1. In its resolution 2001/3, the Sub-Commission asked the Working Group on the Working Methods and Activities of Transnational Corporations to “contribute to the drafting of relevant norms concerning human rights and transnational corporations and other economic units whose activities have an impact on human rights.” (U.N. Doc. E/CN.4/Sub.2/RES/2001/3) In response to that request and a previous, similar request in resolution 1998/8, the Working Group prepared the Draft Norms of Responsibilities of Transnational Corporations and Other Business Enterprises with Regard to Human Rights. (E/CN.4/Sub.2/2002/13, annex)
2. In its resolution 2002/8 of 14 August 2002 the Sub-Commission requested that the Working Group’s report (E/CN.4/Sub.2/2002/13), and the annexed Draft Norms be widely circulated in the expectation that comments will be taken into account when the draft is considered by the Working Group at its meetings during the Sub-Commission’s fifty-fifth session in July-August 2003, as well as by the Sub-Commission, and “in the further expectation that the working group will submit a draft in the light of comments already received and to be received by the Sub-Commission for plenary consideration at the fifty-fifth session.”
3. In its resolution 2002/8, the Sub-Commission also requested that the Working Group, and in particular the authors of the Draft Commentary for the Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises with Regard to Human Rights [Draft Commentary] continue working on the Draft Norms and Draft Commentary, so that the Commentary may serve as a reference for the practical interpretation and further development of the Draft Norms and may be submitted to the Working Group and to the Sub-Commission at the fifty-fifth session in July-August 2003.
4. Various versions of the Draft Norms were disseminated as widely as possible, so as to encourage governments, intergovernmental organizations, nongovernmental organizations, transnational corporations, other business enterprises, unions, and other interested parties to provide any suggestions, observations, or recommendations. The Working Group received a number of comments as a result of these requests and also received useful comments at a seminar 6-7 March 2003 at the Office of the High Commissioner for Human Rights, OHCHR - Palais Wilson, Geneva, Switzerland. All of the comments were considered at a meeting of the Working Group on 8 March 2003. The present version takes into account all of the comments received by the Working Group and represents a consensus of the Working Group in the expectation that the draft and other proposals will be discussed at the public meetings of the Working Group to be held in connection with the 55th session of the Sub-Commission and in the further expectation that the Working Group will submit the Norms for consideration by the Sub-Commission’s 55th session 28 July – 15 August 2003 at the Palais des Nations, Geneva, Switzerland.
NORMS ON THE RESPONSIBILITIES OF TRANSNATIONAL
CORPORATIONS AND OTHER BUSINESS ENTERPRISES WITH REGARD TO HUMAN RIGHTS
PREAMBLE
Bearing in mind the principles and obligations under the United Nations Charter, in particular
the preamble and Articles 1, 2, 55, and 56, inter alia, to promote universal respect for, and observance of, human
rights and fundamental freedoms,
Recalling that
the Universal Declaration of Human Rights proclaims a common standard of achievement
for all peoples and all nations, to the end that Governments, other organs
of society, and individuals shall strive by teaching and education to promote
respect for human rights and freedoms and by progressive measures to secure
their universal and effective recognition and observance, including equal
rights of women and men and the promotion of social progress and better standards
of life in larger freedom,
Recognizing
that even though States have the primary responsibility to promote, secure the
fulfilment of, respect, ensure respect of, and protect human rights, transnational corporations
and other business enterprises, as organs of society, are also responsible
for promoting and securing the human rights set forth in the Universal Declaration
of Human Rights,
Realizing that
transnational corporations and other business enterprises, their officers,
and their workers are further obligated to respect generally recognized responsibilities
and norms in United Nations treaties and other international instruments such
as the Convention on the Prevention
and Punishment of Genocide; the Convention Against Torture and Other Forms
of Cruel, Inhuman or Degrading Treatment or Punishment; the Slavery Convention
and the Supplementary Convention on the Abolition of Slavery, the Slave Trade,
and Institutions and Practices Similar to Slavery; the International Convention
on the Elimination of All Forms of Racial Discrimination; the Convention on
the Elimination of All Forms of Discrimination against Women; the International
Covenant on Economic, Social and Cultural Rights; the International Covenant
on Civil and Political Rights; the Convention on the Rights of the Child;
the four Geneva Conventions of 12 August 1949 and two Additional Protocols
for the protection
Taking into account the standards set forth in the International Labour Organization Tripartite
Declaration of Principles Concerning Multinational Enterprises and Social
Policy, and the ILO Declaration on Fundamental Principles and Rights at Work,
Aware of the
Organisation for Economic Co-operation and Development Guidelines for Multinational
Enterprises and its Committee on International Investment and Multinational
Enterprises;
Further aware of the U.N. Global Compact
initiative which challenges business leaders to “embrace and enact” nine basic
principles with respect to human rights, including labour rights and the environment,
Conscious of
the ILO Committee on International Investment and Multinational Enterprises;
the interpretation of standards by the ILO
Governing Body Sub-Committee on Multinational Enterprises of the Committee
on Legal Issues and International Labour Standards, the ILO Committee of Experts,
the Conference Committee on the Application of Standards, and the Declaration
Expert-Advisors; as well as the ILO Committee on Freedom of Association which
has named business enterprises implicated in States’ failure to comply with
ILO Conventions No. 87 concerning the Freedom of Association and Protection
of the Right to Organize and No. 98 concerning the Application of the Principles
of the Right to Organize and Bargain Collectively, and seeking to supplement
and assist their efforts to encourage transnational corporations and other
