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 SRSG’s website is accessible at:, 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 ( – 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: This briefing note includes all documentation prepared by or for the SRSG to date. In addition to the SRSG’s official reports, it also includes briefing papers prepared by the SRSG’s 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 SRSG’s 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 SRSG’s website.

Human Rights Resolution 2005/69, available at: 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



(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 SRSG’s presentations of his reports to the Council and responses from state delegations. Press articles and other media commentary on the SRSG’s 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 SRSG’s mandate until June 2011. Resolution A/HRC/RES/8/7 is available at: 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 SRSG’s mandate with two main tasks: “operationalizing” the UN Framework—that 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: Readers should look at the SRSG’s 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


Internet link

22 Feb, 2006

Interim report: page_e.aspx?si=E/CN.4/2006/97 SRSG’s statement to HRC introducing his interim report: Discussion of the interim report by the HRC: Video clips of discussion at the HRC:

2 c/archive.asp?go=060925 c/archive.asp?go=060926

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


9 Feb, 2007

Main report: page_e.aspx?si=A/HRC/4/35 SRSG’s statement to the HRC: Video available at gieHRC2007 Responses by governments: SRSG’s responses to questions from governments: Video available at 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


13 Feb, 2007 dpage_e.aspx?si=A/HRC/4/35/A dd.1


15 Feb, 2007 dpage_e.aspx?si=A/HRC/4/35/A dd.2


28 Feb, 2007 dpage_e.aspx?si=A/HRC/4/35/A dd.3


8 Feb, 2007 dpage_e.aspx?si=A/HRC/4/35/A dd.4

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


5 Feb, 2007 dpage_e.aspx?si=A/HRC/4/74


reports-andmaterials.pdf SRSG’s presentation to the Human Rights Council: http://www. 2008 Main report huricane.nsf/(httpNewsB yYear_en)/7A26BE393B4820AB C125745D005B84DE?OpenDocu ment SRSG’s response to State questions: Same as above SRSG’s presentation on mandate review http://www. Respect and Remedy: a Framework for Business and Human Rights A/HRC/8/5 7 April.ohchr.pdf State responses to presentation See generally: E/HRC/resolutions/A_HRC_RES_ huricane.unog. Resolution A/HRC/RES/8/7 extending the SRSG’s mandate: http://ap.unog.pdf Press release from the Council’s session on 18 June: http://www.doc State responses to presentation See generally: ite/ 4 .unhchr.nsf/view01/F862D0932 8BA5EACC125746C006CB1DF?o pendocument Press release on the mandate extension: http://www.2008 Official reports Main report: ite/ yYear_en)/FA349461C35C01F5C 125745F003C30AF?OpenDocum ent SRSG’s response to State questions Same as above.nsf/view01/25A5BFE35 6481C47C1257474003701E8?op endocument SRSG’s presentation to the UN General Assembly (28 October 2008): http://www.businesshumanrights.

see http://www.businesshumanrights.1 23 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. Feedback to be posted on the SRSG’s website can be sent to: regaignon@businesshumanrights. including business: an overview of international and regional Respect and Remedy Framework: A Progress Report A/HRC/8/16 15 rc/archive. and for interactive dialogue.pdf A/HRC/11/13 22 2009 http://www.asp?go=011 UN Press Release: 2008 Addendum: State obligations to provide access to remedy for human rights abuses by third parties. 2008 http://www.asp?go=011 http://www.un.2 23 rc/archive.reports-andmaterials.businesshumanrights.reportsand-materials.reports-andmaterials.1 15 May 2009 A/HRC/14/27 9 April 2010 http://www. Commentary on the report is available at: ry/715771 SRSG’s presentation to the HRC: http://www.reports-andmaterials.reports-andmaterials.pdf A/HRC/8/5/ Presentation of report to the Council: 5 .org/ Webcast also available: http://www. commentary and decisions 2010 official reports Main report: Business and Human Rights: Further steps toward the operationalization of the “Protect. 2008 rc/archive.pdf Companion report: Clarifying the concepts of “sphere of influence” and “complicity” 2009 official reports Main report: Towards Operationalizing the Protect.un. Respect and Remedy” Framework A/HRC/11/13/Add.

org/Amnestystatement-Human-RightsCouncil-re-Ruggie-1-Jun2010.institutehrb. See also Statements on the report to the Council from Amnesty International: http://www. See also Blog prepared by the SRSG for the Institute for Human Rights and Business: gs/guest/putting_the_protect_re spect_remedy_framework_into_ practice.html 6 .al/Home/ReportstoUNHumanRig htsCouncil/2010/Comments.

