Human rights in transnational business : translating human rights obligations into compliance procedures / Julia Ruth-Maria Wetzel.
2016
K3240 .W489 2016 (Map It)
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Details
Title
Human rights in transnational business : translating human rights obligations into compliance procedures / Julia Ruth-Maria Wetzel.
Published
Switzerland : Springer, [2016]
Copyright
©2016
Call Number
K3240 .W489 2016
ISBN
331931324X
9783319313245
9783319313245
Description
xviii, 265 pages ; 25 cm
System Control No.
(OCoLC)939531615
Summary
"This book investigates how human rights law can be applied to corporate entities. To date there have been insufficient international legal mechanisms to bring corporations to justice for their misconduct abroad. The book argues that rather than trying to solve the problem locally, an international approach to corporate human rights compliance needs to be sought to prevent future corporate human rights abuses. Implementing effective and enforceable human rights compliance policies at corporate level allows businesses to prevent negative human rights impacts such as loss of revenue, high litigation costs and damage to reputation. By considering human rights to be an inherent part of their business strategy, corporations will be well equipped to meet national and regional business and human rights standards, which will inevitably be implemented in the next few years. This approach, in turn, also furthers the fundamental aim of international human rights law"--Back cover.
Note
"This book was written between 2013 and 2015 and was accepted as a dissertation at the University of Lucerne School of Law in the fall of 2015"--Page vii.
Bibliography, etc. Note
Includes bibliographical references.
Record Appears in
Table of Contents
1.
Introduction
1
1.1.
Aim and Argument
5
1.2.
Vision
6
References
8
2.
Nigeria, Shell and the Ogoni People
11
2.1.
Movement for the Survival of the Ogoni People
12
2.2.
Evaluation of Shells Involvement in Nigeria Until 1995
15
References
17
3.
Alien Tort Statute
19
3.1.
Landmark Decisions
20
3.1.1.
Filartiga v. Pena-Irala
20
3.1.1.1.
Violation of the Law of Nations
21
3.1.1.2.
No Exercise of Federal Jurisdiction
22
3.1.1.3.
Course of Consideration
23
3.1.1.4.
Critical Reception of Filartiga
23
3.1.2.
Sosa v. Alvarez-Machain
26
3.1.2.1.
Nature of the Alien Tort Statute
26
3.1.2.2.
Interaction Between the Alien Tort Statute and the Law of Nations
27
3.1.2.3.
Need for Judicial Caution When Considering Individual ATS Claims
29
3.1.2.4.
Sufficiency of Alvarez Claims for the Supreme Court Standard
30
3.1.2.5.
Concurring Opinion of Justice Scalia
32
3.1.2.6.
Reception of Sosa
33
3.2.
Corporate ATS Suits Prior to Kiobel Involving Oil Companies
35
3.2.1.
Presbyterian Church of Sudan v. Talisman Energy Inc
36
3.2.2.
Doe v. Exxon Mobil Corp
37
3.2.3.
Bowoto v. Chevron Corp
38
3.3.
Kiobel v. Royal Dutch Petroleum
41
3.3.1.
Submission to the United States District Court for the Southern District of New York
41
3.3.1.1.
Secondary Liability Claims
42
3.3.1.2.
Alleged Violations
42
3.3.1.3.
Interlocutory Appeal 28 U.S.C. [§] 1292
43
3.3.2.
Appeal to the United States Court of Appeals for the Second Circuit
43
3.3.2.1.
Precedence of International Law Over Domestic Law
44
3.3.2.2.
Implications of Applying International Law to the Case
44
3.3.2.2.1.
Nuremberg Legacy 1945--1946
45
3.3.2.2.2.
International Criminal Tribunal for the Former Yugoslavia (ICTY) and the International Criminal Tribunal for Rwanda (ICTR)
46
3.3.2.2.3.
Rome Statute
47
3.3.2.2.4.
Absence of Concrete Legal Obligations
48
3.3.2.3.
Judge Leval's Concurring Opinion
48
3.3.2.3.1.
Aim of International Law
49
3.3.2.3.2.
No Aiding and Abetting Liability
50
3.3.3.
Appeal to the Supreme Court of the United States
50
3.3.3.1.