business enterprises to protect human rights,
[Further conscious of the Commentary for the Norms on the Responsibilities of Transnational
Corporations and Other Business Enterprises with Regard to Human Rights and
finding it a useful interpretation and elaboration of the standards contained
in the Norms,]
Taking note of global trends which have increased the influence of transnational corporations
and other business enterprises – and particularly transnational corporations
-- on the economies of most countries and in international economic relations;
and the growing number of other business enterprises which operate across
national boundaries in a variety of arrangements resulting in economic activities
beyond the actual capacities of any one national system,
Noting that
transnational corporations and other business enterprises have the capacity
to foster economic well-being, development, technological improvement, and
wealth as well as have the capacity to cause deleterious human rights impacts
on the lives of individuals through their core business practices and operations,
including employment practices, environmental policies, relationships with
suppliers and consumers, interactions with governments, and other activities,
Noting also that
new international human rights issues and concerns are continually emerging
and that transnational corporations and other business enterprises often are
related to these issues and concerns, such that further standard-setting and
implementation are required at this time and in the future,
Acknowledging the
universality, indivisibility, interdependence, and interrelatedness of human rights, including the right to development,
that entitles every human person and all peoples to participate in; contribute
to; and enjoy economic, social, cultural, and political development in which
all human rights and fundamental freedoms can be fully realized,
Reaffirming
that transnational corporations and other business enterprises, their officers,
and their workers have, inter alia, human rights obligations and responsibilities and that these human rights
norms will contribute to the making and development of international law as
to their responsibilities and obligations,
Solemnly proclaims these Norms on the Responsibilities of Transnational Corporations and Other Business Enterprises
with Regard to Human Rights and urges that every effort be made so that they
become generally known and respected:
A. General Obligations
1.
States have the primary responsibility to promote, secure the
fulfilment of, respect, ensure respect of, and protect human rights recognised in international as well
as national law, including assuring that transnational corporations and other
business enterprises respect human rights.
Within their respective spheres of activity and influence, transnational
corporations and other business enterprises have the obligation to promote,
secure the fulfilment of, respect, ensure respect of, and protect human rights recognized in international as well
as national law.
B. Right to Equal Opportunity
and Non-Discriminatory Treatment
2.
Transnational corporations and other business enterprises shall ensure
equality of opportunity and treatment, as provided in the relevant
international instruments and national legislation as well as international
human rights law,
for the purpose of eliminating discrimination based on race, colour, sex,
language, religion, political opinion, national or social origin, social status,
indigenous status, disability, age (except for children who may be given greater
protection), or other status of the individual unrelated to the inherent
requirements to perform the job, or complying with special measures designed to overcome past discrimination
against certain groups.
C. Right to Security of Persons
3.
Transnational corporations and other business enterprises shall not
engage in nor benefit from war crimes; crimes against humanity; genocide;
torture; forced disappearance; forced or compulsory labour; hostage-taking;
extrajudicial, summary or arbitrary executions; other violations of humanitarian
law; and other international crimes against the human person as defined by
international law, in particular human rights and humanitarian law.
4.
Security arrangements for transnational corporations and other business
enterprises shall observe international human rights norms as well as the
laws and professional standards of the country or countries in which they
operate.
D. Rights of Workers
5.
Transnational corporations and other business enterprises shall not
use forced or compulsory labour as forbidden by the relevant international
instruments and national legislation as well as international human rights
and humanitarian
law.
6.
Transnational corporations and other business enterprises shall respect
the rights of children to be protected from economic exploitation as forbidden
by the relevant international instruments and national legislation as well
as international human rights and humanitarian law.
7. Transnational corporations and other business
enterprises shall provide a safe and healthy working environment as set forth
in relevant international instruments and national legislation as well as
international human rights and humanitarian law.
8. Transnational corporations and other business
enterprises shall provide workers with remuneration that ensures an adequate
standard of living for them and their families. Such remuneration shall take due account of
their needs for adequate living conditions with a view towards progressive
improvement.
9. Transnational corporations and other business
enterprises shall ensure the freedom of association and effective recognition
of the right to collective bargaining by protecting the right to establish
and, subject only to the rules of the organization concerned, to join organizations
of their own choosing without distinction, previous authorization, or interference,
for the protection of their employment interests and for other collective
bargaining purposes as provided in national
legislation and the relevant ILO conventions.
E. Respect
for National Sovereignty and Human Rights
10.
Transnational corporations and other business enterprises shall recognize
and respect
11. Transnational corporations and other business
enterprises shall not offer, promise, give, accept, condone, knowingly benefit
from, or demand a bribe or other improper advantage. Nor shall they be solicited or expected to
give a bribe or other improper advantage to any government, public official,
candidate for elective post, any member of the armed forces or security forces,
or any other individual or organization.