org/Documents/R uggie-report-Convention-onRights-of-Child-Jul-2007.pdf http://www.reports-andmaterials. 2007 Sept. including through international cooperation. the SRSG addressed the sixth Inter-Committee meeting of the human rights treaty bodies to discuss the State responsibilities to regulate and adjudicate corporate activities under the United Nations’ core human rights treaties In 2006 the SRSG’s team. embarked on a project to examine states’ obligations in relation to corporate activity under the United Nations’ core human rights treaties. 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. 2007 Report No. Each report maps the scope and content of states parties’ responsibilities to regulate and adjudicate the actions of business enterprises under the particular treaty. 6: Convention on the Rights of the Child and its Optional Protocols July. 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. This series was undertaken to assist the SRSG’s work under sub-para (b) of his mandate. with the assistance of the United Nations Office of the High Commissioner for Human Rights. Inhuman or Degrading Treatment or Punishment Dec. 2007 June.businesshumanrights. 4: Convention on the Elimination of All Forms of Discrimination Against Women May.pdf http://www. as Addendum 1 to his March 2007 report. 2007 Report No.reports-andmaterials.” As set out above. There are no official UN document numbers for the individual treaty reports.pdf http://www.pdf Report No. 2006 Internet link http://www. 1: International Convention on the Elimination of All Forms of Racial Discrimination Date ate-Obligations-Corporate-ActsCERD-18-Dec-2006. In June 2007. The background paper provides an updated view of the main trends from the series. 5: Convention against Torture and Other Cruel. drawing on commentaries from the relevant treaty body as appropriate. Links to the background paper and summary report for this meeting are included below. and business and human rights issues more broadly. a report summarizing the main findings and trends from the treatyspecific reports was submitted by the SRSG to the HRC.pdf http://www. Name of Document Report No. Social and Cultural Rights Report No. 2: International Covenant on Economic. 2007 7 http://www. 3: International Covenant on Civil and Political Rights Report No.

A report on the European system is See part 4(b) /dpage_e.aspx?si=A/HRC/4/35/ 2007 Addendum 1 to the SRSG’s 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.reports-andmaterials.businesshumanrights. 2007 June. 7: International Convention on the Protection of the Rights of All Migrant Workers and Members of Their Families Background paper for the SRSG’s address to the sixth Inter-Committee Meeting of the human rights treaty bodies Summary report of SRSG’s address to the sixth InterCommittee Meeting of the human rights treaty bodies Date Jan. 8 .reports-andmaterials.1) 13 Feb.pdf http://www. 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.Name of Document Report No.pdf RSG-report-migrant-workersJan-2007. 2007 Internet link http://www.pdf http://ap.1 June.

ohchr. Please note that while Addendum 2 to the SRSG’s 2007 report summarized the 2006 consultations on the attribution of corporate responsibility under international law. four workshops of legal experts. E/CN. and two sector-specific meetings. 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. The SRSG has also held civil society consultations on five continents. Conference 2005 Sectoral consultation on Human Rights and the Extractive Industry Date 10-11 Nov. he convened three regional consultations.4/2006/92) See consultations’ page on the SRSG’s website: http://www.aspx?si= E/CN.businesshumanrights.) The SRSG is grateful to the governments providing financial and logistical support for these consultations. 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 ments/dpage_e. (Only background papers and summary reports are set out below – submissions from NGOs regarding various consultations and the SRSG’s responses are included in section 5. as well as the permissible scope of extraterritorial regulation. 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.html Summary report (UN Doc. and the need for more effective grievance mechanisms to populate the relatively barren space between litigation and campaigns against companies. Anglo American plc) ESCR-Net joint submission Internet link http://www. the corporate responsibility to tarted/UNSpecialReprese ntative http://ap. the complete reports for these consultations are listed below because Addendum 2 provided only the abridged /news_archives/2005_11 _17. 2005 Location Geneva Docs Presentation by Sir Mark Moody Stuart (Chairman.unglobalcom pact.4/2006/92 9 .(3) Consultations held by the SRSG The SRSG has held numerous multi-stakeholder consultations to encourage dialogue and inform his work. Set out below are the background papers and summary reports from these consultations. In the lead-up to his 2007 report.

reports-andmaterials. 2006 Location Johannesburg Docs Presentation by Salil Tripathi (International Alert) Summary report Internet link http://www. 2006 Brussels Background paper http://www. Oct.doc Joint statement by Asian civil society – page 3 lists all signatories.businesshumanrights.pdf Response from SRSG: http://www.pdf Asian Regional Consultation 26-27 June.reports-andmaterials. 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.pdf http://www. 2006 Bangkok Briefing paperMeaningful Change: Raising the Bar in Supply Chain Workplace Standards Summary report http://www.pdf nts/Extraterritoriallegislation-to-improveaccountability-legalexperts-seminarBrussels-summary- Summary report 10 .reports-andmaterials. 2006 Oslo Summary note 3-4 Releases/Salil_Tripathi_s 2006 African Regional Consultation Date 27-28