Presumption Against Extraterritorial Application
51
3.3.3.1.1.
Intent of the ATS
53
3.3.3.1.2.
Unique Hospitable Forum
53
3.3.3.2.
Concurring Opinion of Justices Breyer, Ginsburg, Sotomayor and Kagan
55
3.3.3.2.1.
Underlying Substantive Grasp
56
3.3.3.2.2.
Applying the New Model to Kiobel
58
3.3.4.
Evaluation
58
3.3.4.1.
Negative Response
59
3.3.4.2.
Positive Reception
60
3.3.4.3.
Mixed Review
60
3.3.4.4.
Great Flaw That Is Kiobel
62
3.3.4.4.1.
Text and Tradition Approach
62
3.3.4.4.2.
Constitution as a Living Instrument
66
3.3.4.4.3.
Final Remarks'
68
References
70
4.
Corporations and Human Rights
75
4.1.
Philosophical Roots of Human Rights
75
4.2.
Legal Perception of Human Rights
77
4.2.1.
Modern Legal Interpretation
79
4.2.2.
Corporate Debate
81
4.3.
Absence of Corporate Responsibility for Human Rights
82
4.3.1.
Milton Friedman and the Corporation
82
4.3.2.
No Rule of Law Under Customary International Law
83
4.3.2.1.
General State Practice
84
4.3.2.2.
Opinion Iuris
85
4.3.2.3.
Sufficiency of Corporate Human Rights Liability for Customary International Law
85
4.3.3.
Harm to Foreign Investment
87
4.3.4.
Framing the Corporation
89
4.4.
Existence of Corporate Human Rights Responsibility
92
4.4.1.
Criticism of Friedman
93
4.4.1.1.
Social Responsibility Undermines the Free Market
94
4.4.1.2.
Shareholder Ownership Of TNCs
94
4.4.1.3.
TNCs Cannot Assume Social Responsibility
95
4.4.2.
Corporations as Organs of Society
96
4.5.
Silent Complicity as a Moral and Legal Duty
97
References
102
5.
Targeting Corporate Human Rights Conduct from a Multinational Perspective
105
5.1.
OECD Guidelines
106
5.1.1.
Chapter IV: Human Rights
107
5.1.1.1.
Principle 1: Respect for Human Rights
108
5.1.1.2.
Principle 2: Avoiding to Cause or to Contribute to Violations
108
5.1.1.3.
Principle 3: Seeking Ways to Prevent Adverse Human Rights Impacts
108
5.1.1.4.
Principle 4: Policy Commitment to Human Rights
109
5.1.1.5.
Principle 5: Due Diligence
109
5.1.1.6.
Principle 6: Enable Remediation
110
5.1.2.
Implementation of the OECD Guidelines
110
5.1.2.1.
National Contact Points
111
5.1.2.2.
Investment Committee
112
5.1.3.
Implementation Procedures
113
5.1.3.1.
Visibility
113
5.1.3.2.
Accessibility
113
5.1.3.3.
Transparency
113
5.1.3.4.
Accountability
114
5.1.3.5.
Impartiality
114
5.1.3.6.
Predictability
114
5.1.3.7.
Equitability
114
5.1.3.8.
Compatibility
115
5.1.4.
Critical Assessment of the OECD Guidelines
115
5.2.
ILO Tripartite Declaration
117
5.2.1.
General Principles
118
5.2.2.
Critical Assessment of the ILO Tripartite Declaration as a Tool for Human Rights Implementation for Corporations
119
5.3.
Human Rights and Business in Europe
120
5.3.1.
Council of Europe
120
5.3.1.1.
Draft Preliminary Study on Corporate Social Responsibility in the Field of Human Rights
120
5.3.1.2.
Feasibility Study on Corporate Social Responsibility in the Field of Human Rights
124
5.3.1.2.1.
Remedy Gaps
124
5.3.1.2.2.
Measures to Raise Awareness
125
5.3.1.2.3.
Aftermath
125
5.3.2.
EU Strategy for Corporate Social Responsibility
126
5.3.3.
Achievements of the European Scheme
129
5.4.
Voluntary Principles on Security and Human Rights
131
5.4.1.
Background
132
5.4.2.
