water mandate human rights white paper

7/28/2019 Water Mandate Human Rights White Paper

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TheHumanRighttoWater:EmergingCorporatePracticeandStakeholderExpectations

WrittenbyJasonMorrisonandPeterSchulteofthePacificInstitute,withinputfromCEOWaterMandate

meetingfacilitator,

Rob

Greenwood

of

Ross

&

Associates

CopyrightUnitedNationsGlobalCompact,PacificInstitute

(year

2010)

CoverPhoto:Samrat35/Dreamstime


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IntroductionInJuly2010,theUNGeneralAssembly(UNGA)recognizedaccesstosafedrinkingwaterandsanitation

asahumanright.Twomonthslater,theUNHumanRightsCouncil(UNHRC)affirmedthisrightbya

consensusresolution.EvenbeforetheseUNactions,manygovernments,NGOs,academics,and

companiesalike

have

acknowledged

this

human

right

to

water

and

sanitation

and

sought

to

find

solutionstohelprealizeitontheground. Further,anumberofinitiativeshaveemergedthathave

attemptedtoelucidatewhatthisrightmeansforanumberofdifferentactors,includingcompanies.

Recognizingsuchsolutionsasacorepartofcorporatewaterstewardship,theCEOWaterMandatehas

identifiedexploringcorporatepracticeandenablingsolutionsonthisissueasoneofitsthreecorefocus

areas. Indeed,thisfocushasbeenbasedonthebeliefthatthesixcoreelementsoftheCEOWater

Mandateareinlinewithandsupportthehumanrighttowater.Aspartofthisworkstream,the

Mandatehasfeaturedfacilitateddiscussionsatseveralofitssemiannualworkingconferencesamong

endorsingcompaniesandkeystakeholdersfocusingonemergingcorporatepracticesandpolicies,as

wellasstakeholdersexpectationsregardingtheroleofbusinessinrealizingthehumanrighttowater.

Theseconversations

have

focused

almost

entirely

on

the

role

of

large

scale

private

sector

water

users

relatingtothisissue,recognizingthatroleandexpectationsofprivatewaterserviceprovidershassome

fundamentaldifferencesthatneedtobeaddressedseparately. Inearly2010,theMandateSecretariat

alsoconductedinterviewswithalmosttwodozenendorsersregardingtheircurrentandemerging

practicerelatingtowaterandhumanrights,whatitmeansinpracticetorespecttherighttowater,

theirthoughtsontheboundariesofcorporateresponsibilityinactingconsistentlywiththisright,and

otherimportantquestions.TheseMandatediscussionsandendorsersurveytookplacepriortothe

UNGAandUNHRCresolutionsonthehumanrighttowater.

Thiswhitepaperisdesignedtoprovideinformationthatwillinformbothhowindividualcompaniescan

respectthehumanrighttowater,aswellashowtheMandateitselfcanmeaningfullycontributeto

businessabilitytoeffectivelyaddressthisissue. Specifically,itsetsoutto:

Provideanoverviewofrelatedpublicpoliciesandemergingframeworksandguidancethatsupportbusinesspracticeand/orestablishexpectationsofcompaniesonthisissue;

Describethenatureofthechallengesandthecontoursofthedebateregardingbusinessesrespectingthehumanrighttowater;

Summarizethestateofplaywithregardtobusinesspracticeandillustrateexamplesofexistingcorporatepolicyandapproachesonthetopic;and

IdentifyoptionsforhowtheCEOWaterMandatemightadvancethiscorefocusarea.

SituatingtheMandatesworkonthehumanrighttowaterwithinabroadercontextIn

the

past

few

years,

anumber

of

public

policies

and

frameworks

have

emerged

that

inform

or

attempt

tobetterdefinebusinessresponsibilitiesregardingtherighttowater.Understandingtheseinitiativesis

criticaltounderstandwhatiscurrentlyexpectedofcompanies,aswellashowtheMandatecanbest

contributetothisspace.Thissectionwillidentifysomeofthesepoliciesandframeworksanddiscuss

theirkeyobjectivesandprogresstodate.

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UNGeneralAssemblyandHumanRightsCouncilresolutions

Aftermanyyearsofbeingrecognizedasafundamentalpartoftheattainmentofexistinginternationally

acceptedhumanrights,suchastherighttolife,health,andfood,aswellasbeingincorporatedintoa

numberofnationalconstitutions,theUNGeneralAssemblyinJuly2010formallyacknowledgedwater

andsanitationasahumanright.ASeptember2010resolutionbytheUNHRCclarifiedthefoundationfor

recognitionofthisrightandtherelatedlegalstandards,demonstratingitislegallybindingandequalto

allotherhumanrights.

TheUNHRCresolutionalsoreaffirmedthattheprimaryresponsibilitytoprotectandfulfillthehuman

righttowaterandsanitationresideswiththeState,evenincaseswhereStatesdelegatewaterservice

deliverytoprivateentities. ThoughtheresolutionoutlinesStatesobligationswithrespecttoprivate

waterserviceproviders,itdoesnotexploretheresponsibilitiesofprivatelargescalewaterusersin

realizingthehumanrighttowaterandsanitation.

TheRuggieFramework

In2005,JohnRuggie,aProfessorofInternationalAffairsatHarvardUniversitysKennedySchoolof

Government,was

appointed

as

the

UN

Secretary

Generals

Special

Representative

for

Business

and

HumanRights.Hismandateincluded,amongotherthings,thatheidentifyandclarifyinternational

standardsonthehumanrightsresponsibilitiesofcompaniesandelaboratetheroleofStatesin

regulatingandadjudicatingcorporatehumanrightsbehavior.Sincehisappointment,Ruggiehas

consultedwidelywithstakeholdersacrosstheworldandconductedvariousresearchprojects

identifying,clarifying,andinvestigatingthekeylegalandpolicydimensionsoftheroleofbusinessin

humanrightsissues.

Ruggiesfirstmajorreport1totheUNHRC,entitledProtect,Respect,andRemedy:AFrameworkfor

BusinessandHumanRights,wasreleasedinApril2008.Thereportoffersapolicyframeworkthat

establishescompaniesminimumresponsibilitiesinensuringhumanrightsarerealizedandprovides

guidanceto

businesses,

governments,

and

other

relevant

actors.