Transnational corporations and other business enterprises shall refrain
from any activity which supports, solicits, or encourages States or any other
entities to abuse human rights. They
shall further seek to ensure that the goods and services they provide will
not be used to abuse human rights.
12. Transnational corporations and other business
enterprises shall respect civil, cultural, economic, political, and social
rights, and contribute to their realization, in particular the rights to development;
adequate food and drinking water; the highest attainable standard
of physical and mental health; adequate housing; privacy; education; freedom
of thought, conscience, and religion; and freedom of opinion and expression;
and refrain from actions which obstruct or impede
the realization
of those rights.
F. Obligations
with regard to Consumer Protection
13. Transnational corporations and other business
enterprises shall act in accordance with fair business, marketing, and advertising
practices and shall take all necessary steps to ensure the safety and quality
of the goods and services they provide, including observance of the precautionary
principle. Nor shall they produce,
distribute, market, or advertise potentially harmful or harmful products for
use by consumers.
G. Obligations
with regard to Environmental Protection
14. Transnational corporations and other business
enterprises shall carry out their activities in accordance with national laws,
regulations, administrative practices, and policies relating to the preservation
of the environment of the countries in which they operate as well as in accordance
with relevant international agreements, principles, objectives, responsibilities,
and standards with regard to the environment as well as human rights, public
health and safety, bioethics, and the precautionary principle; and shall generally
conduct their activities in a manner contributing to the wider goal of sustainable
development.
H. General Provisions
of Implementation
15. As an initial step towards implementing these
Norms each transnational corporation or other business enterprise shall adopt,
disseminate, and implement internal rules of operation in compliance with
the Norms. Further, they shall periodically report on and take other
measures fully to implement the Norms and to provide at least for the prompt
implementation of the protections set forth in the Norms. Each transnational corporation or other business
enterprise shall apply and incorporate these Norms in their contracts or other
arrangements and dealings with contractors, subcontractors, suppliers, licensees,
distributors, or natural or other legal persons that enter into any agreement
with the transnational corporation or business enterprise in order to ensure
respect for and implementation of the Norms.
16. Transnational corporations and other businesses
enterprises shall be subject to periodic monitoring and verification by United
Nations, other international, and national mechanisms, already in existence
or yet to be created, regarding application of the Norms. This monitoring shall be transparent, independent,
and take into account input from stakeholders (including nongovernmental organizations)
and as a result of complaints of violations of these Norms.
Further, transnational corporations and other businesses enterprises
shall conduct periodic evaluations concerning the impact of their own activities
on human rights under these Norms.
17. States should establish and reinforce the necessary
legal and administrative framework for assuring that the Norms and other relevant
national and international laws are implemented by transnational corporations
and other business enterprises.
18. Transnational corporations and other business
enterprises shall provide prompt, effective, and adequate reparation to those
persons, entities, and communities that have been adversely affected by failures
to comply with these Norms through, inter alia, reparations, restitution, compensation, and rehabilitation
for any damage done or property taken. In connection with determining damages, and in all other respects,
these Norms shall be enforced by national courts and/or international tribunals
if appropriate.
19. Nothing in these Norms shall be construed as
diminishing, restricting, or adversely affecting the human rights obligations
of States under national and international law. Nor shall they be construed as diminishing, restricting, or adversely
affecting more protective human rights norms. Nor shall they be construed as diminishing,
restricting, or adversely affecting other obligations or responsibilities
of transnational corporations and other business enterprises in fields other
than human rights.
I. Definitions
20. The term “transnational corporation” refers
to an economic entity operating in more than one country or a cluster of economic
entities operating in two or more countries – whatever their legal form, whether
in their home country or country of activity, and whether taken individually
or collectively.
21. The phrase “other business enterprise” includes
any business entity, regardless of the international or domestic nature of
its activities, including a transnational corporation; the corporate, partnership,
or other legal form used to establish the business entity; and the nature
of the ownership of the entity. These
Norms shall be presumed to apply, as a matter of practice, if the business
enterprise has any relation with a transnational corporation, the impact of
its activities is not entirely local, or the activities involve violations
of the right to security as indicated in paragraphs three and four.
22. The term “stakeholder” includes stockholders,
other owners, workers, and their representatives, as well as any other individual
or group that is affected by the activities of transnational corporations
or other business enterprises. The
term “stakeholder” shall be interpreted functionally in light of the objectives
of these Norms and include indirect stakeholders when their interests are
or will be substantially affected by the activities of the transnational corporation
or business enterprise. In addition to parties directly affected by the activities of business
enterprises, stakeholders can include parties which are indirectly affected
by the activities of transnational corporations or other business enterprises
such as consumer groups, customers, governments, neighbouring communities,
indigenous peoples and communities, nongovernmental organizations, public and private lending institutions,
suppliers, trade associations, and others.
23. The phrases “internationally recognized human rights” and “international human rights” include civil, cultural, economic, political, and social rights, as set forth in the International Bill of Human Rights and other human rights treaties, as well as the right to development and rights recognized by international humanitarian law, international refugee law, international labour law, and other relevant instruments adopted within the United Nations system.