.pdf

Commentary on 2008 report

Jus Semper Global Alliance

October 2008

http://www.jussemper.or g/Resources/Corporate% 20Activity/Resources/BH RRUpholding_Mkts_Darwi nis.pdf

Commentary on 2008 report

Robert Senser

November 2008

http://www.americamaga zine.org/content/article.cf m?article_id=11253&o=3 3759

No

General submission on Protect, Respect, Remedy Framework

Civil Society Groups Across Asia

May 2009

http://www.reports-andmaterials.org/AsianNGOs-submission-toRuggie-2009.pdf

Yes http://www.reports-andmaterials.org/Asian-NGOssubmission-to-Ruggie2009.pdf

Submission on corporate responsibility to respect

Institute for Human Rights and Business

December 2009

http://www.institutehrb.o rg/pdf/InstituteHRB.org_ Setting_BoundariesClarifying_Scope_and_Co ntent_of_Corporate_Resp onsibility_to_Respect_Hu man_Rights.pdf

No

33