The

framework

is

built

around

three

corecomponents:

1. Governmentsdutytoprotectagainsthumanrightsabusesbythirdparties,includingbusinesses;2. Businessesresponsibilitytorespectallhumanrights;and3. Theneedformoreeffectiveaccesstoremediesforpeopleaffectedbycorporaterelatedhumanrightsabuses.

TheUNHRCwelcomedtheframeworkandextendedRuggiesmandateforanadditionalthreeyearswith

aviewtofurtheroperationalizeitsconcepts. ThisworkresultedinareportreleasedbytheSpecial

RepresentativeinApril2009,2aswellasathirdreportinApril2010,3bothfurtherarticulatingbusiness

actionsthatconstituterespectinghumanrights.Ruggiespecifiesthattheresponsibilitytorespect

requirescompanies

to

do

no

harm

and

to

ensure

so

by

undertaking

an

ongoing,

proactive

due

diligenceprocess.Suchaprocessestablishesinternalmechanismsthatallowacompanytoidentify,

prevent,andmitigateadversehumanrightsimpactsthroughouttheextentofitsoperations.Ruggiealso

1 To see Ruggies Protect, Respect, and Remedy report in full, go to: http://www.reports-and-materials.org/Ruggie-report-7-Apr-2008.pdf2 To read Ruggies April 2009 report in full, go to:http://www2.ohchr.org/english/bodies/hrcouncil/docs/11session/A.HRC.11.13.pdf3 To read Ruggies April 2010 report in full, go to: http://www.reports-and-materials.org/Ruggie-report-2010.pdf

3
http://www.reports-and-materials.org/Ruggie-report-7-Apr-2008.pdfhttp://www.reports-and-materials.org/Ruggie-report-7-Apr-2008.pdfhttp://www2.ohchr.org/english/bodies/hrcouncil/docs/11session/A.HRC.11.13.pdfhttp://www.reports-and-materials.org/Ruggie-report-2010.pdfhttp://www.reports-and-materials.org/Ruggie-report-2010.pdfhttp://www2.ohchr.org/english/bodies/hrcouncil/docs/11session/A.HRC.11.13.pdfhttp://www.reports-and-materials.org/Ruggie-report-7-Apr-2008.pdfhttp://www.reports-and-materials.org/Ruggie-report-7-Apr-2008.pdf


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describesfourstepsthatcompriseaneffectiveduediligenceprocess: establishingahumanrights

policy,assessinghumanrightsimpactsofcompanyactivities,integratingthosevaluesandfindingsinto

corporatecultureandmanagementsystems,andtrackingandreportingperformance.4Thisprocess

mustconsiderthepoliticalandsocietalcontextinwhichcompaniesoperate,thecompanysimpacts

withinthatcontext,andwhetherthecompanycontributestoabusethroughcommercialrelationships

(e.g.,supplychain)connectedtotheiractivities.

FrameworkforgoodpracticeinrealizingtherighttowaterandsanitationUNIndependentExpert

In2008,theUNHRCappointedCatarinadeAlbuquerqueasIndependentExperttoexplorehumanrights

obligationsrelatedtoaccesstosafedrinkingwaterandsanitation.Hermandateistoidentifygood

practices,clarifythenatureofobligations,andrecommendstrategiestorealizerelatedMillennium

DevelopmentGoals.Althoughhermandatedoesnotexpresslycoverlargescaleprivatewaterusers,her

workhasproducedsomeinsightsonrespectingthehumanrighttowaterforsuchactors.Further,her

mostrecentreporttotheUNHRC5explicitlystatesthatprivatewaterandsanitationserviceproviders

havecertainhumanrightsresponsibilities,thoughstatesareultimatelyaccountable.Inparticular,the

IndependentExpertsrecommendationsaddressingnonStatewaterserviceprovidersinclude:

(f)Allinstrumentsfordelegation,includingcontracts,mustbeinlinewithhumanrightsstandards,

contributetotherealizationoftherightstowaterandsanitationandguidetheactivitiesofnonState

serviceproviders;

(g)NonStateserviceprovidersshouldexerciseduediligencetoensuretheycomplywithhumanrights

standardsthroughouttheprocess,fromthebiddingoverenteringintoagreementswiththeStateto

theoperationofservices.TheyareencouragedtoproactivelyengagewiththeStatetodetectpotential

humanrightsabusesandfindsolutionstoaddressthese;

(h)Statesshouldcarryouthumanrightsimpactassessmentsbeforeandthroughouttheprocess,

buildingtheseintotheprocessofdecidingonthemeansofserviceprovisionaswellasamonitoring

provisiontodeterminetheactualandpotentialimpactontherealizationofhumanrights,including

therights

to

water

and

sanitation.

They

are

encouraged

to

adopt

legislation

that

imposes

obligations

onserviceproviderstoalsocarryouthumanrightsimpactassessments.Serviceprovidersshould

undertakesuchassessmentsaspartofexercisingduediligencetobecomeawareoftheactualand

potentialimpactoftheiractivitiesontherealizationofthehumanrightstowaterandsanitation;

(m)Toensureaccountability,Statesandotheractorsinvolvedshouldclearlydesignaterolesand

responsibilities;

(p)NonStateactorsmustnotobstructaccesstoStatebasedmechanismsandshouldalsoprovide

grievancemechanisms.

TheJuly2010reportbytheIndependentExpertalsoestablishesaframeworkforassessinggood

practices

for

water

service

providers

from

a

human

rights

perspective.

This

framework

is

built

upon

ten

criteriathatsignalgoodpractice. Fiveofthesecriteriaavailability,quality/safety,acceptability,

4 The UN Global Compact Office has developed a variety of human rights guidance material to aid business in this duediligence process, e.g. the Guide to Human Rights Impact Assessment and Management(https://www.guidetohriam.org/welcome). For a list of human rights tools available from the Global Compact, as well astools developed by other institutions, see:http://www.unglobalcompact.org/Issues/human_rights/Tools_and_Guidance_Materials.html5 To see the Independent Experts report in full, go t:http://www2.ohchr.org/english/issues/water/iexpert/docs/A-HRC-15-31-AEV.pdf.

