RT Why Human Rights Matter en

Why human January 2013 A resource guide for integrating human rights
rights matter riotinto.com into Communities and Social Performance work

at Rio Tinto
Why human
rights matter
About Rio Tinto
Rio Tinto is a global leader in finding, mining and processing mineral

resources. Our products help to fulfil vital consumer needs and improve
living standards around the world. We employ 68,000 people across more
than 40 countries and are a leading producer of aluminium, copper,
diamonds, coal, iron ore, uranium, gold and industrial minerals like
borates, titanium dioxide and salt.
We are committed to delivering value at each We are also determined to minimise the
stage of metal and mineral production. Our environmental effects of our activities and
businesses include open pit and underground ensure that local communities benefit as
mines, mills, refineries and smelters as well as much as possible from our operations.
a number of research and service facilities.
Our values – accountability, respect, teamwork
The majority of our operations are in Australia and integrity – are expressed through our
and North America, but we also have businesses business principles, policies and standards and
in South America, Europe, southern Africa underpin the way we manage the economic,
and Asia. social and environmental effects of our
operations and how we govern our business.
Wherever we operate, health and safety is our
first priority. We put sustainable development Our approach, coupled with our diverse portfolio
at the heart of all our Group businesses, working of quality assets, positions us to deliver superior
as closely as possible with host countries and returns to our shareholders over time and
communities and respecting local laws continue to grow on a global scale.
and customs.
Cover
Rio Tinto Exploration,
Mozambique: local people
observing a drill rig in
between drilling locations.
Photographed by
Grant Lee Nuerenberg.
Why human January 2013
rights matter
Why human rights matter:

a resource guide for integrating
human rights into Communities
and Social Performance work at
Rio Tinto
rights matter
Contents
1. Introduction
Foreword 06
Contributors to this guide 08
Introduction 11
2. How to guide
2.1 At the centre – inclusive engagement 20
2.2 Know and understand 34
2.3 Plan and implement 53
2.4 Monitor, evaluate and improve 71
2.5 Report and communicate 84
3. Background reader (refer to disk attached)

3.1 What are human rights?
3.2 Business and human rights
3.3 Human rights in Communities and Social Performance work
3.4 Human rights in a country context
3.5 Human rights and Indigenous peoples
4. References
Appendices 89
Rio Tinto’s policies, standards and guidances 91
Key websites 92
List of acronyms 93
References 95
Left
A local woman carrying
water in a village near
Rio Tinto Diamonds’
Bunder camp near Madhya
Pradesh, India.
4
9
3
2
7
10
5
12
11
1
6
rights matter
Case studies
1 Rio Tinto in the East Kimberley, Australia

Indigenous Land Use Agreement 25
2 Rio Tinto in Zvishavane, Zimbabwe

Improving livelihoods during resettlement 29
3 Rio Tinto at La Granja, Peru

Integrating human rights considerations into security assessments 39
4 Rio Tinto at Simandou, Guinea

Focus on health in baseline and impact assessments 47
5 Rio Tinto in Sarawak, Malaysia

Working with government to improve resettlement 49
6 Rio Tinto in the Pilbara, Australia

Indigenous employment 55
7 Rio Tinto in Bundelkhand, India

Empowering women for greater gender equality 59
8 Rio Tinto at Oyu Tolgoi, Mongolia

Human rights training programme 62
9 Rio Tinto Exploration in Orientale, Democratic Republic of Congo

Human rights training programme 64
10 Rio Tinto in India

Argyle manufacturing model 68
11 Rio Tinto in Weipa, Australia

Integrating complaints, disputes and grievance resolution
into management systems 79
12 Rio Tinto in Kelian, Indonesia

Settlement of community compensation claims 82
rights matter
Introduction
Foreword
At Rio Tinto our respect for human rights

