Published online by Cambridge University Press: 09 March 2021
This article presents a review of the literature on the United Nations Guiding Principles (UNGPs) for the purpose of situating the UNGPs in the voluntary corporate social responsibility (CSR) infrastructure. We identify four key themes that underlie the debate: (1) a critical assessment of the UNGPs, (2) their application to different sectors, (3) a discussion of how to embed key aspects of the UNGPs into national and regional contexts, and (4) reflections on the role of due diligence. We discuss these themes and outline some practical and theoretical take-away messages. Our review highlights some similarities and differences to the discussion of voluntary initiatives in the field of CSR, especially the UN Global Compact. Our discussion helps to understand how the UNGPs are situated in the voluntary institutional infrastructure for CSR. Finally, we show how the theoretical and practical discourse on the UNGPs can be further advanced.
Conflicts of interest: The authors declare none.
Professor of Business in Society, Copenhagen Business School, Department of Management, Society and Communication, Dalgas Have 15, 2000 Frederiksberg, Denmark.
Galligan Chair of Strategy, Professor of Management and Carroll School Scholar of Corporate Responsibility, Boston College, Carroll School of Management, Chestnut Hill, MA 02467, USA.
This work received no funding.
1 Ruggie, John G, ‘The Social Construction of the UN Guiding Principles on Business and Human Rights’ in Deva, Surya and Birchall, David (eds.), Research Handbook on Human Rights and Business (Northampton, MA: Edward Elgar Publishing, 2020), 63 Google Scholar.
2 de Bakker, Frank G A, Rasche, Andreas and Ponte, Stefano, ‘Multi-Stakeholder Initiatives on Sustainability: A Cross-Disciplinary Review and Research Agenda for Business Ethics’ (2019) 29:3 Business Ethics Quarterly 343–383 CrossRefGoogle Scholar; Gilbert, Dirk U, Rasche, Andreas and Waddock, Sandra, ‘Accountability in a Global Economy: The Emergence of International Accountability Standards’ (2011) 21:1 Business Ethics Quarterly 23–44 CrossRefGoogle Scholar; Ruggie, 2020; Waddock, Sandra, ‘Building a New Institutional Infrastructure for Corporate Responsibility’ (2008) 22:3 Academy of Management Perspectives 87–108 CrossRefGoogle Scholar.
3 Waddock, note 2.
4 Waddell, Steve, Global Action Networks: Creating Our Future Together (New York: Palgrave Macmillan, 2010)Google Scholar.
5 Rasche, Andreas, ‘Collaborative Governance 2.0.’ (2010) 10 Corporate Governance 500–511 CrossRefGoogle Scholar.
6 Albareda, Laura and Waddock, Sandra, ‘Networked CSR Governance: A Whole Network Approach to Meta-Governance’ (2018) 57:4 Business & Society 636–675 CrossRefGoogle Scholar.
7 Ruggie, note 1; quoting Arvind Ganesan of Human Rights Watch.
8 Ruggie, note 1.
9 Rasche, Andreas, ‘The United Nations Global Compact and the Sustainable Development Goals’ in Laasch, Oliver, Jamali, Dima, Freeman, R Edward and Suddaby, Roy (eds.), Research Handbook of Responsible Management (Cheltenham: Edward Elgar, 2020) 228–241 CrossRefGoogle Scholar.
10 Ruggie, note 1, 70.
11 Ibid, 71.
12 Ibid, 74.
13 Human Rights Council, ‘Guiding Principles on Business and Human Rights: Implementing the United Nations “Protect, Respect and Remedy” Framework’, A/HRC/17/31 21 March 2011)Google Scholar.
14 Ruggie, note 1, 64.
15 Lagoutte, Stéphanie, ‘The UN Guiding Principles on Business and Human Rights – A Confusing “Smart Mix” of Soft and Hard International Human Rights Law’ in Lagoutte, Stéphanie, Gammeltoft-Hansen, Thomas and Cerone, John (eds.), Tracing the Roles of Soft Law in Human Rights (Oxford: Oxford University Press, 2016) 235–253 CrossRefGoogle Scholar.
16 Ruggie, note 1.
17 Ibid, 75.
18 See de Bakker et al, note 2, for a review.
19 Rasche, Andreas, Waddock, Sandra and McIntosh, Malcolm, ‘The United Nations Global Compact: Retrospect and Prospect’ (2013) 52 Business & Society 6–30 CrossRefGoogle Scholar.
20 Strauss, Anselm and Corbin, Juliet, Basics of Qualitative Research: Techniques and Procedures for Developing Grounded Theory, 2nd edn. (Thousand Oaks, CA: SAGE, 1998)Google Scholar.