4
https://www.guidetohriam.org/welcomehttp://www.unglobalcompact.org/Issues/human_rights/Tools_and_Guidance_Materials.htmlhttp://www2.ohchr.org/english/issues/water/iexpert/docs/A-HRC-15-31-AEV.pdfhttp://www2.ohchr.org/english/issues/water/iexpert/docs/A-HRC-15-31-AEV.pdfhttp://www2.ohchr.org/english/issues/water/iexpert/docs/A-HRC-15-31-AEV.pdfhttp://www2.ohchr.org/english/issues/water/iexpert/docs/A-HRC-15-31-AEV.pdfhttp://www.unglobalcompact.org/Issues/human_rights/Tools_and_Guidance_Materials.htmlhttps://www.guidetohriam.org/welcome


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accessibility,andaffordabilityarespecifictothehumanrighttowaterandsanitation,whereasthe

remainingfivenondiscrimination,participation,accountability,impact,andsustainabilityapply

morebroadlytotheachievementofallhumanrights.Thisreportdefinespracticebroadly,referringto

bothpolicyandimplementation. Assuchgoodpracticecancomeinabroadarrayofforms,including

internationaltreaties,legislationatalllevels,regulations,policies,strategies,institutionalframeworks,

campaigns,subsidies,andfinancingmechanisms,amongmanyothers.

Thereportassertsthatbothprivatewaterserviceprovidersandotherbusinessesthatmayimpacton

thehumanrighttowater/sanitationcancontributebyincludingtherespectandrealizationoftheright

towaterandsanitationintheircorebusinessoperationsanddecisionmakingprocesses. Akey

componentofthishumanrightsframeworkisconsultationwithandaccountabilitytocommunitieson

whichcompaniesmighthaveanimpact.Companiescanalsoengageininitiativesthatgobeyondtheir

responsibilitytohelprealizehumanrights,giventhattheyareconsistentwithhumanrightsstandards.

WaterAid/InstituteforHumanRightsandBusiness

WaterAidandtheInstituteofHumanRights&Businessareworkingtodevelopabriefingnote

addressingwhat

respecting

the

right

to

water

means

for

companies

(both

water

service

providers

and

largescaleusers).Thepaper(duetobepublishedinDecember2010)willclarifydifferencesbetween

therighttowaterandmoregeneralrightsbasedapproachesandwilloutlinehowcompaniescan

respecttheright.Thebriefingnotewillfurtherexploretheconditionsunderwhichprivateenterprise

mayengageinfulfillingthehumanrighttowater. Itwilloutlinetheareasrequiredforduediligenceand

highlightthenecessityformeaningfuldialoguebetweenbusiness,governmentsandcivilsociety.The

paperdeliberatelydoesnotseektofindanswerstothesharedsocial,political,environmental,and

economicrisksfacingcivilsociety,companies,andgovernmentsbutratherhighlightscriticalissuesand

drawstogethersomeofthepossibleactionsrequiredtogainthecommitmentandactionnecessaryto

tacklesharedriskandtoprioritizepeoplesaccesstowaterandsanitation.

ThecontoursoftheCEOWaterMandatesdiscussionsregardingcorporateresponsibilityonthehumanrighttowaterAccordingtoanAugust2007studybytheUNHighCommissionerforHumanRights,thehumanrightto

waterentitleseveryoneaccesstoasufficient,safe,physicallyaccessible,andaffordableamountof

waterforpersonalanddomesticuses.6Thisaccessshouldbeprioritizedoverotherwaterusesnotably

waterforagricultureandindustryandshouldbenondiscriminatory.Further,arightsbasedapproach

towatermeansthatpriorityshouldbegiventothosewhodonothaveaccessandrequiresthat

individualsandcommunitieshaveaccesstoinformation,justice,andparticipationindecisionmaking

processesconcerningwater.Underthehumanrightsframework,governments/Statesareultimately

responsibleforensuringthatthehumanrightsofpeoplelivingundertheirjurisdictionarerealized.

Consistentwith

the

Ruggie

Framework,

it

is

also

now

widely

accepted

that

private

actors

are

responsible

foractivelyensuringthattheiroperationsdonotinfringeontherealizationofhumanrights.

DialogueatMandateeventshasclearlyindicatedcompaniesarecommittedtoimplementingarights

basedapproachtowaterbutstronglydesireandneedmoreguidancetocreatethesolidfootingthat

6 To read the UNHRC report on safe drinking water and sanitation. Go to:http://www2.ohchr.org/english/issues/water/iexpert/docs/A-CHR-6-3_August07.pdf.

5
http://www2.ohchr.org/english/issues/water/iexpert/docs/A-CHR-6-3_August07.pdfhttp://www2.ohchr.org/english/issues/water/iexpert/docs/A-CHR-6-3_August07.pdf


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cansupportsubstantialprogressinthisarea.Indeed,discussionsoverthecourseofthreeUNCEOWater

MandateworkingconferencesinIstanbulinMarch2009,StockholminAugust2009,andNewYork

CityinApril2010haverevealedsignificantuncertaintyaboutvariousaspectsofcorporate

responsibilityforprivatelargescalewaterusersregardingthehumanrighttowater.Eachmeeting

containedamixofgovernmentagency,stakeholder,andcorporatepresentationsregardingthehuman

righttowaterandprivatesectorbehaviorconsistentwiththisright,aswellasgiveandtakediscussions

designedtorevealtherangeofexpectations,concerns,commitments,anduncertaintyattachedtothis

stillnascenttopic.

Lookingacrossthesepresentationsanddiscussions(wheredebatewaslivelyandconsensusattimes

elusive),threethemesemergeascentraltounderstandingthekeyissuesaroundcorporate

responsibilitytorespectthehumanrighttowater:a)theformandfunctionofformalcorporatepolicies

onthehumanrighttowater,b)whatitmeanstoactconsistentlywithandrespectthatrightatan

operationallevel,andc)thescopeofaspirationalcorporateactionsthatexceedminimum

responsibilities,particularlyaroundfulfillmentoftherighttowater.

