normative discourses and public-private regulatory strategies for construction of csr normativity
For Nicholas
karin buhmann
normative discourses and public-private regulatory strategies for construction of csr normativity Towards a method for above-national public-private regulation of business social responsibilities
Normative Discourses And Public-Private Regulatory Strategies for Construction of CSR Normativity – Towards a Method for Above-National Public-Private Regulation of Business Social Responsibilities By Karin Buhmann © Multivers ApS, 2014 Published by Multivers Academic (www.multivers.dk) Cover: Christine Lind. Photo: Karin Buhmann. Tryk: Totem Printed in Poland 2014 ISBN: 978-87-7917-381-1 www.multivers.dk
contents volume 1 – analysis preface 19 acknowledgements 19 list of acronyms and abbreviations 21 list of figures 22 part i setting the stage chapter 1: introduction 23 1.1. Background and research question 23 23 1.1.1. Background 1.1.2. Study topic and research question 26 1.2. Objective 26 1.3. Why hardening of CSR normativity matters to governments, business and civil society: three scenarios 29 1.3.1. Background 29 1.3.2. The three scenarios 31 1.4. Challenges facing a study of CSR from the legal perspective 34 1.4.1 Absence of precise definition of CSR 34 1.4.2. The voluntary/mandatory dichotomy and application of non-legal sanctions 35 1.4.3. CSR regulation as multilevel regulation 37 1.4.4. Blurred distinction between ‘responsibility’ and ‘accountability’ 37 1.4.5. Effectiveness and legitimacy 38 1.4.6. CSR as a cross-disciplinary field 42 1.5. The four cases 43 1.5.1. Selection of cases studies 43 1.5.2 The United Nations Global Compact 44 1.5.3. The SRSG process (UN Secretary General’s Special Representative on business and human rights) 45 1.5.4. The EU Multi-Stakeholder Forum (MSF) on CSR 47 1.5.5. The European CSR Alliance 48 1.5.6. Commonalities and perspectives for the purpose of the study 48 1.6. Approach: Process-oriented, non-dogmatic and pragmatic 48 1.7. Methodology 51 1.7.1. Overall methodology and basic requirements for the adopted method and foundational theory 51 1.7.2. Theory 52 1.7.2.1. Reflexive law 52 1.7.2.2. Discourse theory 55 1.7.2.3. Deliberative law-making and governance at intergovernmental level 54 1.7.2.4. Legal pragmatism 60 1.7.3. Method 63 1.7.3.1. Overall method 63 1.7.3.2. Selection and presentation of empirical data 65 1.7.3.3. Analysing the data 67 1.7.3.4. Code marking of system-specific language and arguments for reflexive regulation of CSR 64 1.7.4. Reservations 71 1.8. Key concepts and terms 71 1.9. Delimitations 75 1.10. Structure 76
chapter 2: corporate social responsibility: the concept and its relation to human rights 79 2.1 Understanding CSR and business responsibilities for human rights 79 2.1.1. Defining CSR and business responsibilities for human rights 79 2.1.1.1. Overview and examples of CSR definitions 75 2.1.1.2 Elaboration: The understanding of CSR and business responsibilities for human rights in this work 83 2.1.2. The uneasy relationship between CSR and law 84 2.1.2.1 The voluntary-mandatory dichotomy 80 2.1.2.2. Archie Carroll on law as a part of CSR 84 2.1.2.3. CSR and law-based regulation in practice 90 2.1.2.4. Implications and discussion 91 2.1.3. CSR and public policy interests: The ‘government case for CSR’ 92 2.1.3.1. Why introduce ‘the government case for CSR’ 92 2.1.3.2. Human rights and the government case for CSR 96 2.1.4. Human rights and business – from social expectations to responsibility based in law 97 2.1.5. Implications and discussion 99 2.2. Incremental international juridification of CSR and BRHR 99 2.2.1. Historical overview 99 2.2.2. Specifically on the draft UN Norms and the OHCHR 2005 report 107 2.2.2.1. Drafting process and consultations 104 2.2.2.2. Decision by the UN Commission on Human Rights 110 2.2.2.3. Basic ideas and normative substance of the draft UN Norms 111 2.2.2.4. The OHCHR Report: Consultations 114 2.2.2.5. The OHCHR Report: Findings and recommendations 116 2.2.3. Implications and discussion 117 2.3. CSR in legal theory 118 2.3.1. Overview 118 2.3.2. The private-public law & “whose interest” debate 120 2.3.3. The Public International Law & Human Rights Law turn 121 2.3.4. Implications and discussion 127 2.4. CSR and international legal personality 127 2.4.1. Non-state actors and CSR normativity: overview of some key issues 128 2.4.2. Accommodating non-state actors in international law: International legal personality and the protection of human rights as examples 132 2.4.3. Participation in international law-making 136 2.4.4. International law-making process and outputs, networks and legitimacy: Insight from political science studies 140 2.4.5. Implications and discussion 147 2.5. CSR and ‘the new law’ 148 2.5.1. Informal law-making and new forms of law transgressing international and national, public and private law 150 2.5.2. Soft law usage in theory and practice 157 2.5.3. Implications and discussion 162
