Principle 2: Human Rights, Social Impacts & Community Development

Normative References

Universal Declaration of Human Rights (1948)
Adopted by the United Nations General Assembly following the end of the Second World War, the Declaration represents the first global expression of rights to which all human beings are inherently entitled.

United Nations Guiding Principles on Business and Human Rights (2011)
Endorsed by the UN Human Rights Council in June 2011, these Principles articulate the global expectation that companies have a responsibility to respect human rights. The Principles state that this responsibility requires companies to develop effective policies and procedures to assess the actual and potential human rights impacts associated with their activities and business relationships, and to act upon the findings.

Organization for Economic Cooperation and Development (OECD) Guidelines for Multinational Enterprises (revised 2011)
First released in 1976 and revised in 2011, the OECD Guidelines for Multinational Enterprises are recommendations addressed by governments to multinational enterprises operating in or from adhering countries. They provide voluntary principles and standards for responsible business conduct in areas such as employment and industrial relations, human rights, environment and information disclosure.

Voluntary Principles on Security and Human Rights
Developed by a number of governments, companies in the extractive and energy sectors, and nongovernmental organizations with an interest in human rights and corporate social responsibility, the Voluntary Principles guide companies in maintaining the safety and security of their operations within a framework that ensures respect for human rights and fundamental freedoms.

ISO 26000 Social Responsibility Standard (2010)
This Standard provides social responsibility guidance and best practice based on international consensus for organizations of all types.

International Council on Human Rights Policy – Beyond Voluntarism: Human Rights and the Developing International Legal Obligations of Companies (2002)
This report explores the extent to which human rights standards might create binding legal obligations on companies. It includes an informative overview of international human rights law.

Human Rights Tools and Guidance

United Nations Global Compact and the Office of the High Commissioner of Human Rights – Embedding Human Rights into Business Practice (2004)
This report draws together a number of briefings, case studies and policy studies on integrating human rights considerations into business practice.

Business Leaders Initiative on Human Rights (BLIHR), United Nations Global Compact Office, and the Office of the High Commissioner for Human Rights – A Guide for Integrating Human Rights into Business Management, 1st Edition (2006)
Offers practical guidance to companies that want to take a proactive approach to human rights within their business operations.

United Nations Global Compact – Human Rights Guidance Material
The UN Global Compact provides a range of tools and guidance on how companies can implement the responsibility to respect human rights and their commitment to support human rights.

IPIECA Human Rights Training Toolkit – 3rd Edition (2012)
This third edition of the Toolkit is designed to enhance the capabilities of companies in managing human rights issues and impacts in their business operations by providing awareness training on human rights issues relevant to employees, suppliers/contractors, provision of security and community engagement.

IPIECA Voluntary Principles on Security and Human Rights: Implementation Guidance Tools (2012)
This document assists oil and gas companies in implementing the Voluntary Principles and provides guidance on working with stakeholders, conducting a risk assessment and managing security providers. The guide includes case studies, report templates and sample contract language.

Institute for Human Rights and Business – Guidance for the Oil and Gas Sector on Implementing the UN Guiding Principles on Business and Human Rights (2013)
As part of the European Commission Human Rights Sector Guidance Project, the IHRB is drafting guidance for oil and gas companies on implementing the policy commitment, human rights due diligence, remediation and operational-level grievance mechanisms contained in the UN Guiding Principles.

IPIECA Human Rights Due Diligence Guidance

IPIECA released its second edition of its Human rights due diligence guidance for the oil and gas, and alternative energy industry. It reflects the continued evolution and valuable lessons learnt by IPIECA members from their shared experiences of developing and implementing human rights due diligence (HRDD) processes.

Human Rights Reporting

Corporate Human Rights Reporting: An Analysis of Current Trends (2009)
This analysis, commissioned by the Global Compact, the Global Reporting Initiative and Realizing Rights: The Ethical Globalization Initiative, examines trends in human rights reporting, providing ideas and examples of how businesses might improve their reporting practices.

Global Reporting Initiative
The Global Reporting Initiative (GRI) is a non-profit organization that has developed a comprehensive sustainability reporting framework that is widely used around the world. GRI also provides sector-specific guidance for the oil and gas industry.

Global Reporting Initiative, Topic Standard Project for Human Rights
The GRI is updating its standards for human rights, to be completed in May 2021.

Global Reporting Initiative, Oil and Gas Sector Supplement
The GRI is updating its oil and gas supplement, to be completed in May 2021.