A.Form

and

function

of

formal

corporate

policies

on

the

right

to

water

Somecompanieshaveadoptedandmadepublicformalcorporatepoliciesthatdefinetheirperspective

onthehumanrighttowaterandoutlinetheirassociatedcommitments.Othercompanieshavechosen

tofocusonaligningtheiroperationswitharightsbasedapproach,whileforgoingapubliclystatedpolicy

whileexpectationsforspecificcorporatebehaviorremainunderdevelopment. Thefullimplicationsof

adoptingsuchaformalcorporatepolicyonthehumanrighttowaterandhowcorporationscanbest

publiclyexpresstheirpositiononthetopichasbeenoneareaofuncertaintyanddiscussionatprevious

Mandateworkingconferences. Keyquestionsexploredduringdiscussionsinclude:

Whatstakeholderexpectationswillbecreatedbyacompanythatadoptsandpubliclyannouncesahumanrighttowatercorporatepolicy?

Willthetimespentdevelopingandarticulatingaformalpolicydetractfromarguablymoreimportant

on

the

ground

action?

Howcriticalistheadoptionofaformal,publiclystatedpolicytotheeffectivenessofacompanysrespectingthehumanrighttowaterorimplementingarightsbasedapproach?

Certainendorserandstakeholderperspectivesindicatedastrongbeliefthataformalcorporatepolicyis

anecessarycornerstoneofameaningfulapproachtoaddressingthehumanrighttowater.This

perspectivestemmedfromabeliefthatsuchpoliciesraiseawarenessandcreateaccountability.This

perspectivewasnotsharedbyallMandateendorsers,however,withseveralexpressingthebeliefthat

aneffectiverightsbasedapproachcouldbefullyexecutedandarobustandactionablecommitment

maintainedintheabsenceofaformalpolicy.Somebelievethatsuchpoliciesdetractfrommeaningful

actionsorcouldcreateunintendedandunrealisticexpectationsofcompanies. Thelistsbelow

summarizethe

pros

and

cons

of

such

acorporate

policy.

Prosofaformalcorporatepolicyinclude:

Facilitatinginternalalignmentonvaluesandapproaches; Promotinginternalandexternalaccountabilitytomeetrightsbasedcommitments; Enhancingcorporatereputationamongaffectedcommunities,NGOs,andconsumers; Encouragingstakeholderfeedbackoncorporatecommitments/actionsinsupportofrespectingthehumanrighttowater;


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Influencingothercompaniestoact;and Raisingglobalawareness.

Consofaformalcorporatepolicyinclude:

Distractingfromimplementationofrightsbasedactionswhilecorporateconsensusisforgedonthe

policy

form

and

content;

Creatingunintendedanddifficulttomeetexpectationsasthenatureofthecommitmentandoperationalframeworkremainilldefined;

Experiencingdifficultydemonstratingadherencetothepolicyduetolackofestablishedandacceptedbenchmarksandreviewprocesses;

Establishingabasisforcivillitigationforfailuretoadheretothepolicy(thoughdiscussionsindicated,atleastanecdotally,thatsuchlitigationhasnotemergedinthehumanrightsspace);

and

Makingacommitmentfromwhichthereisnoturningbackirrespectiveofresult.B.Actingconsistentlywithandrespectingthehumanrighttowaterattheoperationallevel

Anotherpointofuncertaintyrelatestounderstandingthetypeandscopeofontheground,practical

actionsthat

represent

acting

consistently

with

the

right

to

water.

This

question

largely

hinges

on

clarificationonhowtorespecttherighttowaterasdefinedbytheRuggieFramework.Goodpractice

consistentwiththeresponsibilitytorespectahumanrightinvolvesfivepracticeareas:

Performduediligencetoidentify,prevent,andmitigatetheimpactofactivitiesonhumanrights(intherighttowatercontextthisfocusesoninvestigatingbusinessactivityimpactsonhuman

accesstocleanandsafewater,adequatesanitationservices,andecosystemhealth);

Makeandstatecommitmentsanddevelopassociatedresponsestrategies; Integrateresponsestrategiesthroughoutthecompany,includingthefullvaluechain; Establishandsupportanimpactedcommunitygrievancemechanism;and Trackandreportperformance.

Withinthisrightsbasedengagementframework,Mandateworkingconferencediscussionsproduceda

substantiallistofpossibleactionsacompanycouldtaketorespectthehumanrighttowater. Thelist

hasbeensortedbytheMandateSecretariatintoasetofbaselineexpectationsandgoodpracticebased

onthesediscussions.

Baselineexpectationsforactioninclude:

Complywithallrelevantlaws; Improvewateruseefficiencyandreducedischargesindirectoperations; Takenoactionthatunderminesgovernmentsabilitytoprotect; Establishbusinessprinciplestoguidecorporateeffortstorespectthehumanrighttowater; Conductmeasurementsandsocialimpactassessmentsofwateruseanddischargesindirectoperations;

Definethecorporatesphereofinfluenceasinclusiveofsupplychainandbroaderwatershedandcommunityconsiderations;

Establishand/orstrengthenrelationshipswithlocalcommunitiestounderstandandrespondtoconcerns;and

EngagewithcivilsocietyandUNagenciestomaintainanunderstandingofevolvinghumanrighttowaterexpectationsandassociatedactions.

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Goodpracticeincludes:

Developanexplicitandpubliclyannouncedcorporatepolicyaffirmingthehumanrighttowaterandcommittingtoimplementingcorporateactions,establishingstandardsandmeasurement

capabilities,andreportingpubliclyonprogress;

Conductmeasurementsandsocialimpactassessmentsofwateruseanddischargesinthesupplychain;

Establishfullaccountability(includinggrievancemechanismsandtransparencyofcontractsandperformance);

Supportempowermentofvulnerablecommunitiestoensuremeaningfulparticipationinwatermanagementdecisionmakingwithresultantequitableandadequateaccesstowater;

Employanindependentmechanismtomonitorcompliancewithcorporatecommitments; Assessrightsimpactsinchoosingsuppliers,commercialpartners,andfacilitylocations; Encouragegovernments(throughpolicyadvocacyandcapacitybuilding)tostrengthenwatergovernanceandimproveaccess;and

Wheregovernmentcapabilitiesareweak,actdirectlytoimproveaccesstosafeandadequatewaterservices.