part ii discursive construction of csr normativity: analysing the case studies chapter 3: analysing discourse in reflexive law forums 164 3.1. Reflexive law 165 3.1.1. Rationale 165 3.1.2. Systems theory and autopoiesis 168 3.1.2.1. Introduction 169 3.1.2.2. Communication and ‘irritants’ 170 3.1.2.3. Autopoiesis in reflexive law 171 3.1.2.4. The binary code 172 3.1.3. The normative aspect of procedural design 174 3.1.4. Previous application of reflexive law in CSR-related contexts 175 3.1.5. Implications and discussion 178 3.2. Diagnosing the four cases studies as reflexive law 181 3.2.1. UN Global Compact 182 3.2.1.1. Introduction 182 3.2.1.2. Organisation and method of operation 185 3.2.1.3. ‘Integrity measures’ 187 3.2.1.4. How the Global Compact principles are informed by international law instruments 189 3.2.1.5. The UN Global Compact as reflexive law 191 3.2.2. The SRSG Process (Process of the Special Representative of the Secretary General on the issue of human rights and transnational corporations and other business enterprises) 192 3.2.2.1. Establishment of SRSG process and objective as defined in the mandate 192 3.2.2.2. SRSG’s method of work 193 3.2.2.3. The SRSG process as reflexive law 194 3.2.3. The EU Multi-Stakeholder Forum 195 3.2.3.1. Background 195 3.2.3.2. Objective, organisation and method of operation 196 3.2.3.3. Legal basis 197 3.2.3.4. The MSF as reflexive law 198 3.2.4. The EU CSR Alliance 199 3.2.4.1. Background 199 3.2.4.2. Objective, organisation and method of operation 199 3.2.4.3. The CSR Alliance as reflexive law 199 3.3. Towards the discursive element in reflexive law forums 200 3.3.1. Autopoisis, the binary code and system-specific language to create perturbation 200 3.3.2. Implications and discussion 203 3.4. Discourse 204 3.4.1. Applying discourse theory as an analytical tool 205 3.4.2. Discourse analysis in legal studies and studies of law-related aspects of CSR 207 3.4.3. Power and discourse 210 3.4.3.1. Michel Foucault: Power as constitutive for discourse and construction of perceptions of society 210 3.4.3.2. Ernesto Laclau and Chantal Mouffe: Power through fixing floating signifiers 211 3.4.3.3. Critical Discourse Analysis and Norman Fairclough: Discourse, power and textual analysis 213 3.4.3.3.1 Critical Discourse Analysis 213 3.4.3.3.2. Fairclough’s discourse theory 215 3.5. Operationalising discourse analysis of reflexive law forums for purposes of the current study 217 3.5.1. Combining the reflexive law perspective with discourse analysis of system-specific language 217 3.5.2. Argumentative strategies for construction of CSR normativity 220 3.5.2.1. The form of regulation for CSR 220
3.5.2.2. The role of international human rights law as a normative source 222 3.5.2.3. Business responsibilities for human rights: ‘Sphere of influence’ and ‘complicity’ 223 3.5.3. Genres 223 3.6. Implications 224
chapter 4: un initiatives 224 4.1. The United Nations Global Compact 225 4.1.1. Establishment of the Global Compact 225 4.1.1.1 General argumentative structure and strategies 209 4.1.1.2. Form of regulation for CSR 239 4.1.1.3. The role of international human rights law 267 4.1.1.4. Implications and discussion 270 4.1.2. Recognition of the Global Compact in resolutions by the UN General Assembly 272 4.1.2.1. Resolutions 272 4.1.2.2. Implications and discussion 277 4.1.3. UN Global Compact Declarations 278 4.1.4. Implications and discussion 278 4.2. The Special Representative of the Secretary General (SRSG) on the issue of human rights and transnational corporations and business 283 4.2.1. From the draft Norms to the resolution establishing the SRSG mandate 284 4.2.1.1 General argumentative structure and strategy 284 4.2.1.2 Form of regulation 293 4.2.1.3. The role of international human rights law 294 4.2.1.4 Implications 294 4.2.2. From establishment of mandate to 2006 (‘Interim’) report 295 4.2.2.1. General argumentative structure and strategy 295 4.2.2.1.1 Stakeholder statements 295 4.2.2.1.2 SRSG statements 300 4.2.2.2. Form of regulation 302 4.2.2.3. The role of international human rights law 304 4.2.2.4 The 2006 (‘Interim’) report 305 4.2.2.5 Presentation and discussion at the Human Rights council 312 4.2.2.6. Implications and discussion 313 4.2.3. From ’Interim’ report to 2007 report 315 4.2.3.1. General argumentative structure and strategy 301 4.2.3.1.1. Stakeholder statements 316 4.2.3.1.2. SRSG statements 326 4.2.3.2. Form of regulation 332 4.2.3.3 The role of international human rights law 335 4.2.3.4. 