21 For example, Dahan, Yossi, Lerner, H and Milman-Sivan, F, ‘The Guiding Principles for Business and Human Rights: Labor Violations and Shared Responsibility’ (2016) 32:4 International Journal of Comparative Labour Law and Industrial Relations 425–447 Google Scholar; Deva, Surya, ‘Treating Human Rights Lightly: A Critique of the Consensus Rhetoric and the Language Employed by the Guiding Principles’ in Deva, Surya and Bilchitz, David (eds.), Human Rights Obligations of Business: Beyond the Corporate Responsibility to Respect? (Cambridge; New York: Cambridge University Press, 2013), 78–104 CrossRefGoogle Scholar; Wettstein, Florian, ‘Normativity, Ethics, and the UN Guiding Principles on Business and Human Rights: A Critical Assessment’ (2015) 14:2 Journal of Human Rights 162–182 CrossRefGoogle Scholar.
22 Deva, note 21, 89.
23 Nolan, Justine, ‘The United Nations’ Global Compact with Business: Hindering or Helping the Protection of Human Rights?’ (2005) 24 University of Queensland Law Journal 460 Google Scholar.
25 Wettstein, note 21.
26 Ruggie, John G, ‘Promotion and Protection of all Human Rights, Civil, Political, Economic, Social, and Cultural Rights, Including the Right to Development: Protect, Respect and Remedy – A Framework for Business and Human Rights’, A/HRC/8/5 7 April 2008), 9 Google Scholar.
27 Wettstein, note 21.
28 Bijlmakers, Stephanie, ‘Business and Human Rights Governance and Democratic Legitimacy: The UN “Protect, Respect and Remedy” Framework and the Guiding Principles’ (2013) 26:3 Innovation: The European Journal of Social Science Research 288–301 Google Scholar.
29 Ibid, 296.
30 For example, Mena, S and Palazzo, G, ‘Input and Output Legitimacy of Multi-Stakeholder Initiatives’ (2012) 22:3 Business Ethics Quarterly 527–556 CrossRefGoogle Scholar.
31 Moog, S, Spicer, A and Böhm, S, ‘The Politics of Multi-Stakeholder Initiatives: The Crisis of the Forest Stewardship Council’ (2015) 128:3 Journal of Business Ethics 469–493CrossRefGoogle Scholar.
32 Simons, P and Handl, M, ‘Relations of Ruling: A Feminist Critique of the United Nations Guiding Principles on Business and Human Rights and Violence against Women in the Context of Resource Extraction’ (2019) 31:1 Canadian Journal of Women and the Law 113–150 CrossRefGoogle Scholar.
33 Simons and Handl, note 32, 130.
34 Kilgour, Maureen A, ‘The Global Compact and Gender Inequality: A Work in Progress’ (2013) 52:1 Business & Society 105–134 CrossRefGoogle Scholar.
35 For example, Bonnitcha, J and McCorquodale, R, ‘The Concept of “Due Diligence” in the UN Guiding Principles on Business and Human Rights’ (2017) 28:3 European Journal of International Law 899–919 CrossRefGoogle Scholar; Davis, Rachel, ‘The UN Guiding Principles on Business and Human Rights and Conflict-Affected Areas: State Obligations and Business Responsibilities’ (2012) 94:887 International Review of the Red Cross 961–979 Google Scholar; Joseph, Sarah, ‘“Is Fox News a Breach of Human Rights?”: The News Media’s Immunity from the Guiding Principles on Business and Human Rights’ (2016) 1:2 Business and Human Rights Journal 229–253 CrossRefGoogle Scholar; Lindsay, Rae, McCorquodale, Robert, Blecher, Lara, Bonnitcha, Jonathan, Crockett, Antony and Sheppard, Audley, ‘Human Rights Responsibilities in the Oil and Gas Sector: Applying the UN Guiding Principles’ (2013) 6:1 Journal of World Energy Law and Business 2–66CrossRefGoogle Scholar; Michieka, Nyakundi M and Blankenship, Dustin, ‘Avoiding the Resource Curse’, in Martin, J and Bravo, K E (eds.), The Business and Human Rights Landscape: Moving Forward, Looking Back (Cambridge: Cambridge University Press, 2015) 559–573 CrossRefGoogle Scholar.
36 Joseph, note 35.
37 Ibid, 252.
38 Ruggie, John G, ‘Global Governance and “New Governance Theory”: Lessons from Business and Human Rights’ (2014) 20:1 Global Governance 8CrossRefGoogle Scholar.