WhilediscussionsatMandateworkingconferences aswellassurveyresults(discussedbelow) revealedbroadcomfortwiththegeneralobligationsindicatedbyRuggiesdutytorespect,therewere

numerousareasofoperationaluncertaintythatmayinhibittheprivatelargescalewaterusersabilityto

implementsuchanapproach.Keyareasofuncertaintyinclude:

Theresponsibilityboundariesassociatedwitheachofthefivepracticeareas(e.g.,whenconductingduediligence,howfarintothesupplychainmustacompanygoanddoesimpact

assessmentneedtomovebeyonddirect,localized,operationalimpacts;whenestablishinga

grievancemechanism,whichcommunitiesareincluded?);

Theabsenceofaccess,data,acceptedanalyticalmethods,andexperiencetosupportconductingduediligence,particularlythroughoutthesupplychain;

The

lack

of

established

performance

expectations

(e.g.,

water

supply

impact

and

mitigation

benchmarks)toguidesettingcorporatecommitmentsandassociatedoperationalactions;

QuestionsaboutwhethercompaniesshouldbedefiningtheirownresponsibilityboundariesorwaittoadheretostandardsandprotocolsestablishedbyrelevantbodieswithintheUNand/or

otherinitiatives;

Thelackofguidanceonhowtobalancetradeoffswithrespectingothereconomic,social,andculturalhumanrights(e.g.,foodproductionandeconomiclivelihood);

Thedegreetowhichtheresponsibilitytorespectwillfocusoncorporateconductratherthancommunityandwatershedoutcomes,giventhatrelevantbusinessoperationsareoften

conductedindisabledpolicyandwaterresourcemanagementenvironments;

Theminimumcommitmentsinherentinembracingthedonoharmprinciple;and Theextenttowhichtheresponsibilitytorespectextendsbeyondensuringdomesticwaterneedsasafirstprioritytootherwaterneeds(e.g.,agriculturalusesforfoodproduction).

C.Aspirationalcorporateactionsthatexceedminimumresponsibilities:fulfillingtherighttowaterTheRuggieFrameworkestablishesanexpectationthatcompaniesrespecthumanrights,whileStates

areresponsibleforprotectingandfulfillingthoserights. TheRuggieFrameworkalsostates,

however,thatitdoesnotprecludeprivatelargescalewaterusersgoingbeyondtheirexplicitdue

diligenceresponsibilitiestosupporttheactualfulfillmentofhumanrights.Manycompanieshave

steppedintothisroletostabilizewatershedconditions,buildormaintaintrustbasedrelationshipswith

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localcommunities,gainreputationalbenefits,andultimatelyreducewaterrelatedriskinaparticular

locale.Suchactionsmightincludetreatingdrinkingwateratcompanyfacilitiesorinstallingboreholesor

sanitationsystemsfordomesticuse.Thereis,however,considerableuncertaintyanduneasesharedby

companiesandstakeholdersalikeregardingtheappropriateextentofprivateeffortstosupport

fulfillmentofhumanrights,includingtherighttowaterandsanitation. Furtheruncertaintyexists

regardingthenatureandlongtermeffectivenessofwaterandsanitationfulfillmentstrategies.

Thepotentialforprivatelargescalewateruseractionismetwithencouragementandskepticismalike,

oftenfromthesamestakeholders.Companiesoftenhavegreateraccesstotheresourcesand

technologyneededtoprovidewaterandwastewaterservicestocommunities(particularlyinemerging

economies/developingcountrycontexts). Carryingouttheseresponsibilities,however,canpotentially

resultinperceivedoractualpolicycaptureand/orunbalancedcorporatecontrol. Keyquestionsthat

requireclarificationonthismatterinclude:

Cancompaniesundertakesuchactionswithoutcreatingunintendedexpectationsfromstakeholderstocontinuallygobeyondtheirbaselineresponsibilitytorespecttherighttowater?

Whatarewaysinwhichcompaniescaneffectivelysupportthedeliveryoforaccesstobasicwaterand

sanitation

services

for

underserved

communities?

Whataretheconditionsunderwhichcompaniescansupportthefulfillmentofthehumanrighttowaterinawaythatisacceptabletogovernments,communities,andotherstakeholders?

Anotherkeyconcernwithsuchfulfillmentorientedactionsisthattheymightbeperceivedas

inappropriateorunlawfulbycertainstakeholdersduetoconcernsofpolicycapture.Policycapture

existswhereorganizationsundulydominatepolicymakingorimplementationprocessestotheextent

thatotherstakeholderviewstendtobeexcludedorsubduedwiththeresultthatpolicyfavorsnarrow

vestedintereststothedetrimentofthepublicgood.Thoughtheendorsersurveydiscussedbelowdid

notposethequestionofwhatconstitutesacceptablecorporatebehavioronthisissue,theMandates

GuidetoResponsibleBusinessEngagementwithWaterPolicyfeaturesanumberofprinciplesand

practicesthatcouldbeappliedtosuchaquestion,suchasincludinggovernmentsandstakeholdersin

thedevelopment,

design,

and

implementation

of

community

projects;

creating

projects

around

pre

existingpublicpolicyobjectives;partneringwithstakeholderswithlegitimacyandcredibilityinthis

space;andmaintainingtransparencyandaccountabilitythroughouttheprocess.

Corporatepolicyonthehumanrighttowater,baselineactionstorespecttheright,andpotential

expectationstosupportfulfillmentareinextricablylinked.Privatesectorcautionisrelatedbothto

uncertaintieswithineacharea,aswellasconcernsthatactionsinoneareawillcreatespillover

unintendedandunpredictableexpectationsinotherareas.Forinstance,hesitancytowardaformal

corporatepolicyonthehumanrighttowaterinmanycasesisdrivenbytheilldefinedlandscapeof

stakeholderexpectationsregardingwhatactionsandoutcomeswillconstitutealegitimateandfulfilled

commitmenttorespectthehumanrighttowater.Similarly,goingbeyondresponsibilitiestorespectinto

therealm

of

fulfillment

may

prove

risky

ifdoing

so

increases

stakeholder

expectations

thus

creating

a

slipperyslopeofeverincreasingcommitments. Uncertaintyexistsprimarilyinthreecoreareas: the

availabilityoftoolsandmethodstosupportoperationalimplementation;theeffectivenessand

perceivedappropriatenessofdifferentpotentialactions;and,mostimportantly,thelackofashared

definitionoftheresponsibilityboundariesandbaselineexpectationsrelatedtoRuggiesFramework.