2007 Geneva Summary report (UN Doc.reports-andmaterials.ohchr.pdf SRSG’s response: http://www. 2007 Bogota Summary report 2006 New York Summary report http://www.businesshumanrights.harvard.ksg.pdf Expert Legal Workshop on Attributing Corporate Responsibility for Human Rights Under International Law 17 Nov.pdf nts/Workshop-CorpResponsibility-under-IntlLaw-17-Nov-2006. A/HRC/4/99) http://ap. 1 on Accountability Mechanisms for Resolving Complaints and Disputes 11–12 April. edu/mrcbg/CSRI/publications/re port_15_accountabilitym echanisms.reports-andmaterials. Sectoral Consultation on Human Rights and the Financial Sector 16 Feb.pdf df Summary report http://www.aspx?si= A/HRC/4/99 Expert Consultation No.pdf http://www.oecd.pdf 2007 Latin America Regional Consultation 18-19 aoecd/42/11/ Date Location Docs Internet link report-3-4-Nov-2006. 2007 Boston Background papers ments/dpage_e.harvard. edu/mrcbg/CSRI/publications/w orkingpaper_37_Rees. 2007 Geneva Summary note 11 .pdf SRSG’s meeting with UN Special Procedures 19 June.ksg.pdf Joint statement by Latin American civil society – page 2 lists all signatories.

org/Docume nts/Ruggie-GlobalWitness-announcement24-Sep-2007.pdf http://www.businesshumanrights.Conference Expert Consultation on Business & Human Rights in Conflict Zones: the Role of Home States Date 5 Nov.reports-and- Related documents 12 .reports-andmaterials.pdf http://www.pdf nts/ ity-mechanismsworkshop-report-Nov2007.pdf http://www.pdf n-8-9-Nov-2007backgrounder.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.pdf Summary report Expert Consultation on Improving the Human Rights Performance of Business through Multistakeholder Initiatives 6-7 Nov.pdf Rights-compatible grievance mechanisms: a guidance tool for companies and their stakeholders http://www.pdf http://www.reports-andmaterials.reports-andmaterials. 2 on Accountability Mechanisms for Resolving Complaints and Disputes 19-20 Nov. 2007 Location Berlin Docs Announcement of joint project with Global Witness on corporate-related abuses in conflict zones Background paper Internet link nts/Ruggie-CleanClothes-Campaignannouncement-1-Oct2007. 2007 Copenhagen Background paper Summary report Expert Consultation nts/ 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. 2007 Boston Summary report nts/

org/Docume nts/ Mapping grievance mechanisms in the business and human rights arena Background report Non-Judicial and Judicial Grievance Mechanisms for Addressing Disputes between Business and Society: Their Roles and Interrelationships Summary report 2007 Geneva Summary report http://www.reports-andmaterials.pdf Grievance mechanisms for business and human rights: nts/Ruggie-consultationforum-access-toremedies-Sep-2008.Conference Date Location Docs Internet link materials.DOC http://www.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. 2008 London Summary report http://www.pdf http://www.reports-andmaterials. weaknesses and gaps nts/ http://www.businesshumanrights.reports-andmaterials.pdf 22 May.doc 13 .pdf Expert Consultation on the Corporate Responsibility to Respect Human Rights 2008 Stabilization Clauses and Human Rights: 1 4-5 Dec. 20-21 November 2008 Boston Online forum to discuss ideas for November consultation. sideevent information 14 .pdf 2009 Regional consultation (Asia-Pacific) Date 5-6 February 2009 14 – 15 May 2009 Location New Delhi Docs Summary report Internet link http://www.doc SRSG response: nts/ Regional consultation (Latin America) Buenos Aires Summary report Joint .pdf Forthcoming http://www.reports-andmaterials.pdf epPortal/Home/OHCHRC onsultation-Geneva56Oct2009 See also remarks by Yahoo!: OHCHR consultation on operationalizing the Protect.reports-andmaterials.hks. Respect and Remedy Framework 5–6 October 2009 Geneva SRSG remarks.harvard.pdf http://www.businesshumanrights. submissions.businesshumanrights.Statement from NGOs International Roundtable on Conflict Management and Corporate Culture in the Mining Industry 12 June 2009 Boston Background paper Summary report Workshop on Responsible Contracting 25 – 26 June 2009 Paris Summary report Workshop on integrating a gender perspective into the SRSG’s work Corporate Law Tools Project Meeting 29 June 2009 New York Summary report 30 June 2009 New York Summary report http://www. edu/mrcbg/CSRI/publications/re port_36_sherman_grieva nce. 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.