A Resource Guide to Corporate Human Rights Reporting, a joint publication of the UN Global Compact, the Global Reporting Initiative, and Realizing Rights (2009)
A joint publication of the Global Compact, the Global Reporting Initiative and Realizing Rights: The Ethical Globalization Initiative, this resource guide is useful for organizations beginning the process of identifying relevant human rights issues in their operations. It can also help in translating existing and planned practices into more meaningful and effective reporting.


Stakeholder Engagement

AccountAbility – AA1000 Stakeholder Engagement Standard (AA1000SES) (2018)
The AA1000 Stakeholder Engagement Standard provides a framework to help organizations ensure stakeholder engagement processes are purpose-driven, robust and effective.

International Finance Corporation – Stakeholder Engagement: A Good Practice Handbook for Companies Doing Business in Emerging Markets (2007)
This handbook provides a comprehensive overview of good practice in stakeholder engagement, with a focus on stakeholder groups that are “external” to the core operation of the business, such as affected communities, local government authorities, nongovernmental and other civil society organizations, local institutions and other interested or affected parties.

World Bank Institute – Consultations with Civil Society: A Sourcebook (2007)
This document is an interactive, hyperlinked working document, intended as a reference document and practical guide to organizing consultations. Its content addresses consultation design, developing a profile of civil society, opportunities and constraints, organizing a consultation and the consultative process.

World Resources Institute – Breaking Ground: Engaging Communities in Extractive and Infrastructure Projects (2009)
This publication presents principles for effective community engagement for extractive and infrastructure projects, based on an analysis of existing community engagement standards and guidance, as well as experiences in several high profile projects.

International Alert – Conflict-Sensitive Business Practice: Guidance for Extractive Industries (2005)
This publication by International Alert provides a set of tools to help companies in the extractive industries understand and minimize conflict risk. It includes a useful section on stakeholder engagement that highlights key issues and recommendations for companies to consider when designing an engagement strategy (see “Flashpoint Issue 1: Stakeholder Engagement”).

CommDev – Managing Risk and Maintaining License to Operate: Participatory Planning and Monitoring in the Extractive Industries (2008)
This study explores how communities and companies can engage in co-planning and monitoring to ensure sustainable local development benefits from the extraction of resources.


Human Rights Risk Assessment and Due Diligence

Corporate Social Responsibility as Risk Management: A Model for Multinationals (2005)
Produced by the Corporate Social Responsibility Initiative of the John F. Kennedy School of Government, this paper develops a conceptual framework for companies to manage emerging social risks and examines the contribution of corporate social responsibility programs to managing those risks.

Due Diligence for Human Rights: A Risk-Based Approach (2009)
This paper by the Corporate Social Responsibility Initiative of the John F. Kennedy School of Government outlines a practical approach to human rights due diligence, demonstrating the ways in which an empirically-grounded, risk-based approach to due diligence permits companies to more effectively manage their responsibility to respect human rights.

IFC Sustainability Framework – Performance Standard 1: Assessment and Management of Environmental and Social Risks and Impacts (2011)
This updated Sustainability Framework establishes the importance of (i) integrated assessment to identify the project impacts, risks, and opportunities; (ii) effective community engagement through disclosure of project-related information and consultation with local communities; and (iii) management of environmental and social performance throughout the life of the project.

IPIECA – Human rights due diligence process: a practical guide to implementation for oil and gas companies (2012)
This guide assists oil and gas companies in human rights due diligence processes.



UN Comprehensive Human Rights Guidelines on Development-Based Displacement (2007)
Developed by the UN Special Rapporteur on adequate housing, these guidelines aim to assist States in developing policies and legislation to prevent forced evictions at the domestic level.

International Finance Corporation (IFC) – Guidance Note 5: Land Acquisition and Involuntary Resettlement (2012)
The Guidance on Performance Standard 5 provides information and actions companies can take to avoid or minimize displacement, avoid or minimize adverse social and economic impacts from land acquisition, and improve or restore the livelihoods and standards of living of displaced persons.

International Finance Corporation (IFC) Handbook for Preparing a Resettlement Action Plan (2002)
This handbook provides guidance in the planning and execution of involuntary resettlement, detailing the preparation and execution of a Resettlement Action Plant though all phases of project life.

International Finance Corporation (IFC), Projects and People: A Handbook for Addressing Project-Induced In-Migration (2009)
This handbook contains comprehensive information on all aspects of project-induced in-migration, including extensive chapters on management approaches and the development of an influx management strategy.