2007 report 336 4.2.3.4.1. Overview 336 4.2.3.4.2. Report substance and arguments 337 4.2.3.5. Presentation and discussion at the Human Rights Council 342 4.2.3.6. Implications and discussion 343 4.2.4. From 2007 report to Final Report 343 4.2.4.1. General argumentative structure and strategy 345 4.2.4.1.1. Stakeholder statements 345 4.2.4.1.2. SRSG statements 348 4.2.4.2. Form of regulation 351 4.2.4.3. The role of international human rights law 353 4.2.4.4. Final Report: “The Protect, Respect and Remedy policy framework” 354 4.2.4.4.1. Overview 354 4.2.4.4.2. Report substance and arguments 356
4.2.4.5. Presentation and discussion at the Human Rights Council 361 4.2.5. Implications and discussion 362 4.2.6. Clarification of ’Complicity’ and ’Sphere of influence’ 364 4.2.6.1. SRSG and stakeholder statements 368 4.2.6.2. Specifically on ‘Sphere of influence’ 381 4.2.6.3. Specifically on ‘complicity’ 384 4.2.6.4. Implications and discussion 388 4.2.7. Post-Final Report developments: From Final Report to ’UN Framework’ and ’Guiding Principles’ 389
chapter 5: eu initiatives 394 5.1. Overall legal and policy context 394 5.2. Towards the EU Multi-Stakeholder Forum on CSR 398 5.2.1. Resolutions from the European Parliament 399 5.2.1.1. General argumentative structure and strategy 399 5.2.1.2. Form of regulation 402 5.2.1.3. The role of international human rights law 405 5.2.2. The Commission Green Paper promoting a European framework for Corporate Social Responsibility 406 5.2.2.1. General argumentative structure and strategy 406 5.2.2.2. Form of regulation 417 5.2.2.3. The role of international human rights law 418 5.2.3. Responses to the Green Paper 419 5.2.3.1 The Council Resolution on Follow-Up to the Green Paper on CSR 419 5.2.3.2. The European Parliament’s report on the CSR Green Paper 420 5.2.3.2.1. General argumentative structure and strategy 420 5.2.3.2.2. Form of regulation 426 5.2.3.2.3. The role of international human rights law 426 5.2.3.3. Opinion of the Economic and Social Committee on the Green Paper 427 5.2.3.3.1. General argumentative structure and strategy 427 5.2.3.3.2. Form of regulation 429 5.2.3.3.3. The role of international human rights law 430 5.2.3.4. Comments from stakeholders in Member States 431 5.2.4. Implications and discussion of steps prior to the 2002 Communication 433 5.2.5. The 2002 Communication from the Commission concerning Corporate Social Responsibility: A business contribution to Sustainable Development 435 5.2.5.1. General argumentative structure and strategy 435 5.2.5.2. Form of regulation 442 5.2.5.3. The role of international and human rights law 446 5.2.5.4. Implications and discussion 448 5.2.6. Responses to the Communication 448 5.2.6.1. The Employment and Social Policy Council resolution on CSR 448 5.2.6.2. The 2003 Report of the European Parliament on the 2002 Communication on CSR 449 5.3. The Multistakeholder Forum (MSF) 453 5.3.1. General argumentative structure and strategy 454 5.3.1.1. The MSF objectives, mandate and procedure 454 5.3.1.2. First High level meeting 457 5.3.1.3. The second high level meeting 466 5.3.1.4. Third high level meeting 473 5.3.1.5. Fourth high level meeting 474 5.3.1.6. Final report 482 5.3.1.6.1. Final reports of the Round Tables 482 5.3.1.6.2. EU MSF Final Report 485 5.3.1.7. Debate and statements at the final high level meeting 495 5.3.2. Form of regulation 497
5.3.3. The role of international human rights law 512 5.3.4. Implications and discussion 519 5.4. The 2006 Communication and establishment of the CSR Alliance 521 5.4.1. General argumentative structure and strategy 522 5.4.2. Form of regulation 531 5.4.3. The role of international human rights law 534 5.4.4. Implications and discussion 536 5.5. Re-launch of the MSF 536 5.6. Implications and discussion 537