2010 New York Background paper Agenda Summary report and commentary http://www.pdf 20 January 2010 Berlin Summary report International Forum Business And Human Rights .reports-andmaterials.pdf http://www2.pdf 15 .org/ See commentary from Wachtell. Remedy” Framework 5 -6 November 2009 Toronto Summary report http://www.Protect.pdf http://www. Respect and Remedy 16 March. “ 15/yahoo-at-the-un/ Expert consultation on Corporate Law and Human Rights 2010 Closing Governance Gaps: Application of the U.pdf Report Expert Meeting of North American Corporate and External Counsel: Exploring Human Rights Due Diligence 30 April.Conference Date Location Docs Internet link http://www. 2010 Moscow Agenda http://www.pdf Summary report is mperia/md/content/ainternet2008/ef/report_th ats_it.pdf See also report from broader meeting convened 21 January 2010 by Development Policy eng/Newsletter/02_2010/ OON69. Lipton. InWEnt.N.unrussia. http://www. on behalf of German Federal Ministry for Economic Cooperation and Development (BMZ) http://www.yhumanright sblog.reports-and-materials.reports-andmaterials. Rosen & Katz: http://www.

Those reference papers that were explicitly prepared to inform the SRSG are included below. In rare cases where authors were comfortable with making their work publicly available. sometimes in conjunction with other organizations. Date Public feedback from external parties? No Internet links May. reference papers or submissions. Document 2006 Questionnaire for UN member states Nb: the results of the questionnaire were summarized in addendum 3 to the SRSG’s 2007 report. business associations and law firms. Briefing papers. Where publicly available. discussion papers are shorter papers. with the SRSG receiving material from a variety of stakeholders. briefing papers. including the International Finance aire-UN-member-statesbusiness-human-rightsMay-2006. featured in section 1 above. 2006 http://www. the relevant documents have been listed as being produced by the SRSG’s team. These submissions will be highlighted on the SRSG’s homepage as “new additions” as they become available. are more detailed research reports examining issues in greater depth. Submissions are papers from external parties that are designed to inform and advise the SRSG. also produced by the SRSG’s team. Note that some of the documents were summarized in the four addenda attached to the SRSG’s 2007 report but are listed separately here given that not all of them were reproduced in full in the addenda. Readers should note that the SRSG expects additional submissions from several parties in the lead up to the 2008 report. Reference papers are not produced by the SRSG’s team but have been identified by the SRSG as providing useful analyses of issues falling within the mandate.(4) General briefing papers and submissions The 2007 report drew on some two-dozen research papers prepared by or for the SRSG. The table below also lists feedback from external parties on documents prepared by the SRSG and his team as well as forthcoming publications. including NGOs. usually containing recommendations rather than descriptive information. these external and internal papers are listed below. Since then. grouped depending on the type of author. intended to summarize the current state of play and engender debate on a particular issue. the number of briefing papers.doc 16 . but not for attribution. Documents are labelled as discussion papers. (a) SRSG’s team Set out below are discussion papers and briefing papers prepared by the SRSG and his team. generally prepared by the SRSG’s team. discussion papers and submissions provided to the SRSG by external parties has continued to grow. By way of explanation. The SRSG’s own team has also contributed several research and discussion papers.

doc Internet links International Business Leaders Forum: -paper-human-rightsimpact-assessments-Jul2006. 2006 http://www.reports-andmaterials.pdf ss_releases/pdf%20files/rugg ieltr10-10-06.pdf Discussion paper on Security of People and Assets 21 July.doc The Ethical Funds Company http://www.pdf Joint letter from Socially Responsible Investors: 17 . 2006 http://www.doc -paper-revenue-sharing28-Jul-2006.ft.pdf Financial Times Briefing paper on Human Rights Policies & Management Practices of Fortune Global 500 Firms: Results of a Survey 1 Sept.reports-andmaterials.reports-andmaterials.reports-andmaterials. 2006 John O’Reilly (formerly of BP): http://www.Document Discussion paper on Human Rights Impact Assessments Date 18 July.html?nclick_ch eck=1 Discussion paper on Revenue Sharing and Fiscal Management 28 July. 2006 http://www.reports-andmaterials.pdf Joint letter from Socially Responsible Investors: -paper-reporting-7-Aug2006.pdf OECD and SRSG’s response ss_releases/pdf%20files/rugg ieltr10-10-06.pdf Discussion paper on Reporting on NonFinancial Performance 7 -paper-security-Jul2006. 2006 Public feedback from external parties? Joint NGO letter and SRSG’s response:

edu/Research/wpaper.ethicalcorp.c om/content.reports-andmaterials.ethicalcorp.c om/content. Regional & Sectoral Variations Human Rights Policies of Chinese Companies . 2007 No No http://www.harvar d.ethicalcorp.asp?Content ID=5353 By Invitation Submission to Ethical Corporation Magazine: “Voluntary initiatives – Helping the laggards join the race” 7 Oct.pdf http://ksgnotes1.pdf 6 Sept.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. 2007 Sir Geoffrey Chandler (Founder Chair of Amnesty International UK Business Group): http://www.c om/ ents/Ruggie-Chinasurvey-Sep-2007. 2007 No http://www.Document Briefing paper on Business Recognition of Human Rights: Global Patterns.asp?Content ID=5626 18 .asp?Content ID=5504 11 Dec. 2007 /media.businesshumanrights. 2006 Public feedback from external parties? No Internet links http://www.asp?Content ID=5565&ContTypeID= 2 Press release on joint project with IFC: http://www. 12 Nov. 2007 No Sept. 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.ifc.c om/content. nsf/rwp/RWP07-029 27 June.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.c om/ ontent.Results from a Survey By Invitation Submission to Ethical Corporation Magazine: “Standards and Practices – Guiding Principles for Business and Human Rights” Date 12 Dec. 2007 No Submission: http://www. Addendum to briefing paper on Business Recognition of Human Rights: Global Patterns.

org/publi c/PDFs/CRF.reports-andmaterials.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 Scientist’s 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.pdf http://www.reports-andmaterials.asp?Content ID=5700 March 2008 No Consultation draft: http://www.pdf See also Feb 2008 SRSG statement (discussing this project) to UNCITRAL working group on arbitration and conciliation April 2008 No http://www.ethicalcorp.2008/CRF2008-1_Corporate.ethicalcorp.pdf May 2008 No 19 om/ n-Clauses-and-HumanRights-11-Mar-2008.reports-andmaterials.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.pdf May 2008 No 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. Summary of meeting on policy framework.doc 18 June.pdf http://www. 2008 No http://www. 2008 No 24 June.pdf Explanatory Note: 2008 No ents/ ents/ 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.businesshumanrights.pdf ICJ response: ents/PresentationHuman-Rights-TreatyBodies-24-Jun-2008.pdf http://www.reports-andmaterials. 2008 No Statement on Arbitration and Transparency to UNCITRAL 27 June. 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.pdf 20 .pdf http://www.businesshumanrights.reports-andmaterials.doc Background paper: http://www.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 Remarks at European Parliament 16 April 2009 No 21 .org/ideas/briefings /data/000089 http://www.pdf 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.pdf http://www.pdf Law firm reports available as completed at: See also preliminary research template: http://www.reports-andmaterials.policyinnova tions.reports-andmaterials.reports-andmaterials.reports-andmaterials.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 ents/ 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.businesshumanrights.pdf http://www.pdf

pdf http://www.pdf Statement to UN Permanent Forum on Indigenous Issues May 2009 No http://www.pdf /rw/RWFiles2009.reports-andmaterials.reportsand- Remarks prepared for ICJ’s 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 .businesshumanrights.doc ents/Ruggie-statementUK-3-Jun-2009.pdf http://www.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 esByRWDocUnidFilenam e/MUMA-7X49Y4full_report.reliefweb. South Africa (BITs review) 4 September 2009 No Press release: announcement of project on Business and Human Rights in Conflict‐affected Regions: The Roles of States Statement to 3rd Committee of UN General Assembly 22 October 2009 No 22 October 2009 No$File/full_ report.pdf http://www.reports-andmaterials.pdf http://www.Document Date Public feedback from external parties? Internet links Parliament-16-Apr2009.

Respect and Remedy Framework at same event: http://www.reports-andmaterials.pdf See Swedish and Spanish Governments’ statement on the ents/Ruggie-note-reISO-26000-Nov2009. International Organization of Employers Hosted by The Coca-Cola Company International Bar Association interview with the SRSG 25 February 2010 No http://www.pdf Other presentations made at the conference are available at: Survey of States’ national CSR policies – summary report June 2010 No 23 .ibanet.S. Chamber of Commerce.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. Council for International Business.pdf Online consultation site: www.srsgconsultation. rticle/Detail.PDF Press release: Uid=CB9BDC34-184D42A2-BE7C613B3EFDC89F http://www.pdf 19 April 2010 No http://www.Document Responsibility (remarks focused on extraterritorial jurisdiction) Date 2009 Public feedback from external parties? Internet links 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