Grievance Mechanisms

International Finance Corporation (IFC), Good Practice Note: Addressing Grievances from Project-Affected Communities (2009)
This Good Practice Note developed by the IFC provides expanded guidance for companies on the grievance management pillar of stakeholder engagement. It provides guidance on basic principles and general steps that organizations from any sector and of any size should take into account when dealing with concerns and complaints from affected communities. The document also includes examples from private sector projects of IFC clients around the world, ranging from large oil, gas, and mining projects to medium and small manufacturing companies.

Harvard Kennedy Corporate Social Responsibility Initiative – Piloting Principles for Effective Company-Stakeholder Grievance Mechanisms: A Report of Lessons Learned (2011)
This project, conducted on behalf of the Special Representative of the UN Secretary-General for Business and Human Rights, summarizes key lessons learned from a pilot project on principles for effective non-judicial grievance mechanisms to address complaints or disputes involving businesses and their stakeholders.

Harvard Kennedy Corporate Social Responsibility Initiative – Rights – Compatible Grievance Mechanisms: A Guidance Tool for Companies and Their Stakeholders (2008)
This tool provides comprehensive principles and guidance for the development of grievance mechanisms within a human rights framework.

Remediation, Grievance Mechanisms and the Corporate Responsibility to Respect Human Rights
Links to numerous resources including videos, guidelines and tools on operational-level grievance mechanisms.

United Nations Guiding Principles on Business and Human Rights (2011)
See para 31: Effectiveness criteria for non-judicial grievance mechanisms.

IPIECA – Operational level grievance mechanisms: good practice survey (2012)
This publication draws together key insights on designing and implementing community grievance mechanisms.

Office of the Compliance Advisor Ombudsman (CA0) for the International Finance Corporation (IFC) – A Guide to Designing and Implementing Grievance Mechanisms for Development Projects (2008)
This publication outlines the steps involved in developing and implementing a grievance mechanism.

Community Health

International Council on Mining and Metals (ICMM) – Good Practice Guidance on Health Impact Assessment (2010)
This publication is a practical tool to assist companies in protecting the health and wellbeing of their workforce and local communities. It includes an overview of the health impact assessment (HIA) process, as well as detailed instructions for undertaking a rapid in-house HIA.

International Finance Corporation (IFC) – Introduction to Health Impact Assessment (2009)
This guide by the IFC has three objectives: (1) To present methodological approaches to assess and address potential community health impacts that might typically be encountered in the development or review of existing or future industrial projects, (2) To assist in the development of the terms of reference (TOR) that may be needed to conduct the HIA, and (3) To help ensure inclusion of health impact aspects in the social and environmental impact assessment process.

International Finance Corporation (IFC) Guidance Note 4: Community Health, Safety, and Security (2012)
This guidance addresses an Operator’s responsibility to avoid or minimize the risks and impacts to community health, safety and security that may arise from project related-activities, with particular attention to vulnerable groups.


Community Investment

IPIECA – Guide to Successful, Sustainable Social Investment for the Oil and Gas Industry (2008)
This guidance document aims to address the question of how to create successful and sustainable community investments and how to measure their success.

Harvard Kennedy School of Government – The Role of the Extractive Sector in Expanding Economic Opportunity (2007)
This publication by Harvard University’s John F. Kennedy School of Government explores the role of extractive industry firms in expanding economic opportunity. It examines business strategies, and includes case studies highlighting innovative extractive industry initiatives.

UN Human Development Indicators
This sub-section of the UN Development Programme’s Human Development Reports website provides background information and data on key human development indicators.

Issues in Estimating the Employment Generated by Energy Sector Activities (2011)
This publication by the World Bank provides a comprehensive, detailed and technical guide to estimating the employment impact of projects in the energy sector.

World Bank Group – Community Development Agreement: Model Regulations and Example Guidelines (2010)
This document identifies the building blocks of successful community development agreement initiatives. It also provides model community development agreement regulations suitable for adoption into legislation or which can be modified for use as guidelines.

Centre for Social Responsibility in Mining – Good Practice Note: Community Development Agreements (2011)
This document focuses on the design and use of CDAs, providing guidance on the processes and structures for negotiating, structuring and implementing agreements, as well as how to maximize the effectiveness of CDAs as mechanisms for delivering development outcomes.

Mining Community Development Agreements: Source Book (2012)
This document describes some of the main considerations and processes regarding the development and implementation of strategies to deliver development benefits to communities affected by extractives projects, specifically in relation to Community Development Agreements (CDAs).