Multi-Stakeholder Character
132
5.4.3.
Risk Assessment
133
5.4.3.1.
Identification of Risks
134
5.4.3.2.
Potential for Violence
134
5.4.3.3.
Human Rights Records
134
5.4.3.4.
Rule of Law
134
5.4.3.5.
Conflict Analysis
135
5.4.4.
Interactions Between Companies and Public Security
135
5.4.4.1.
Security Arrangements
135
5.4.4.2.
Deployment and Conduct
136
5.4.4.3.
Consultation and Advice
136
5.4.4.4.
Responses to Human Rights Abuses
137
5.4.4.5.
Interactions Between Companies and Private Security
137
5.4.5.
Implementation Aid for Corporations on the Voluntary Principles
138
5.4.5.1.
Sharing Best Practices and Lessons Learnt to Strengthen Internal Policies
138
5.4.5.1.1.
Prioritizing Resources by Risk Determination
138
5.4.5.1.2.
Developing Risk Mitigation Strategies
138
5.4.5.1.3.
Adopting Assessment Procedures to Improve Progress
139
5.4.5.2.
Multi-Stakeholder Collaborative Problem Solving
139
5.4.6.
Practical Implementation of the Voluntary Principles: BP and Chevron Case Study
139
5.4.6.1.
BP
140
5.4.6.2.
Chevron
141
5.4.7.
Strengths and Weakness of the Voluntary Principles
143
References
144
6.
Business and Human Rights at the UN
149
6.1.
UN Global Compact
149
6.1.1.
Global Compact Management Model
150
6.1.2.
Principle 1: Business Should Support and Respect Human Rights
151
6.1.2.1.
Practical Implications
152
6.1.2.2.
Respect for Human Rights
152
6.1.2.3.
Determining the Scope of Responsibility
153
6.1.2.4.
Human Rights Due Diligence
154
6.1.2.4.1.
Assessment
154
6.1.2.4.2.
Integration
154
6.1.2.4.3.
Taking Action
155
6.1.2.4.4.
Tracking Performance
155
6.1.2.4.5.
Communication
155
6.1.2.5.
Supporting Human Rights in the Business Context
155
6.1.3.
Principle 2: Businesses Should Make Sure They Are Not Complicit in Human Rights Abuses
156
6.1.4.
Contribution of the Global Compact to the UN Human Rights and Business Agenda
157
6.2.
UN "Protect, Respect and Remedy" Framework and the UN Guiding Principles
159
6.2.1.
Interim Report of 2006
160
6.2.1.1.
Globalization
161
6.2.1.2.
Correlating the Abuses
162
6.2.1.3.
Existing Responses
163
6.2.1.4.
Failure of the Norms on the Responsibilities of Transnational Corporations
164
6.2.2.
UN Survey on the Human Rights Policies and Management Practices of Fortune Global 500 Firms
166
6.2.2.1.
Policy Results
166
6.2.2.2.
Rights Concerned
167
6.2.2.3.
International Instruments Consulted
167
6.2.2.4.
Stakeholder Engagement
168
6.2.2.5.
Accountability
168
6.2.2.6.
Conclusion
168
6.2.3.
"Protect, Respect and Remedy" Framework
169
6.2.3.1.
"Protect, Respect and Remedy"
170
6.2.3.2.
State Duty to Protect
170
6.2.3.3.
Corporate Responsibility to Respect
172
6.2.3.3.1.
Sphere of Influence
173
6.2.3.3.2.
Due Diligence
174
6.2.3.3.2.1.
Understanding the Context
174
6.2.3.3.2.2.
Analyzing the Companies Activities
174
6.2.3.3.2.3.
Assessing Corporate Relationships
175
6.2.3.3.2.4.
Policy Requirements
175
6.2.3.3.3.
Complicity
176
6.2.3.3.3.1.
Act or Omission Having a Substantial Effect
176
6.2.3.3.3.2.
Knowledge of the Intentions of the Principal Perpetrator
178
6.2.3.4.
Remedy
179
6.2.3.4.1.
Judicial Mechanisms
180
6.2.3.4.2.
Non-judicial Mechanisms
180
6.2.3.4.3.
Non-state Mechanisms
181
6.2.3.4.4.