org/Ruggieremarks-re-VoluntaryPrinciples-1-Jul-2010.pdf http://www.pdf Supply chains paper: Document 2006 The Role of the Financial Services Sector in Respecting Human Rights Indigenous Peoples’ Rights.pdf Remarks to International Labor Conference Date 3 June 2010 Public feedback from external parties? Yes – see NGO submissions Internet links http://www. pdf Guidelines paper: taoecd/17/50/45535896. 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. 2006 Internet links http://www.reports-andmaterials.oecd.pdf 24 . 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.reports-andmaterials. 2006 http://www.oecd.banktrack.reports-and-materials.pdf taoecd/17/35/45545887.pdf February 2007 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 20and%20processes/banks%20and%20hum an%20rights/061218%20letter%20to%20ru ggie%20on%20banks%20and%20human%2 0rights.

Business and Human Rights: Key Issues and Opportunities Feb. Susan A. August 2008 http://www.doc Response from SRSG: 25 . International Institute for Sustainable Development Dr. And in Spanish: http://www. Bank Information Impact of WTO Rules on Business Ability to Fulfill Human Rights Responsibilities and upon the State Duty to Protect April.pdf 2008 http://www.reports-and-materials. Knox Jan.businesshumanrights. 2008 Professor John Sector State duty to protect: the Relevance of Private Finance 2008 Facilitating Specification of the Duty to Protect Author Date Internet links BankTrack Nov. http://www. BankTrack.businesshumanrights. 2008 Jennifer Zerk for Corporate Responsibility (CORE) Coalition Coopération Internationale pour le Développement et la Solidarité (CIDSE) Howard Mann. 2007 http://www.reports-andmaterials. 2008 http://www.pdf International Investment buse_discussionpaper.reports-andmaterials.pdf Feb.pdf http://www. Aaronson (George Washington University) Feb. Senior International Law 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.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 Corporation’s Performance Standards and the Equator Principles: Respecting HR and Cecilia Anicama April.businesshumanrights. 2008

org/Sherpa-on-sustainablecontracts-Jan-2010. Hotel.pdf Precarious work – undermining human rights March 2010 html Sustainable Contracts Concept’s outlines and exploration tracks Trade 26 .reports-and-materials.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.pdf May 2010 http://www.pdf January 2010 South African Institute for Advanced Constitutional. World Resources Institute Oxford University Pro Bono Publico Date Internet links http://www. Remedy” Framework – Expert Multi-Stakeholder Consultation Berlin. Tobacco and Allied Workers’ Associations Sherpa Yann Queinnec 17 February 2010 ange_forum_irene_khan_22feb2010_report.reports-andmaterials.reports-andmaterials.pdf Elizabeth Umlas (independent researcher) Oxford University Pro Bono Publico Oxfam Australia January 2009 http://www.Document remedying violations Author Oxfam Business and Human Rights: The case of Export Processing Zones Precarious Work: Undermining Human Rights March 2010 http://www.reports-and-materials. Restaurant.institutehrb. Corporate Obligations and Extra-territorial Application in the African Regional Human Rights System November 2008 http://www.pdf July 2009 http://www. January 2010 The State Duty to Protect. Public. Human Rights and International Law International Union of Food. Catering.pdf http://www.reports-and-materials.pdf Dr Andrew Lang – London School of Economics International Metalworkers’ Federation April 2010 Respect.

ICC and BIAC Business Leaders’ Initiative on Human Rights Socially responsible investors – see p.reports-and-materials.reports-andmaterials.(c) Business community Author ICMM Date March. International Chamber of Commerce (ICC) and the Business and Industry Advisory Committee to the OECD (BIAC) Dec.reports-andmaterials. 2006 Internet links http://www.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.pdf Statement by the SRSG: 2008 http://www.reports-and-materials. 2 – 4 for signatories May.pdf Statement by the SRSG: 2006 http://www. 2008 Response to SRSG’s 2008 report June 2008 http://www. 2006 2007 Third submission by the ICMM ICMM 2007 Submission: http://www.reports-and-materials.doc Response to SRSG’s 2008 report 2009 Submission from ICC. ICC and BIAC March 2009 27 .org/Documents/US-SIF-reRuggie-mandate-extension-2-Jul-2008.reports-andmaterials.pdf See also press release from US Social Investment Forum applauding HRC’s decision to extend SRSG’s mandate: http://www.doc 2008 Response to SRSG’s 2008 report Response to SRSG’s 2008 report IOE. IOE and BIAC ICMM June. ICC & BIAC: http://www.businesshumanrights.pdf International Organization of Employers (IOE).org/Documents/ Cover letter from the IOE. 2008 http://www.icmm.pdf Submission: http://www.

