Improving EU Engagement with Non-State Actors

210 Pages·2016·2.4 MB·English

Improving EU Engagement
with Non-State Actors

Wolfgang Benedek, Mary Footer, Jeffrey Kenner,
Maija Mustaniemi-Laakso, Reinmar Nindler,
Aoife Nolan, Stuart Wallace

10.743014 /MFRaArMcEh. R2E0P1S.57 .2
Fostering Human Rights among European Policies
Large-Scale FP7 Collaborative Project
GA No. 320000
1 May 2013-30 April 2017
Improving EU Engagement with Non-State Actors
Work Package No. 7 – Deliverable No. 2
Due date 31 March 2015
Submission date 31 March 2015
Dissemination level PU
Lead Beneficiary University of Nottingham
Authors Wolfgang Benedek, Mary Footer, Jeffrey Kenner, Maija Mustaniemi-Laakso,
Reinmar Nindler, Aoife Nolan, Stuart Wallace
http://www.fp7-frame.eu
doi.org/20.500.11825/78
FRAME Deliverable No. 7.2
Executive Summary
This report, FRAME 7.2, provides analysis of the EU’s engagement with non-state actors. In the context of
FRAME, non-state actors (NSAs) are understood to encompass businesses, international financial
institutions (IFIs), civil society organisations (CSOs) and human rights defenders (HRDs), and the report is
divided along these lines of analysis.
The report relies on both desk research and qualitative, interview-based research to identify and evaluate
the means through which the EU and the different types of NSAs engage with each other on human rights.
The report begins with contextualising introductions to each of the areas of engagement with NSAs before
analysing engagement with each group individually in the subsequent chapters. The report concludes by
identifying some cross-cutting issues.
The report establishes that engagement with NSAs has the potential to add a great deal of value to the
EU’s human rights policies and activities both internally and externally. The EU can draw on the expertise
and experience of NSAs when forming policies, utilise NSA infrastructures in third states to gather
information or implement policy and, through working with NSAs, generate greater political and financial
leverage than the EU would be able to generate on its own. The report identifies a number of cross-cutting
issues that need to be addressed in order to strengthen engagement with NSAs, such as improving the
quality and consistency of public consultations, which serve as a key point of engagement across the EU,
and improving the transparency of the process of EU engagement with various NSAs.
The EU’s Corporate Social Responsibility (CSR) agenda has evolved as the key source of engagement on
human rights issues with businesses. Interviews have provided a rich source of practical experiences of
CSR from both the EU institutional and business perspectives. Also, one of the researchers participated in
the recent Multistakeholder Forum on CSR where debate took place on further refinements of the balance
between voluntary and mandatory measures in a ‘smart mix’ of CSR initiatives. However, as this is a broad
policy area, which engages multiple DGs of the Commission and other institutions and bodies within the
EU’s infrastructure, there is a risk that the EU’s overall CSR policy will lack coherence and focused
direction. This risk is, if anything, amplified by recent changes in configurations of DGs within the EU. We
also foresee the need for better engagement with businesses to successfully operationalise the non-
financial reporting directive and to improve the remedial structures for human rights violations
perpetrated by, or arising in the supply chains of, businesses.
Our research shows that the EU’s engagement with IFIs on the subject of human rights both at project
and policy level is limited. While the EIB has made some laudable steps to incorporate human rights
standards in its work practice, as part of its obligations as an internalised ‘EU Bank’, the other IFIs
demonstrated a more limited appreciation for the human rights impacts of their activities. The report
considers that the EIB’s experience of incorporating human rights norms into its project activities could
serve as a useful template for other IFIs and that the EU should actively facilitate this exchange and
commence a more regular dialogue with the other IFIs on the subject of human rights.
ii
FRAME Deliverable No. 7.2

The report also identifies some issues surrounding the EU’s engagement with CSOs on human rights both
within the Union and as part of its external action, for example as part of development co-operation and
the European Neighbourhood Policy. While we identified a number of useful fora in which the EU engaged
with CSOs, including the European Instrument for Democracy and Human Rights (EIDHR) Forum and EU-
NGO Forum, our research showed that the EU engaged with a relatively narrow spectrum of CSOs,
favouring large, professional, Brussels-based CSOs and CSO platforms. There is a need for the EU to
broaden and diversify the range of CSOs it engages with. Our research also highlighted the need to
improve communication channels between the EU and CSOs. On one side, the EU needs to improve its
communication with CSOs on policy changes and public consultations. On the other side, the EU needs to
improve its communication channels between it and CSOs on the ground in order to receive accurate and
up-to-date information on the human rights situations in third countries.
Finally, while EU engagement with HRDs on human rights was broadly positive and beneficial for both
parties, especially with regard to their receipt of funding under instruments such as the European
Instrument for Democracy and Human Rights, our research revealed some problematic issues that need
to be addressed if the EU wishes to strengthen engagement. Engagement between EU delegations and
HRDs in third countries is worryingly inconsistent. Equally, while there have been significant
improvements in the delivery of funding to HRDs in third countries, accessing EU funding remains difficult
for them and needs to be made more flexible and less administratively onerous across the board.