chapter 6: discourse & output in reflexive law forums 543 6.1. Introduction 543 6.1.1. Objective 543 6.1.2. Structure 544 6.2. Recapitulation 545 6.2.1. The interests at stake 545 6.2.2. The case studies: Background, process and substantive normative output 546 6.2.3 Implications and discussion 548 6.3. Constructing CSR normativity 550 6.3.1. Playing on system-specific interests to shape normative output 550 550 6.3.1.1. Overview 6.3.1.2. Examples: Stabilising and de-stabilising strategies 551 6.3.2. Constructing CSR in terms of the form of regulation 565 565 6.3.2.1. Overview 6.3.2.2. Examples: Construction of CSR as voluntary or subject to mandatory requirements 567 6.3.2.3. Examples: reflexive law 568 6.3.3. The role of international human rights law for CSR normativity 570 6.3.4. Implications and discussion 574 6.4. Discourse, output and power disparities: Design of reflexive law forums 576 576 6.4.1 Revisiting the ‘government case’ approach in the context of reflexive regulation of CSR 6.4.2. Organisational and procedural design of reflexive law forums 578 6.4.3. Implications and discussion 582
part iii towards a method of legitimate above-national public-private rule-making on business social responsibilities chapter 7: effectiveness and legitimacy in post-national public-private regulation of sustainable conduct 585 7.1. Introduction 585 7.1.1. Objective 585 7.1.2. Structure 587 7.2. ‘Legitimacy’ in the context of deliberation as a discursive practice 588 7.3. Habermas on deliberative law-making 591 7.3.1. Background 591 7.3.2. Deliberative discursive norm-making and legitimacy 594 7.3.2.1. Basic principles of discursive common will- and opinion formation 595 7.3.2.2. Bargaining 597 7.3.2.3. Civil society and networks 598 7.3.2.4. Exemplifying through the case studies 599 7.3.3. Deliberative discursive law-making and legitimacy at the above-national level 600 7.3.4. Implications and discussion 603
7.4. Legitimacy in reflexive law forums 606 7.4.1. Revisiting the case studies 606 7.4.2. Implications and discussion 616
chapter 8: from theory to method 618 8.1. Introduction 618 8.1.1. Objective 618 8.1.2. Structure 619 8.2. Closing the gap: Strengthening reflexive law as regulatory strategy through procedural equalisation with a view to public-private above-national rule-making 619 8.2.1. Foundations 619 8.2.1.1. Procedurally equalised participation in reflexive law forums 619 8.2.1.2. Non-state actors’ participation in collaborative above-national rule-making 622 8.2.1.3. Maximising opportunities of 21st century: Opportunities and challenges in information technologies 624 8.2.2. Operationalisation: Drawing on human rights law and administrative law as sources for procedural equalisation 626 8.2.2.1. Drawing on human rights and administrative law as sources for equalised participation in reflexive law forums 626 8.2.2.2. Participation, inclusive representation and information flows 627 8.2.3. Implications and discussion 629 8.3. Outline of method for legitimate public-private above-national rule-making through reflexive law 630 8.3.1. Establishment of the reflexive law forum 631 8.3.2. Implementation of the reflexive law forum to develop the output 633 8.4. Implications and discussion 635
chapter 9: conclusion and perspectives 636 9.1. Conclusion 636 636 9.1.1. Main findings and theoretical contributions 9.1.2. Brief summary 638 9.1.3. From pragmatic theory combination to analytical insight: Systems theory, discourse analysis and deliberative law-making 639 9.1.4. Analytical findings of the case studies and implications for legitimate above-national public-private rulemaking 640 9.2. Looking beyond the research question: Other findings and perspectives arising from the study 642 9.2.1. An emerging formalisation of private-sector participation in international rule-making 642 9.2.2. The evolution of the concept of Business Responsibilities for Human Rights 643 9.2.3. An emerging juridification of CSR 644 9.2.4. A change within the legal system to accommodate and respond to globalisation in terms of actors and demands of regulation 644 9.2.5. Analytical contributions of applying discourse analysis as a method to understand the development of normativity within reflexive law forum 645 9.2.6. Connecting to institutional theory and stakeholder theory 646
resumé på dansk (summary in danish) 647
volume 2 Volume 2 is available for free at http://multivers.dk/product/normative-discourses-and-public-private-regulatory-strategies-vol-2-pdf-304/.