2007 Memo: http://www. ICC Netherlands Dated: BDA – Association of German Employers’ Federations Date April 2009 Internet links http://www. respect and remedy” – fleshing out John Ruggie’s concept concerning corporate responsibility for human Input from German employers February 2010 http://www.reports-and-materials.Survey of Social & Environmental shareholder proposals 2006-2007: http://www.reports-and-materials.pdf 28 .reports-and-materials. 2008 http://www. 2008 http://www.pdf 2010 “Protect.pdf Memorandum on Corporate Duty and Human Rights under Australian Law Allens (Australia) Commentary on 2008 report from Dutch Business Associations Author Commission on Multinational Enterprises of Confederation of Netherlands Industry.pdf (d) Law firms and legal experts Author Allens Arthur Robinson (Australia) Date Aug. Employers Appendix .reports-and-materials. 2006 Internet links http://www.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) 2008 Comparative report on Corporate Culture as a Basis for the Criminal Liability of Corporations Allens (Australia)

org/UK-Foreign-Office-letterto-Ruggie-9-Jul-2009. Rosen and Katz Date May 2008 Internet links http://amlawdaily.pdf Response from SRSG: http://www.businesshumanrights.reports-and-materials.pdf Document 2009 Letter on the state duty to protect 29 .reportsand-materials.typepad.reports-andmaterials. 2009 Extraterritorial Jurisdiction: Lessons for the Business and Human Rights Sphere from 6 Regulatory Areas Dr. • The Millstein-Lipton Debate on UN Human Rights http://amlawdaily. Respect and Remedy: a Framework for Business and Human Rights” Author Wachtell.html Commentary on joint SRSG/IFC report “Stabilization Clauses and Human Rights” State Immunity and State Owned Enterprises Herbert Smith June. 2008 (e) Governments Author Daniel Bethlehem aily/2008/06/ les/wachtell_lipton_memo_on_global_busine ss_human_rights. Lipton. Gotshal & Manges LLP May. UK Foreign & Commonwealth Office Date 9 July 2009 Internet links http://www. 2008 http://www.reportsand-materials. Jennifer Zerk (submission to Harvard CSR Initiative) June 2010 http://www.pdf See also the following commentary in American Lawyer discussing both the Weil and Wachtell aily/2008/06/ Clifford Chance December 2008 Legal remedies for corporate abuses in South Africa Richard Meeran (Leigh Day & Co) 16 January.Document A United Nations Proposal Defining Corporate Social Responsibility for Human Rights Corporate Social Responsibility for Human Rights: Comments on the UN Special Representative’s Report Entitled “ k.html • A Sarbanes-Oxley for Human Rights http://amlawdaily. Legal Adviser.typepad.doc Response from SRSG: http://www.PDF Leigh Day submission: http://www.

org/IMG /pdf/business442a. 2006 Joint NGO comments on 2006 Interim report This letter was signed by 70 NGOs – page 3 lists all Respect and Remedy Framework. both at consultations and through more formal correspondence.reports-andmaterials. As highlighted below. the SRSG endeavors to respond to correspondence from NGOs where appropriate.pdf Commentary on 2006 Interim report 22 March. Included in section 4 above are the research papers NGOs have submitted to the http://www. 2006 http://www. Note that a significant number of NGO submissions were made to the October 2009 OHCHR consultation on the operationalization of the SRSG’s http://www.earthrights.pdf http://www.reports-andmaterials.fidh.pdf http://www. 18 May.pdf tion_on_Ruggie_reportFI NAL. 2006 No Commentary on 2006 Interim report 15 March. 2005 http://www.(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.reports-andmaterials. 2006 Commentary on 2006 Interim report 27 April. Also listed below is a selection of press releases from NGOs discussing the SRSG’s Illustrated below is other correspondence from NGOs commenting on and providing general suggestions regarding the work of the mandate. 2006 http://www.realizingright They are available at: http://www.reports-andmaterials.pd f Joint letter from Socially Responsible Investors – page 3 lists all signatories. International Federation for Human Rights (FIDH) Earthrights International 6 http://www.iccr.pdf /press_releases/pdf%20fi les/ruggieletter020706.pdf http://www.doc Commentary on 2006 Interim report Realizing Rights: the Ethical Globalization Initiative AI 31 March.doc http://www.o rg/legalfeature/ominous_ outlook_for_the_un_nor ms. 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. 2006 2007 30 .