iii
FRAME Deliverable No. 7.2

Table of Contents

Executive Summary ....................................................................................................................................... ii
Table of Contents ......................................................................................................................................... iv
List of Abbreviations .................................................................................................................................... ix
I. Introduction .......................................................................................................................................... 1
A. Research Context .............................................................................................................................. 1
B. Research Objectives and Methodology ............................................................................................ 2
II. Contextualising EU Engagement with Non-State Actors ...................................................................... 5
A. Business ............................................................................................................................................. 5
B. International Financial Institutions ................................................................................................... 6
C. Civil Society Organisations ................................................................................................................ 7
D. Human Rights Defenders .................................................................................................................. 9
E. Reform of EU Instruments for Engagement with NSAs .................................................................... 9
III. Business and TNCs .......................................................................................................................... 11
A. General context............................................................................................................................... 11
B. A renewed EU Strategy for Corporate Social Responsibility: modes of engagement .................... 12
1. Green Paper ‘Promoting a European Framework for Corporate Social Responsibility’ ............. 13
2. European Multistakeholder Forum on CSR................................................................................. 14
C. EU Communication on CSR ............................................................................................................. 22
1. Europe 2020 Strategy: a new understanding about CSR ............................................................ 23
2. Agenda for Action for the period 2011-2014 .............................................................................. 25
3. 2014 CSR Public Consultation ..................................................................................................... 27
4. Multistakeholder Forum on CSR: Policy Guidance on Human Rights ......................................... 29
D. Other EU policy instruments supported by the EU CSR Strategy ................................................... 32
1. Social Business Initiative ............................................................................................................. 33
2. Expert Group on Transnational Company Agreements .............................................................. 35
3. CSR and Small and Medium-sized Enterprises ............................................................................ 36
4. EU-funded research on CSR ........................................................................................................ 39
5. FP7-funded IMPACT project on CSR impacts .............................................................................. 44
E. Strategic Framework and Action Plan for Human Rights and Democracy ..................................... 45
iv
FRAME Deliverable No. 7.2

1. Human Rights guidance for different businesses and business sectors ..................................... 46
2. Report on priorities for effective implementation of UN Guiding Principles ............................. 47
3. National action plans on business and human rights ................................................................. 48
F. The European Instrument for Democracy and Human Rights and other TCN’s initiatives ............ 50
1. Clean Clothes Campaign (CCC) .................................................................................................... 50
2. NGO Friends of the Earth International Global project on land-rights’ defenders .................... 51
3. Regional NGO Asia Indigenous Peoples Pact project on indigenous rights’ defenders .............. 52
4. Latin American Mining Monitoring Programme (LAMMP) ......................................................... 52
5. Investing in People ...................................................................................................................... 53
6. Appraisal of the EIDHR by beneficiaries ...................................................................................... 53
G. EU MS bilateral engagement and mechanisms .............................................................................. 55
1. Bilateral engagement through trade and cooperation agreements........................................... 55
2. Human rights dialogues with third countries and regions .......................................................... 59
H. International fora ............................................................................................................................ 61
I. Gaps in the EU’S CSR policy............................................................................................................. 63
1. Private military and security companies (PMSCs) ...................................................................... 63
2. Public procurement .................................................................................................................... 65
3. Responsible supply chain management ..................................................................................... 67
J. Preliminary findings ........................................................................................................................ 71
IV. International Financial Institutions ................................................................................................. 73
A. General Context .............................................................................................................................. 73
B. EU Engagement with the World Bank ............................................................................................. 74
C. EU Engagement with the IMF ......................................................................................................... 77
D. EU Engagement with the EIB .......................................................................................................... 79
1. Engagement with the Commission ............................................................................................. 81
2. Engagement with the European External Action Service (EEAS) ................................................ 85
3. Engagement with the European Parliament ............................................................................... 86
4. Engagement with the Council of the European Union ............................................................... 88
E. Preliminary findings ........................................................................................................................ 89
V. Civil Society Organisations .................................................................................................................. 91
A. General context............................................................................................................................... 91
B. Definition of CSOs ........................................................................................................................... 92
v
FRAME Deliverable No. 7.2