Multi-Stakeholder Initiatives
181
6.2.3.4.5.
Patchwork Problem
182
6.2.3.5.
Conclusion
182
6.2.4.
Guiding Principles
183
6.2.4.1.
State Duty to Protect Human Rights
183
6.2.4.1.1.
Operational Principles
184
6.2.4.1.2.
State-Business Nexus
184
6.2.4.1.3.
Supporting Business Respect for Human Rights in Conflict-Affected Areas
185
6.2.4.1.4.
Policy Coherence
186
6.2.4.2.
Corporate Responsibility to Respect
187
6.2.4.2.1.
Human Rights Due Diligence
188
6.2.4.2.2.
Remediation
190
6.2.4.3.
Access to Remedy
191
6.2.4.3.1.
State-Based Judicial Mechanisms
191
6.2.4.3.2.
State-Based Non-judicial Mechanisms
192
6.2.4.3.3.
Non-state Based Mechanisms
192
6.2.5.
Efficiency of the UN Guiding Principles in Addressing Corporate Human Rights Concerns
193
6.3.
Ruggie-Deva-Bilchitz Reflection: The Yellow Brick Road to Accountability?
198
References
200
7.
Translating Human Rights into an Enforceable Business Compliance Strategy
205
7.1.
Why Corporate Social Irresponsibility Harms Businesses and Human Rights Equally
205
7.2.
How Human Rights Violations Affect Corporate Reputation and Brand Image
206
7.2.1.
Value of Corporate Image and Reputation
206
7.2.2.
How Corporate Social Irresponsibility Influences Corporate Reputation
207
7.2.3.
How Corporate Social Irresponsibility Impacted Multinational Oil Corporations in Nigeria
209
7.3.
Why Corporations Should Behave Socially Responsible
210
7.4.
How Human Rights Can Be Translated into an Effective Business Strategy Targeting Corporate Human Rights Compliance
213
7.4.1.
Why a Human Rights Strategy Is Necessary
213
7.4.2.
Building an Operative Human Rights Compliance Policy
218
7.4.2.1.
Identification of Key Human Rights Concerns
218
7.4.2.2.
Existing and Potential Human Rights Risks
219
7.4.2.3.
Managing Human Rights Risks and Impacts
219
7.4.2.4.
Binding Human Rights Responsibilities
220
7.4.2.5.
Sanctioning Mechanisms
220
7.4.3.
How Human Rights Have Been Translated into Business Policies in Practice
221
7.4.3.1.
Yahoo: Winning with Integrity
221
7.4.3.2.
Coca-Cola: Acting with Integrity
223
7.4.3.3.
Body Shop: Striving To Be a Force for Good
226
7.4.3.4.
Shell: Honesty, Integrity, Respect
227
7.4.4.
Improving the Existing Initiatives Through Accountability and Implementation Mechanisms
229
7.4.4.1.
Certifiable Human Rights Quality Management
229
7.4.4.1.1.
ISO 9000
230
7.4.4.1.2.
ISO 26000
231
7.4.4.1.3.
Why Human Rights Quality Management Works
233
7.4.4.2.
Global Arbitration Panel
234
7.4.4.2.1.
Operative Principles
234
7.4.4.2.2.
Effectiveness of the Global Arbitration Panel
235
7.4.4.3.
State Responsibility for Human Rights Compliance of Corporate Entities Within Their Jurisdiction
238
7.4.4.3.1.
UN Model
238
7.4.4.3.2.
Swiss Model
239
7.4.4.3.3.
ECHR Model
240
7.4.4.3.4.
Why a State Responsibility Solution Is Necessary
244
7.4.4.4.
Need for a Polycentric Approach to Enforcement
244
7.5.
Bridging the Gap Between Business and Human Rights
245
7.5.1.
Treaty Option
246
7.5.1.1.
Drafting and Implementing Treaties
246
7.5.1.2.
Potential Business and Human Rights Treaty
247
7.5.1.3.
Benefits of a Treaty
248
7.5.1.4.
Drawbacks
249
7.5.2.
Implementation Problems
250
7.5.3.
Interim Solution
251
References
254
8.
Conclusion: The Future of Human Rights Compliance
261
References
265