2007 War on Want 28 March.reports-andmaterials.businesshumanrights.cetim. and Fédération Syndicale Mondiale Date March.pdf Formal response from SRSG? No Press release responding to SRSG’s 2007 report: “Commentaires sur le rapport du Représentant spécial du Secrétaire général sur les droits de l’homme et les sociétés transnationales” Commentary on 2007 report March.reports-andmaterials.pdf http://www. 2008 http://www. 2007 Internet links http://www.aspx?PageID=34 &ItemID=251 2007 2008 Commentary on 2008 report CEDHA (Centre for Human Rights and Environment) http://www.o rg/UN+report+shows+ne ed+for+business+curbs+ terventions_details. 2007 http://www.php See also submission to the HRC: No 31 .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 ts/Ruggie-response-CleanClothes-Campaign-17-Apr2007.reports-andmaterials.Subject of correspondence Joint NGO Statement to HRC on the SRSG’s 2007 report NGO(s) AI. 2007 http://www. 25 October.reports-andmaterials. and FIDH Centre Europe-Tiers Monde. Human Rights Watch. ESCR-Net.pdf See also response from Sir Geoffrey Chandler: en/more_information/un_ special.twl No ESCR-net (letter was a response to correspondence from the SRSG) 5 Sept.pdf No Press release responding to SRSG’s 2007 report: “Tougher measures needed for corporations on UN rights abuses” Press release responding to SRSG’s 2007 report: “UN report shows need for business curbs” NGO’s survey of “emblematic” cases of corporate human rights abuses ActionAid 26 March.escrnet. International Commission of nts/Clean-ClothesCampaign-letter-Ruggie23-Mar-2007. League for Peace & Freedom. 2007 http://www.businesshumanrights. 2007 http://www. Women's International.pdf SRSG’s letter is available at: ter_Ruggie_FinalEndorse / d=282 No Clean Clothes Campaign 23 March.

ohchr.doc No Joint NGO statement on 2008 report May.reports-andmaterials.Subject of correspondence NGO(s) Date Internet links http://ap.pdf?gda=c4L2BV8A AABH54bfagLYA3q7MZzk EDTJ_Pj5YX_WtUkVg5yD c5dHjWG1qiJ7UbTIupM2XPURDShVOVw9GrmV IRI6j5fz6iUm2yCHwuYwwnQwm73 f7K5d21OW0xyAHEM1Qe XGXmWNs http://www. 2008 http://www.reports-andmaterials.aspx?si= A/HRC/8/NGO/45 Formal response from SRSG? Commentary on 2008 report Robert 2008 ments/ s/200805301819191963.doc See also AI response to Sir Chandler: http://www.doc http://www. 2008 http://ap. pdf?username=guest@ci ments/dpage_e. Human Rights for Workers This statement was submitted by 11 NGOs – see statement for full list Sir Geoffrey Chandler April.ohchr.aspx?si= A/HRC/8/NGO/1 No Commentary on 2008 report CIDSE No Commentary on 2008 report Misereor/Global Policy Forum June 2008 Yes: http://www.doc No Commentary on 2008 report International Indian Treaty Council May.pdf Misereor/GPI response: Commentary on 2008 report ActionAid UK June 2008 No Commentary on 2008 report Libertas July 2008 No 32 . 2008 2008 No Response to joint-NGO statement from Sir Geoffrey Chandler epository/399353/link_pa ge_view oglegroups.

americamaga ment_re_Ruggie_reportJuly_08.reports-andmaterials.reports-andmaterials.org_ Setting_BoundariesClarifying_Scope_and_Co ntent_of_Corporate_Resp onsibility_to_Respect_Hu man_Rights.or g/Resources/Corporate% 20Activity/Resources/BH RRUpholding_Mkts_Darwi Submission on corporate responsibility to respect Institute for Human Rights and Business December 2009 m?article_id=11253&o=3 3759 No General submission on Protect.businesshumanrights.pdf Commentary on 2008 report Canadian Network for Corporate Accountability August 2008 Yes (to earlier draft from CNCA): http://www. Respect.Subject of correspondence Commentary on 2008 report NGO(s) Date Internet links Formal response from SRSG? No Amnesty International July 2008 http://www.pdf Commentary on 2008 report Robert Senser November 2008 ts/Canadian-Networkreply-to-Ruggie-21-Jul2008.doc Yes http://www.pdf CNCA response to SRSG’s letter: http://www.pdf Commentary on 2008 report Jus Semper Global Alliance October 2008 http://www.pdf Yes Remedy Framework Civil Society Groups Across Asia May 2009 http://www.institutehrb.halifaxinitiati ve.pdf No 33 .o rg/pdf/InstituteHRB.

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