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EstablishedandemergingendorserpracticeonthehumanrighttowaterInearly2010,theMandateSecretariatconductedasurveyof21Mandateendorsingcompaniesto

collectinformationoncurrentcorporatehumanrighttowaterpractices.Thissurveyexploredvarious

topicsrelatedtotheareasofuncertaintyidentifiedintheprevioussection,including:companies

understandingofresponsibilityboundariesandwhatitmeansinpracticetorespectanddono

harm;the

nature

and

role

of

formal

corporate

policies

on

the

right

to

water;

and

current

corporate

practicesandprogramsinthisarea.Whilemanyresponsestothesequestionsreflectedadeep

considerationofthesetopicsbycompanies,otherresponseshighlightedthestillnascentunderstanding

andpracticeinthisarena.Thissectionprovidesanoverviewofcommontrendsandinnovativepractice

drawnfromthesurvey. AppendixAprovidesanumericcompilationofsurveyresponses.

Giventhesensitivenatureofthistopicandthefactthatmostcompaniesarejustbeginningto

understandthisfieldanddeveloptheirpoliciesandpractice,nondisclosureagreementsweresignedto

ensurethatresponsesremainprivate. Inresponse,thisreportpresentsbroadtrendsandcommon

practiceinthisreportandinsomecasesspecificexamplesofinnovativepracticebutdoesnot

attributesuchinformationtospecificcompanies.

Formandfunctionofformalcorporatepoliciesontherighttowater

ThougharecentanalysisofMandateendorsersCommunicationonProgressWater(COPWater)

reports7revealedthat67percentofcompanieshaveformalpoliciesonhumanrightsgenerally,seven

companies(33percentofrespondents)indicatedthattheyhaveaformalpubliclyavailablecorporate

policyspecificallyaddressingthehumanrighttowater.Manycompaniesindicatedthattheyhave

internalpoliciesthatguidetheirpracticerelatedtowaterandhumanrights,buthavenotyetmade

thosepoliciesavailabletothepublic. Ofthosethatarticulatedacorporatepolicyonthisissuetothe

public,onlytwoformallyacknowledgethehumanrighttowater. Theremainingcorporatepolicies

articulatedarightsbasedapproachthatoutlinestheircommitmenttosupportimprovedaccessto

waterservices. Anumberofcompaniesindicatedthattheyarecurrentlydevelopingpoliciesthat

outlinetheirapproachtocontributingtouniversalaccesstowaterandsanitationservices.

Thosecompaniesacknowledgingthehumanrighttowateralsorecognizedthatcompanypracticeinthis

areawasstilllargelyundefinedandunderdeveloped. Theydid,however,underscoreanumberofsteps

andvaluesthattheybelieveareinherenttotherealizationoftheright.Companiesthatarticulated

rightsbasedapproachestookadifferentroute,identifyingspecificactionstheyarecommittedto

taking. Insomecases,companiesestablishquantitativetargets(e.g.,regardingwatersavingsornumber

ofpeoplewithaccesstowaterservices)aspartoftheircommitments. Thespecificcomponentactions

insupportofthesepoliciesareelaboratedfurtherinthefollowingsection.

TheUNGlobalCompacthasrecentlydevelopedaGuideonHowtoDevelopaHumanRightsPolicythat

standstoinformandshapecorporatepracticeonhigherlevelissuesthatmightariseduringthisprocess

inthe

future.

8

7 For access to all COP-Water reports, go to:http://www.unglobalcompact.org/issues/Environment/CEO_Water_Mandate/endorsingCEOs.html8 To read the UNGCsGuide to How to Develop a Human Rights Policyin full, go to:http://www.unglobalcompact.org/docs/issues_doc/human_rights/Resources/How_to_Develop_a_Human_Rights_Policy.pdf

10
http://www.unglobalcompact.org/issues/Environment/CEO_Water_Mandate/endorsingCEOs.htmlhttp://www.unglobalcompact.org/docs/issues_doc/human_rights/Resources/How_to_Develop_a_Human_Rights_Policy.pdfhttp://www.unglobalcompact.org/docs/issues_doc/human_rights/Resources/How_to_Develop_a_Human_Rights_Policy.pdfhttp://www.unglobalcompact.org/docs/issues_doc/human_rights/Resources/How_to_Develop_a_Human_Rights_Policy.pdfhttp://www.unglobalcompact.org/docs/issues_doc/human_rights/Resources/How_to_Develop_a_Human_Rights_Policy.pdfhttp://www.unglobalcompact.org/docs/issues_doc/human_rights/Resources/How_to_Develop_a_Human_Rights_Policy.pdfhttp://www.unglobalcompact.org/issues/Environment/CEO_Water_Mandate/endorsingCEOs.html


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Actingtorespecttherighttowaterattheoperationallevel

Questionsexploringhowcompaniesimplementarightsbasedapproachtorespectthehumanrightto

waterdidnotprovideclarityonwhatacoherentpackageofactionsconsistentwiththeresponsibilityto

respectlookslike. Theresponsesreinforceasensethatoperationalizingthisrespectpillarofthe

RuggieFrameworkwithregardtowaterremainsundefined,evenamongleadingcompanies.Eightofthe

21companiessurveyedindicatedthattheyhaveworkedtodefinewhatitmeanstorespectand/oract

consistentlywiththehumanrighttowater.Theirresponses,however,attimesdivergefrom

respectingactionsasidentifiedbyexternalstakeholdersatMandateworkingconferences. For

instance,theyoftensimplyconsistofcompanyperspectivesonactionsthatcouldsupportthe

realizationofthehumanrighttowater.Insomecasesthesepracticesandactionshavebeenarticulated

informalcorporatepoliciesavailabletothepublic,whileinotherstheyarecapturedininternal

corporatepolicyand/orstandardoperatingprocedures.Specificexamplesofactionscompaniesare

takingaspartoftheirstrategytoaddressthehumanrighttowaterinclude:

Reducingthewateruseandwastewaterdischargeofcompanyfacilitiesandsuppliers; Engagingstakeholdersandlocalcommunitiestobuildabaseofknowledgeregardingcompanyimpactsandstakeholdersneeds;

Assessing

actual

and

potential

impacts

relating

to

companys

water

use

(i.e.,

investigate

businessactivityimpactsonhumanaccesstocleanandsafewater,adequatesanitation

services,andecosystemhealthandservices);

Makingandstatingcommitmentsandassociatedresponsestrategies,andintegratingthoseresponsestrategiesthroughoutthecompany,includingthefullvaluechain;

Establishingandsupportinganimpactedcommunitygrievancemechanism; Implementingsustainableproductdesignthatreduces/eliminatestheneedforwater;and Raisingconsumerawarenessontheseissues.