39 Bonfanti, Angelica and Bordignon, Marta, ‘“Seafood from Slaves”: The Pulitzer Prize in the Light of the UN Guiding Principles on Business and Human Rights’ (2017) 8:4 Global Policy 498–504 CrossRefGoogle Scholar.
40 Ibid, 502.
41 Lindsay et al, note 35.
42 Ibid.
43 For a discussion, see Rasche, Andreas, ‘“A Necessary Supplement”: What the United Nations Global Compact Is and Is Not’ (2009) 48:4 Business & Society 511–537 CrossRefGoogle Scholar.
44 For example, Karin Buhmann, ‘(Re-)Enter the State: Business and Human Rights Dynamics as Shapers of CSR Norms and Institutions’, in Arnaud Sales (ed.), Corporate Social Responsibility and Corporate Change (Cham: Springer, 2019), 119–133; Siddiqui, Javed and Uddin, Shahzad, ‘Human Rights Disasters, Corporate Accountability and the State: Lessons Learned From Rana Plaza’ (2016) 29:4 Accounting, Auditing and Accountability Journal 679–704 CrossRefGoogle Scholar.
45 Ruggie, John G and Sherman, John F, ‘Adding Human Rights Punch to the New Lex Mercatoria: The Impact of the UN Guiding Principles on Business and Human Rights on Commercial Legal Practice’ (2015) 6:3 Journal of International Dispute Settlement 457 CrossRefGoogle Scholar.
46 Peter A Hall and David W Soskice, Varieties of Capitalism: The Institutional Foundations of Comparative Advantage (Oxford: Oxford University Press, 2013).
47 Kristiansson, Linnea and Götzmann, Nora, ‘National Implementation Processes for the United Nations Guiding Principles on Business and Human Rights: Towards Gender-Responsive Approaches’ (2020) 26 Australian Journal of Human Rights 93–109 CrossRefGoogle Scholar.
48 For example, Haász, Veronika, ‘The Role of National Human Rights Institutions in the Implementation of the UN Guiding Principles’ (2013) 14:3 Human Rights Review 165–187 CrossRefGoogle Scholar; Rivera, Humberto C, ‘The United Nations Guiding Principles on Business and Human Rights in the European Union: From Regional Action to National Implementation’ in Martin, J and Bravo, K E (eds.), The Business and Human Rights Landscape (Cambridge: Cambridge University Press, 2015) 498–529 CrossRefGoogle Scholar.
49 Buhmann, note 44.
50 Ibid.
51 Augenstein, Daniel, Dawson, Mark and Thielbörger, Pierre, ‘The UNGPs in the European Union: The Open Coordination of Business and Human Rights?’ (2018) 3:1 Business and Human Rights Journal 1–22 CrossRefGoogle Scholar.
52 Augenstein et al, note 51.
53 Rasche, Andreas, ‘Global Policies and Local Practice: Loose and Tight Couplings in Multi-Stakeholder Initiatives’ (2012) 22:4 Business Ethics Quarterly 679–708 CrossRefGoogle Scholar.
54 Buhmann, note 44.
55 Haász, note 48.
56 Lemke, Stefanie, ‘The UN Guiding Principles and the Legal Profession: Quo Vadis?’ (2017) 2:2 Business and Human Rights Journal 351–357 CrossRefGoogle Scholar; Richman, Steven M, ‘Ethical Issues for Business Lawyers Under the United Nations Guiding Principles’ (2018) 51:3 International Lawyer 423–443 Google Scholar.
57 Bonnitcha and McCorquodale, note 35.
58 Ibid, 900.
59 Mares, Radu, ‘Securing Human Rights Through Risk-Management Methods: Breakthrough or Misalignment?’ (2019) 32:3 Leiden Journal of International Law 517–535 CrossRefGoogle Scholar.
60 Kanis, Blair E, ‘Business, Human Rights, and Due Diligence’ in Martin, J and Bravo, K E (eds.), The Business and Human Rights Landscape: Moving Forward, Looking Back (Cambridge: Cambridge University Press, 2015) 14–431 Google Scholar.
61 Joseph, note 35, 252.
62 Hicks, Donna, Dignity: The Essential Role it Plays in Resolving Conflict (New Haven: Yale University Press, 2011)Google Scholar.
63 Wettstein, note 21, 163.
64 UN Global Compact, ‘The Guiding Principles on Business and Human Rights: Relationship to UN Global Compact Commitments’, https://d306pr3pise04h.cloudfront.net/docs/issues_doc%2Fhuman_rights%2FResources%2FGPs_GC+note.pdf (accessed 27 October 2020)Google Scholar.