contents annex a: texts related to the un initiatives (UN1) (UN2) (UN3) (UN4)
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Annan, Kofi (1999) Address of Secretary-General Kofi Annan to the World Economic Forum in Davos, Switzerland, 31 January, UN Press release SG/SM/6881, 1 February 1999 13 Joint Statement on the Global Compact by the Secretary-General of the United Nations and the President of the International Organization of Employers (IOE), New York, 26 April 2002 16 Joint UN-ICFTU statement on the Global Compact, 20 January 2000 17 Kell, Georg and Levin, David (2002) The Global Compact Network: an historic experiment in learning and action, paper presented at The Academy of Management Annual Conference “Building Effective Networks”, Denver, August 11-14, 2002, 18 Guidelines on Cooperation between United Nations and the Business Community, issued by the SecretaryGeneral of the United Nations on 17 July 2000 24 Ruggie, John G. (2002) The theory and practice of learning networks: Corporate Social Responsibility and the Global Compact, Journal of Corporate Citizenship 5 (Spring 2002): 27-36 25 Robinson, Mary (1999) Statement by Mary Robinson, United Nations High Commissioner for Human Rights at Business for Social Responsibility Conference on Profitable Partnerships, 26 Kell, Georg and John G. Ruggie (1999) Global Markets and Social Legitimacy: The Case of the ’ Global Compact’. Paper presented at an international conference: Governing the Public Domain beyond the Era of the Washington Consensus? York University, Toronto, Canada , 4-6 November 1999 28 Annan, Kofi (1999) The Secretary-General’s address to the third ministerial meeting of the World Trade Organisation, Seattle, 30 November 1999 31 Jordan, Bill (2001) Remarks of Bill Jordan, ICFTU General Secretary, Global Compact Panel, Davos 29 January 2001 31 Ruggie, John (2000) Remarks on the Global Compact to the NGO Community. United Nations, Geneva, 13 October 2000 32 Kell, Georg (2000) Remarks on the Global Compact: Defining the new responsibilities, Chatham House, London, 24 October 2000 33 Kell, Georg (2001) Remarks – Dilemmas in competitiveness, community and citizenship, London School of Economics, Dilemmas in competitiveness, community and citizenship and Human Rights seminar, 22 May 2001 35 Annan, Kofi (2001) The Secretary-General – Address to the Global Employment Forum. Geneva, 1 November 2001 38 Robinson, Mary (2002) Beyond good intentions: Corporate citizenship for a new century. RSA (Royal Society for the encouragement of Arts, Manufactures and Commerce) World Leaders Lecture, London, 7 May 2002 39 Kell, Georg (2002) The UN Global Compact and Swiss business: Making global responsibility work for business and development, Geneva, 29 October 2002 41 Ruggie, John G. (2002) The Global Compact and the challenges of global governance. Global Compact Learning Forum, 11-13 December 2002 41 World Chronicle (2003) Are UN principles good for business? Guest Georg Kell, Executive Head, Global Compact, No 886 recorded 8 January 2003 43 Vieira de Mello, Sergio (2003) ‘Leader to leader’ commentary to special edition on Business and Human Rights, New Academy Review, 5th Edition, 2003 44 Annan, Kofi (2004) Article for Nikkei on the Global Compact, Tokyo, 23 February 2004 45 Kell, Georg (2004) Remarks at the European conference on Corporate Social Responsibility, 7 November 2004 45 Kell, Georg (2005) Gearing up: Why should businesses invest in improving public sector governance? Corporate Responsibility 2005: Tackling Global Challenges, Chatham House, London, 17 March 2005 46 PriceWaterhouseCoopers (2005) Interview with Georg Kell: Moving to the business mainstream, Corporate Responsibility Report, Vol. 2, Winter 2005 48
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Kell, Georg (2006) Anti-corruption and corporate citizenship, Development Outreach, World Bank Institute, September 2006 49 (UN24b) Global Compact Office (2004) The UN Global Compact, in McIntosh, Malcolm, Sandra Waddock and Georg Kell (eds) Learning to talk: Corporate citizenship and the development of the UN Global Compact, Sheffield: Greenleaf Publishing: 11-12 50 (UN24c) UNIDO/Global Compact (2007) The UN Global Compact Operational Guide for Medium-Scale Enterprises, July 2007 50 (UN25) Kell, Georg (2008) “Ten Years After”, speech prepared for Chatham House, Corporate Responsibility 2008 Conference, 13 March 2008 51 (UN26) Resolution adopted by the General Assembly, Towards global partnerships, UN Doc. A/RES/55/215, 6 March 2001 (passed 21 December 2000) 52 (UN27) Resolution adopted by the General Assembly, Towards global partnerships, UN Doc. A/RES/56/76, 24 January 2002 (passed 11 December 2001) 52 (UN28) Resolution adopted by the General Assembly, Towards global partnerships, UN Doc. A/RES/58/129, 19 February 2004 (passed 19 December 2003) 54 (UN29) Resolution adopted by the General Assembly [on the report of the Second Committee (A/60/495 and Corr.1)] Towards global partnerships, UN Doc. A/RES/60/215/, 29 March 2006 (passed 22 December 2005) 55 (UN30) Resolution adopted by the General Assembly, Towards global partnerships, UN Doc. A/RES/62/211, 11 March 2008 (passed 19 December 2007) 57 (UN31) Shanghai Declaration, UN Global