C. EU’s engagement with CSOs ........................................................................................................... 94
1. A renewed EU’s institutional view of CSOs ................................................................................. 94
2. CSOs in the EU development policy ............................................................................................ 98
D. EU implementation instruments to engage with CSOs ................................................................ 102
1. EU Strategic Framework on Human Rights and Democracy ..................................................... 102
2. EU-NGO Human Rights Forum .................................................................................................. 103
3. Social Dialogue .......................................................................................................................... 104
4. European Neighbourhood Instrument ..................................................................................... 105
5. Civil Society Facility ................................................................................................................... 106
6. European Endowment for Democracy ...................................................................................... 106
7. Instrument contributing to Stability and Peace ........................................................................ 107
8. European Instrument for Democracy and Human Rights ......................................................... 107
9. European Parliament’s meetings with non-EU civil society organisations ............................... 109
10. European Development Fund ............................................................................................... 109
11. Human Rights Dialogues ....................................................................................................... 111
12. Other instruments and structures to support EU-CSO engagement .................................... 112
E. Assessment of methods of engagement ...................................................................................... 113
1. Methods and processes ............................................................................................................ 114
2. Access ........................................................................................................................................ 118
3. Quality of interaction ................................................................................................................ 127
VI. Human Rights Defenders .............................................................................................................. 137
A. General context............................................................................................................................. 137
1. Definition and Typology of HRDs .............................................................................................. 137
2. The EU’s policy towards HRDs .................................................................................................. 138
B. EU formulation and implementation instruments to engage with HRDs ..................................... 139
1. The European Union Guidelines on HRDs ................................................................................. 139
2. EU Strategic Framework and Action Plan on Human Rights and Democracy ........................... 141
3. European Instrument for Democracy and Human Rights ......................................................... 146
4. Instrument contributing to Stability and Peace ........................................................................ 150
5. European Neighbourhood Instrument ..................................................................................... 151
C. The European Parliament’s action ................................................................................................ 151
1. Subcommittee on Human Rights .............................................................................................. 151
vi
FRAME Deliverable No. 7.2

2. Resolutions ................................................................................................................................ 152
3. Hearings .................................................................................................................................... 153
4. Correspondence ........................................................................................................................ 153
5. Reports ...................................................................................................................................... 153
6. Delegations to third countries .................................................................................................. 154
7. Sakharov Prize for Freedom of Thought ................................................................................... 154
8. Scientific Studies ....................................................................................................................... 154
D. The European External Action Services’ and EU Missions action ................................................. 155
1. EEAS Statements, Declarations and Démarches ....................................................................... 155
2. Human Rights Dialogues and Consultations ............................................................................. 156
E. EU Member States bilateral mechanisms ..................................................................................... 157
F. Cooperation Mechanisms with the Council of Europe, the OSCE and other relevant International
Organisations ........................................................................................................................................ 158
1. Cooperation Mechanisms with the Council of Europe ............................................................. 158
2. Cooperation Mechanisms with the OSCE ................................................................................. 159
3. Cooperation Mechanisms with the United Nations ................................................................. 159
G. Preliminary findings ...................................................................................................................... 159
VII. Conclusions ................................................................................................................................... 162
A. Cross cutting issues ....................................................................................................................... 163
B. Business ......................................................................................................................................... 164
C. IFIs ................................................................................................................................................. 164
D. CSOs .............................................................................................................................................. 165
E. HRDs .............................................................................................................................................. 165
Bibliography .............................................................................................................................................. 167
A. Books ............................................................................................................................................. 167
B. Book Chapters ............................................................................................................................... 167
C. Journal Articles .............................................................................................................................. 170
D. Official Publications ...................................................................................................................... 171
E. Cases ............................................................................................................................................. 176
F. International Treaties and Agreements ........................................................................................ 176
G. European Legislation ..................................................................................................................... 177
H. Other Reports and Working Papers .............................................................................................. 180
vii
FRAME Deliverable No. 7.2

I. Electronic Sources ......................................................................................................................... 185
J. Speeches, Press Releases and Conferences .................................................................................. 195
K. Other Legislation ........................................................................................................................... 198

viii
FRAME Deliverable No. 7.2

List of Abbreviations

ACP African, Caribbean and Pacific Group of States
CEPS Centre for European Policy Studies
CFSP Common Foreign and Security Policy
CJEU Court of Justice of the European Union
CoE Council of Europe
COHOM European Council’s Working Group on Human Rights
CSDP Common Security and Defence Policy
CSF Civil Society Facility
CSO Civil Society Organisation
CSR Corporate Social Responsibility
DEVCO Directorate General of Development Cooperation
DG Directorate General
DROI European Parliament Sub-Committee on Human Rights
EBRD European Bank for Reconstruction and Development
ECA Europe and Central Asia (World Bank)
ECB European Central Bank
ECOFIN Economic and Financial Affairs Council
ECR External and Corporate Relations (World Bank)
EDF European Development Fund
EEAS European External Action Service
EED European Endowment for Democracy
EESC European Economic and Social Committee
EIB European Investment Bank
EIDHR European Instrument for Democracy and Human Rights
ix