Companiesidentifiednationallegislation,theUNGlobalCompactprinciples,theUniversalDeclaration

onHumanRights,theWorldHealthOrganizationspaperonthehumanrighttowater,andtheUN

GeneralComment15bytheUNCommitteeonEconomic,Social,andCulturalRightsaskeyinitiativesor

projectsthathavehelpedinformtheirstrategiesonthehumanrighttowater.

Threecompanies(14percentofrespondents)indicatedthattheyhaveattemptedtodelineatethe

boundariesofcorporateresponsibilityregardingthehumanrighttowater. Thesecompaniesindicated

astrongbeliefthatthereisnotacompanyresponsibilitytofulfillhumanrights,whileexpressingfirm

supportforthedutytorespectasoutlinedintheRuggieFramework. Examplesofactionsthatthe

companiesidentifiedaswithintheirresponsibilityboundariesincluded:

Complyingfullywithrelatedlawsincountrieswheretheyoperate; AvoidinganyactionthatwouldundermineaStatesabilitytofulfillitshumanrightsobligations; Doingnoharmtocommunitiesrealizationoftheirrightstowaterandsanitation;andMitigating

any

company

impacts

on

these

rights.

Inadditiontotheseactionslinkedsolelytotheresponsibilitytorespect,numerouscompaniesdid

indicateacomfortwithtakingactionsthatsupportbroadersustainablewatermanagementaspartofan

overallstrategytomanagetheirwaterrelatedrisks.Ontheotherhand,somecompaniesresponses

reflectedabeliefthatminimizingwateruseandwastewaterdischargefromtheiroperationssufficiently

addressedtheirresponsibilitytorespectthehumanrighttowater. Thedisparityinresponsesprovides

11


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furtherevidencethatthereissubstantialuncertaintyaroundresponsibilityboundariesandbaseline

expectations.

Questionsrelatedtowhatitmeanstodonoharmalsoproducedawiderangeofresponses,revealing

anarrayofdifferentperspectivesonthisissueevenamongbusinesses.Inparticular,responses

indicatedalackofclarityofwhatdonoharmmeansoperationally,raisedquestionsaboutthe

sufficiencyofduenoharmtomeettheresponsibilitytorespect,andraisedquestionsaboutthe

relationshipofduenoharmtofulfillingtheright.Lastly,someresponsessuggestedthatthelackof

clarityfromtheRuggieworkonwhatduenoharmmeansinpracticeandinabroadercontextthan

watermakesitdifficulttoevenrespondtoasurveyquestiononthistopic.

TheRuggieFrameworkandsomecompaniesresponsesindicatedthatsocialimpactassessmentsarea

corecomponentofrespectingthehumanrighttowater. Thesurveyrevealedthatcompanies

understandingandimplementationofsocialimpactassessmentsisstilllargelyundeveloped.Eight

companiesrespondedthattheyhaveattemptedtoassessthesocialimpactsoftheirwateruseand

wastewaterdischarge. However,veryfewoftheseelaboratedontheprocessesandcriteriatheyuseto

assessimpacts.ThosethatdididentifiedtheuseoftheWBCSDGlobalWaterToolandinternalmethods

toassess

local

conditions

(e.g.,

water

quality,

water

availability,

institutional

water

management

capacity),aswellasengagementwithstakeholders(especiallypotentiallyimpactedcommunities)as

corecomponentsoftheseprocesses.

SupportingthefulfillmentoftherighttowaterForyears,somecompanieshavewillinglyinitiatedprojects(typicallyundertherubricoftheirCSR

practices)aimedatimprovingcommunityaccesstowaterservices. Thoughsuchactionswould

seeminglyfalloutsidetheminimumdonoharmobligationsestablishedintheRuggieFramework,in

manycasestheyaredeemedofstrategicvalueforcompanies,andareunderstood atleastbysome

companies asnecessaryactionstosupportcommitmentsrelatingtothehumanrighttowater. The

surveyrevealedthatsomecompaniesareactivelyengagedinprojectsthat:

Ensurethatwaterusedbythecompanyisreturned(ofadequatequality)tosupportotheruses; Provideinfrastructureforkeycomponentsofwaterservices(e.g.,purification,treatment,delivery);

Educatelocalcommunitiesonwaterconservationtechniques; Partnerwithinternationalaidorganizationstoprovideresourcesforexistingcharitableprojects; Sharewatersheddatawithgovernmentsandcommunitiestoimprovewatermanagement;and Supportgovernmentcapacitytoprovidewaterservicestovulnerablecommunities.

Thesurveyofcompaniesconductedforthisanalysisreflectedabeliefbysomethatfulfillinghuman

rightsisagovernment,notabusiness,obligation,andaconcernthatactioninthisareamaycreate

expectationsforcompaniesinotherareas(e.g.,providingfoodforimpoverishedcommunities). Other

companiesexpressed

that

such

actions

are

acore

part

of

their

rights

based

approach.

The

survey

of

companiesdidnotdelveintothequestionofhowsupportingthefulfillmentoftherighttowatercanbe

donewithoutcreatingunintendedexpectations.

12


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OptionsforCEOWaterMandateactionMandateworkingconferencediscussionsandtheendorsersurveyrevealalargedegreeofuncertainty

aroundtheroleoflargescaleprivatesectorwaterusersinrealizingthehumanrighttowater. This

paperisintendedtoelucidatethesepointsofuncertainty,aswellasprovokethoughtonpossibleways

inwhichtheMandateitselfcanhelpclarifyissuesandsupportcompanypracticeontheissuemoving

forward.Below

is

arange

of

avenues

that

the

CEO

Water

Mandate

might

pursue

to

achieve

this

end.

OptionA:Noaction:TheMandatecandecidethisissueiseithertoonascentoralreadyadequately

addressedbyexistinginitiativestowarrantfurtherexploration/debate. Inthiscase,theMandatecan

concludeworkonthisfrontanddevoteattentiononotherfocusareas.