Compact Summit: China, 30 November – 1 December 2005 59 (UN32) Geneva Declaration, United Nations Global Compact Leaders Summit, 5-6 July 2007, Switzerland 60 (UN33) Commission on Human Rights (2005) Human rights and transnational corporations and other business enterprises, UN Doc. E/CN.4./2005/L.87, 15 April 2005 62 (UN34a) International Chamber of Commerce and International Organisation of Employers (2003) Joint views of ICC and the IOE on the draft “Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises with regard to Human Rights” submitted to the United Nations Commission on Human Rights, 23 November 2003 63 (UN34b) Hearne, Bernadette (2004) Analysis: Proposed UN Norms on human rights shelved in favor of more study, Ethical Corporation, 3 May 2004 – interview with Adam Green, Vice President of the United States Council for International Business (USCIB) 65 (UN35a and UN35b) Hearne, Bernadette (2004) Proposed UN Norms on human rights: Is business opposition justified? Ethical Corporation, 22 March 2004 66 (UN35a) USCIB 66 (UN35b) Amnesty International 67 (UN36) Australian government statement on the draft UN Norms, late 2004, quoted in Kinley, David, Justine Nolan and Natalie Zerial (2007) The politics of corporate social responsibility: Reflections on the United Nations Human Rights Norms for Corporations, Company and Securities Law Journal: 30-42, at 40 68 (UN37) Amnesty International (2005) 2005 UN Commission on Human Rights: The UN’s chief guardian of human rights? AI Index: IOR 41/001/2005, 1 January 2005 68 (UN38) United States (2005) Explanation of no-vote, Commission on Human Rights, Item 17: Transnational Corporations, April 20, 2005 70 (UN39) Amnesty International (2005) 2005 UN Commission on Human Rights: Amnesty International welcomes new UN mechanism on Business and Human Rights, Public statement, IOR 41/044/2005 (Public) 21 April 2005 71 International Commission of Jurists (2005) Corporate Accountability, International human rights law and the (UN40) United Nations, Geneva, 9 June 2005 71 (UN41) Howen, Nicholas (2005) Business, human rights and accountability, delivered at ‘Business and Human Rights’ conference organised by the Danish section of the ICJ, Copenhagen, 21 September 2005 72 (UN42) Amnesty International (2005) Letter to Professor John Ruggie, 16 September 2005 73 (UN43) Ruggie, John G. (2005) Opening remarks, Wilton Park conference on Business & Human Rights, 10-12 October 2005 74 (UN44) Ruggie, John G. (2005) Remarks, Business and Human Rights seminar, Old Billingsgate, London, 8 December 2005 74 (UN45) Interfaith Center for Corporate Responsibility (2006) Letter to John Ruggie, 6 February 2006 77 (UN46) Moody-Stuart, Mark (2005) Mark Moody-Stuart on Business and Human Rights, Mark Moody-Stuart on Business and Human Rights, 17 November 2005 77 (UN47a) ESCR-net (2005) Joint NGO Submission on Human Rights and the Extractive Industry – 2005 (website overview) 79
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ESCR-Net Corporate Accountability Working Group (2005) Joint NGO submission: Consultation on human rights and the extractive industry, final version 9 December 2005 80 SRSG (2006) Interim report of the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, UN Doc. E/CN.4/2006/97, 22 February 2006 80 Federation internationale des ligues des droits des l’Homme (2006) Position paper: Comments to the interim report of the Special Representative of the Secretary-General on the issue of Human Rights and Transnational Corporations and other business enterprises, February 22, 2006, 15 March 2006 87 Nowrot, Karsten (2006) The 2006 Interim Report of the UN Special Representative on Human Rights and Transnational Corporations: Breakthrough or Further Polarization? Policy Papers on Transnational Economic Law, Transnational Economic Law Research Center, Halle, March 2006 91 Human Rights Watch and others (2006) Joint NGO letter in Response to Interim Report 1, 18 May 2006 91 International Council on Mining & Metals (2006) Submission to UN Secretary General’s Special Representative on Human Rights and Business: Clarity and consensus on legitimate human rights responsibilities for companies could accelerate progress, March 2006 92 SRSG (2006) Opening statement to the United Nations Human Rights Council, Geneva, 25 September 2006 95 International Alert (2006) Speech by Salil Tripathi. Johannesburg, 27-28 March 2006 95 Asian civil society statement to U.N. Special Representative on transnational business and human rights at the Asia Regional Consultation, Bangkok, Thailand, 27 June 2006 96 Declaration of the Social, Non-Governmental and Union Organizations and Indigenous and Affected Communities, Bogota, 18-19 January 2007 97 International Council on Mining & Metals (2006) Second submission to UN Secretary General’s Special Representative on Human Rights and Business: Mining and Human Rights: How the UN SRSG can help spread good practice and tackle critical issues, October 2006 98 IOE, ICC, BIAC (2006) Business and human rights: The role of business in weak governance zones: Business proposals for effective ways of addressing dilemma situations in weak governance zones, Geneva, December 2006 100 SRSG (2006) Remarks, delivered at forum on Corporate Social Responsibility, co-sponsored by the Fair Labor Association and the German Network of Business Ethics, Bamberg, Germany, 14 June 2006 102 SRSG (2006) Remarks at public session, National Roundtable on Corporate Social Responsibility and the Canadian Extractive Industry in Developing Countries, Montreal, 14 November 2006 103 SRSG (2007) Prepared remarks at Clifford Chance. London, 19 February 2007 104 Interfaith Center on Corporate Responsibility (2006) Letter to John Ruggie, 10 October 2006. 