water mandate human rights white paper
TRANSCRIPT
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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
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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.
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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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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