OptionB:Continuetoconveneendorserstakeholderdialoguesand/orengagerelatedinitiatives:Itmay

bethecasethattheMandatedoesnotyethavesufficientgraspofthecontoursofuncertaintyand

debateinorderforittomeaningfullycontributeinthisspace. Asasolution,itcancontinuetoconvene

variousstakeholdersonthisissue,inordertofurtherexplorethecontoursofthedebateandarriveata

sharedunderstandingofkeyissuesandconcepts.TheMandatecanalsocontributeendorser

perspectives/experience

into

parallel

processes,

such

as

UN

Independent

Expert,

Catarina

de

Albuquerqueseffortstodevelopacompendiumofgoodpractice.

OptionC:Conductlargerempiricalassessmentofcorporatepracticeonthehumanrightstowaterand

relevantgovernmentpolicy:Anothermeansofbetterunderstandingthisspacewouldbetorefine

and/orexpandtheendorsersurveytobetterreflectcurrentquestionsandtopics,and/orexpandittoa

largerarrayofcompaniesandpossiblyotherstakeholders. ThiswouldallowtheMandatetobetter

understandcorporatepracticeandperspectivesontheseissues.Aspartofthisassessment,the

Mandatecouldproduceacompendiumofnationallevelhumanrighttowaterlegislationinanattempt

toshedlightonsomeoftheissuesraisedinthiswhitepaper,andalsotohelpclarifycorporate

responsibilitiesinsomedomesticcontexts.

OptionD:

Develop

operational

guidance

on

respecting

the

human

right

to

water:

Recognizing

that

this

is

anemergingissuewithseveralpointsofuncertainty,theMandatecouldendeavortoplayaleadingrole

indevelopingguidanceonthisissuethatbuildsontheworkofexistinginitiatives(e.g.,Ruggie

Framework,UNIndependentExpertonHumanRights,Water,andSanitation,WaterAid,IHRBetc.)to

providepracticalguidanceforcompaniesregardingmeasurestheycantaketorespecttherightto

waterandsanitation,andotheractionsthatcanbeimplementedinsupportofrealizingtheright.Itis

likelythisoptionwouldbenefitbybeingimplementedinconjunctionwithpartorallofOptionC. For

instance,theMandatecouldconductasystematicassessmentoftheemergingpolicyworkandexisting

nationallegislationinthisareaandcombineitwithexistingknowledgeofbaselineexpectations,along

withsomefurthersupplementalreviewofactualactionsalreadybeingtakenbycompanies.Thegoal

wouldbetoproducearefinedandcoherentlistofbaselineandaspirationalpracticethatcouldbe

combinedwith

information

on

the

actual

and

potential

responsibility

boundaries

of

each,

along

with

associatedexamplesofactualpractice.

OptionE:Mandatepositionstatementaffirmingthehumanrighttowater:Acknowledgingtherecent

emergenceoftheexplicitUNresolutionsthataffirmthehumanrighttowateraswellasinitiativesthat

attempttodefinecorporateresponsibilitiesinthisspace,theMandatecouldreleaseaposition

statement,and/orundertakeotherpolicyadvocacythatunderlinesendorsercommitmenttoactions

thatadvancethehumanrighttowaterand/ortheresponsibilitytorespectit.13


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14

AppendixA:CompilationofSurveyResultsQuestion Response #

2.Hasyourcompanyattemptedtodefinewhatitmeanstorespectand/oract

consistentlywiththehumanrighttowater? Ifyes,pleasedescribethis

definitionandwhetheritisinformedbyanyexistingdefinitions/approaches

establishedby

external

parties.

Yes 8

No 12

3.Doesyourcompanyhaveaformalpolicyrelatingwaterandhuman

rights/thehumanrighttowater?Ifyes,pleasedescribethispolicy. Isit

internalorexternalandwhatdoesitconsistof?

Yes 7

No 12

4.Hasyourcompanymadepubliccommitmentstoimplementingactions,

establishingmeasurementcapabilities,and/orreportingpubliclyonprogress

regardingthehumanrighttowater?Ifyes,whatarethesecommitments?

Yes 6

No 12

5.Hasyourcompanyestablishedprincipleswith respecttohumanrights?

Focusingspecificallyonwater?Ifyes,pleasedescribe.

Yes,butnotspecificto

water

15

Yes,waterspecific 2

No

26.Hasyourcompanyconductedsocialimpactassessmentsofwater

use/dischargesinitsdirectoperationsand/orsupplychain? Ifyes,please

describe.Whattypesofsocialimpactshaveyouassessedandhow?

Yes 8

No 10

7.Hasyourcompanyattemptedtodelineatetheboundariesofcorporate

responsibilitywithregardtothehumanrighttowater?Ifyes,pleasedescribe.

Ifyes,whatweretheoutcomesofthatexercise?

Yes 3

No 15

8.Doesyourcompanyhaveaccesstosufficientinformationregardinglocal

waterresources,humanneeds,andformalwaterpolicyaroundyour

operatingplantstoenableagoodunderstandingofwhethertheactivitiesof

each

plant

infringe

upon

various

needs/rights?

If

no,

what

key

information

is

missing?

Yes 10

No 7

9.Doesyourcompanydeemdonoharmsufficienttomeetthecorporate

responsibilitytorespectthehumanrighttowater? Ifno,whatproactive

measuresarebeingtaken?

Yes 5

No 9

10.Whatdoesyourcompanyconsidertheresponsibilityboundariesofthe

donoharmprinciple?

OpenEndedResponse11.Hasyourcompanyattemptedtodefine/implementahumanrightsbased

approachtoitsactivities/practices?Ifyes,whatdoesthatentail?Howdoes

thisdiffer,ifatall,fromexplicitlyacknowledgingthehumanrighttowater?

Yes 9

No 7

12.Does

your

company

have

any

mechanism

through

which

interested

partiescanexpressgrievanceswithregardtothehumanrighttowater?If

yes,pleasedescribe.

Yes

10No 8

13.Doyou/yourcompanybelievetheobligationtoactconsistentlywitha

humanrighttowatermightdifferbetweencompaniesthatusewaterand

thosethatprovidewaterservices?Ifyes,explainhow.

Yes 7

No 6

water mandate human rights white paper

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