106 SRSG (2007) Business and Human Rights: Mapping international standards of responsibility and accountability for corporate acts, report of the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, UN Doc. UN Doc. A/HRC/4/35, 9 February 2007 106 Amnesty International et al. (2007) Oral intervention: Amnesty International, ESCR-Net, Human Rigths Watch, International Commission of Jurists, International Federation for Human Rights, Human Rights Council, 4th session, 12-30 March 2007, Interactive session 112 Centre Europe–Tiers Monde (2007) Commentaires sur le rapport du Représentant special du Secrétaire général sur les droits de l’homme et les societés transnationales, Conseil des droits de l’homme – 4ème session 2007 113 Human Rights Advocates, Inc. (HRC) (2007) Written statement submitted by Human Rights Advocates, Inc. (HRA), a non-governmental organization in special consultative status, UN Doc. A/HRC/7/NGO/9, 2 March 2007 114 Clean Clothes Campaign (2007) Letter to John Ruggie, Amsterdam, 23 March 2007 114 CIDSE – Développement et la Solidarité (2008) CIDSE submission to the Special Representative of the United Nations Secretary-General on Business and Human Rights: Recommendations to reduce the risk of human rights violations and improve access to justice, February 2008 116 SRSG (2007) Letter to Niko Lusiani, 29 August 2007 118 International Network for Economic, Social & Cultural Rights (2007) Letter to John Ruggie, 5 September 2007 118 Joint NGO letter on work of the mandate, 10 October 2007 119 Chandler, Geoffrey (2007) Open letter to the signatories of the 10 October letter to the Special Representative of the UN Secretary General for business and human Rights, 15 October 2007 122 SRSG (2007) Letter to Ms Julieta Rosi. 15 October 2007 122
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(UN76)
(UN77)
SRSG (2007) Remarks at plenary session on “Business and the rules of the game: From rule-takers to rulemakers?”, 12th International Business Forum, World Bank, Washington D.C., 8-10 October 2007 123 SRSG (2008) Statement of the UN Secretary-General’s Special Representative on Business and Human Rights, Professor John Ruggie, to the UNCITRAL Working Group II (Arbitration and Conciliation), 48th session, New York, USA, 4-8 February 2008 124 SRSG (2008) Protect, respect and remedy: A framework for business and human rights, Report of the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises, John Ruggie, UN Doc. A/HRC/8/5 (2008) 125 SRSG (2008) Clarifying the concepts of “Sphere of Influence” and “Complicity”, UN Doc. A/HRC/8/16, 15 May 2008 129
annex b: texts related to the eu initiatives (EU1)
(EU2)
(EU3)
(EU4) (EU4) (EU5) (EU6) (EU7) (EU8) (EU9) (EU10) (EU11) (EU12) (EU13)
(EU14)
(EU15)
(EU16) (EU17) (EU18)
(EU19)
European Parliament (1998) Report on EU standards for European Enterprises operating in developing countries: towards a European Code of Conduct, Committee on Development and Cooperation, 17 December 1998, PE 228.198/fin 135 European Parliament (1999) Resolution on EU standards for European enterprises operating in developing countries: towards a European Code of Conduct, OJ C 104/180, EP Resolution A4-0508/98, adopted on 15 January 1999 142 European Parliament (1999) Resolution on the Communication from the Commission to the Council on the trading system and internationally recognised labour standards (COM(96)0402 – C4048896), A4-0423/98, adopted on 13 January 1999, OJ C104/63 14 April 1999. 145 Commission of the European Commission (2001) Promoting a European Framework for Corporate Social Responsibility, COM(2001) 366 (“Commission 2001 Green Paper on CSR”) 146 Green Paper Annex 152 European Parliament (2002) Report on the Commission Green Paper on Promoting a European framework for Corporate Social Responsibility, PE305.783, A5-0159/2002 153 Economic and Social Committee (2002) Opinion of the Economic and Social Committee on the Green Paper: Promoting a European framework for Corporate Social Responsibility, CES 355/2002, SOC/083 157 LO (2001) Consultation on the Commission’s Green Paper “Promoting a European Framework for Corporate Social Responsibility” 160 BAT (2001) Comment from the BAT cartel, 160 The Copenhagen Centre (2001) CSR Green Paper Consultation 160 Commission of the European Communities (2002) Communication from the Commission concerning Corporate Social Responsibility: A business contribution to Sustainable Development, COM(2002)347 161 Resolution of the Employment and Social Policy Council on CSR, 2-3 December 2002 170 European Parliament (2003) Report on the Communication from the Commission concerning Corporate S ocial Responsibility: A business contribution to Sustainable Development (COM(2002)347), PE 316.408 172 Comments from the Committee on Industry, External Trade, Research and Energy, on the Commission 2002 Communication on CSR, in European Parliament (2003) Report on the Communication from the Commission concerning Corporate Social Responsibility: A business contribution to Sustainable Development (COM(2002)347), EU Doc. PE 316.408 174 Comments from the Committee on Environment, Public Health and Consumer Policy, on the Commission 2002 Communication on CSR, in European Parliament (2003) Report on the Communication from the Commission concerning Corporate Social Responsibility: A business contribution to Sustainable Development (COM(2002)347), EU Doc. PE 316.408 175 Comments from the Committee on Development and Cooperation, on the Commission 2002 Communication on CSR, in European Parliament (2003) Report on the Communication from the Commission concerning Corporate Social Responsibility: A business contribution to Sustainable Development (COM(2002)347), EU Doc. PE 316.408 175 European Multistakeholder Forum on CSR, Objectives, composition and operational rules 176 European Multistakeholder Forum on CSR, Round Tables, Basic rules 178 European Multistakeholder Forum on CSR, High Level meetings, 1st High level meeting, agenda, Speech by Commissioner Anna Diamantopoulou, DG Employment and Social Affairs: Making CSR a win-win strategy for business and all stakeholders 178 European Multistakeholder Forum on CSR, High Level meetings, 1st High level meeting, minutes 180
(EU20) (EU21) (EU22) (EU23) (EU24) (EU25) (EU26) (EU27) (EU28) (EU29) (EU30) (EU31) (EU32) (EU33) (EU34) (EU35) (EU36) (EU37) (EU38) (EU39) (EU40) (EU41)
(EU42) (EU43) (EU44) (EU45) (EU46) (EU47) (EU48) (EU49) (EU50) (EU51) (EU52) (EU53)
EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Philippe de Buck – Secretary General UNICE EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Alain Wolf – Adviser to the Presidency, CEEP EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Xavier R. Durieu – Secretary General, Eurocommerce EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Jean Lapeyre – deputy Secretary General, ETUC EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Wim Philippa – Secretary General, ERT EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Arnaldo Abruzzini – Secretary General, Eurochambres EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Anne-Sophie Parent – Member Social Platform Management Committee EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Tony Long – Director, WWF European Policy Office EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Duncan McLaren – Head of Policy, Friends of the Earth EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Melanie Peeters – BEUC EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Agenda, Statements, Luuk Zonneveld – Managing Director, FLO EU Multistakeholder Forum on CSR, High Level meetings, 16 October 2002, Minutes EU Multistakeholder Forum on CSR, Round Tables, Work Programme EU Multistakeholder Forum on CSR, Round Tables, List of Subthemes – European Commission EU Multistakeholder Forum on CSR, Round Tables, List of Subthemes – CSR Europe EU Multistakeholder Forum on CSR, Round Tables, List of Subthemes – Eurocommerce EU Multistakeholder Forum on CSR, Round Tables, List of Subthemes – UNICE EU Multistakeholder Forum on CSR, Round Tables, List of Subthemes – ETUC EU Multistakeholder Forum on CSR, Round Tables, List of Subthemes – Civil Society Organisations EU Multistakeholder Forum on CSR, High Level meetings, 19 December 2002, Minutes EU Multistakeholder Forum on CSR, High Level meetings, 15 July 2003, Minutes EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Anna Diamantopoulou – European Commissioner responsible for Employment and Social Affairs: Dialogue and partnership: the key to successful CSR EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Minutes EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Erkki Liikanen – Member of the European Commission, Enterprise and Information Societ European Multistakeholder Forum on CSR, Highlights Interim Summary, Prepared and presented by Prof. Dr. Lutgart Van den Berghe, on behalf of the Rapporteurs of the MSF (Deleted; integrated into EU 44) EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Joint Proposal for a Final Report format from the Coordination Committee EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Address by Philippe de Buck – Secretary General UNICE EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Address by Alain Wolf – Deputy Secretary General, CEEP EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Address by Viscount Etienne Davignon – President, CSR Europe, et al. EU Multistakeholder Forum on CSR, High Level meetings, 13 November 2003, Address by Arnaldo Abruzzini – Secretary General Eurochambres (Deleted; integrated into EU42) European Multistakeholder Forum on CSR, Final Results and recommendations, 29 June 2004 (‘Final report’), Round Table Reports section European Multistakeholder Forum on CSR, Final Results and recommendations, 29 June 2004 (‘Final report’), Final Report section
180 181 182 182 183 184 184 185 185 186 187 187 189 189 190 191 192 193 194 195 196
197 198 202 203 204 204 205 206 207 207 208 208 213