is integral to the way we work.
Human rights are relevant to every part
of our business – from the women and
men working at sites off the beaten track
in Australia’s Pilbara, Simandou in Guinea,
or Michigan’s Upper Peninsula, to those in
our corporate offices in capital cities. Our
employees, their families, host communities,
suppliers and consumers of our products
all fall under the protective mantle of the
Universal Declaration of Human Rights.
Respect for human rights is essential in our
Communities and Social Performance work,
helping us build trust and collaborative
relationships with host communities.
6
rights matter
Introduction
The world is paying more attention to our human This guide focuses on what due diligence, risk
rights performance. Investors, governments, non- assessment and community engagement mean in
government organisations, the media and industry a human rights context, examines why human rights
associations are scrutinising the policies and matter in Communities and Social Performance
processes we have in place to respect human rights, (CSP) work, and illustrates how our processes and
and are watching closely how we deal with adverse systems align with international standards and
impacts if things go wrong. We are also moving into expectations, using real-life examples we have
more challenging regions where there is a greater encountered in our business.
risk of human rights exposures through business
relationships. We want to ensure that all field The guide is written primarily for our CSP
workers respect, can recognise and if necessary practitioners who interact daily with our host
help remedy any human rights impacts. communities and want to ‘do the right thing’ in the
face of the dilemmas they encounter. But we hope
We know that our decisions and actions, whether that it will be of use to all Rio Tinto employees,
inadvertent or deliberate, can result in adverse and of interest to our stakeholders who want to
human impacts. We also recognise that respecting understand how we meet our ‘responsibility to
human rights is a continual process which we will respect human rights’.
always strive to improve. We are determined to
be proactive. While it is tempting to believe that
simple human decency can be our compass, the
complexity of our interaction with local communities,
and the human rights issues which arise as a result,
requires a systematic approach and expert guidance.
Bruce Harvey
Global practice leader, Communities and Social Performance
Vicky Bowman
Global practice leader, External Affairs
7
rights matter
Introduction
Contributors to this guide
To capture international experiences of human rights issues and concerns and to promote good
practice concepts, approaches and experiences, this guide has been reviewed by an Internal Working
Group, consisting of Rio Tinto representatives from different departments and geographical locations,
and by an External Review Panel of experts in human rights.
The panel was asked to advise and to challenge Rio Tinto’s thinking, to suggest key resources and
literature and to provide criticism. While it was not possible to incorporate all of the feedback, the
panel’s input has been invaluable. The listing of External Review Panel members does not imply their
full endorsement of the content.
The Background reader was written by experienced professionals from the Business and Human Rights
Department at the Danish Institute for Human Rights (DIHR). It is intended to provide more information
on current international human rights standards as they affect businesses in general. It was not
prepared by Rio Tinto and does not necessarily represent its views.
This guide has been developed in partnership with the Centre for Social Responsibility in Mining (CSRM),
part of the Sustainable Minerals Institute at The University of Queensland.
8
rights matter
Introduction
Principal authors:
How to guide Background reader

Dr Deanna Kemp Danish Institute for
Deputy director, Centre for Social Human Rights (DIHR)
Responsibility in Mining
Allan Lerberg Jørgensen
Jane Gronow Director, Human Rights
Rio Tinto, Principal advisor, & Business Department
Communities and Social
Performance Nora Götzmann
Advisor, Human Rights
Vanessa Zimmerman & Business Department
Rio Tinto, Principal human rights
advisor, External Affairs
Julie Kim
Research assistant, Centre for
Social Responsibility in Mining
Key contributors:
Bruce Harvey Vicky Bowman

Global practice leader, Global practice leader,
Communities and External Affairs
Social Performance
Rio Tinto Internal Working Group
Jane Gronow (Project leader)

Principal advisor, Communities
and Social Performance
Dr Chris Anderson Lisa Dean Simon Wake

US Director, Communities and Principal advisor, Communities Principal advisor,
Social Performance, Americas and Social Performance Communities and
Social Performance,
Jason Bingham Alicia Duex Rio Tinto Exploration
Leader, Procurement Practices Principal advisor,
Contractor Safety, Health, Jeremy van de Bund
Elizabeth Bradshaw Safety and Environment Communities manager,
Principal advisor, Cultural Community Relations,
Heritage, and Communities John Hall Orissa, Rio Tinto Iron Ore
and Social Performance General manager, External Affairs
Isabelle Brissette Angela Mullany

Manager, Security Risk & Human Managing attorney and general
Rights, Global Security counsel, Rio Tinto Exploration
9
rights matter
Introduction
External Review Panel
Luis Fernando de Angulo Kathryn Dovey Daniel Simard

Managing director, Gestion Director, Global Business Coordinator general, Bâtirente:
Responsable: Latin America Initiative on Human Rights: North America
UK and Europe
Richard Boele Dr Phoebe Wynn-Pope
Managing director, Wambui Kimathi Advisor, Humanitarian Affairs:
Banarra: Australia Former commissioner, Kenya Australia
National Human Rights
Sumi Dhanarajan Commission: Africa Luc Zandvliet
Consultant expert on business Director, Corporate Engagement
and human rights: Southeast Asia Rachel Nicolson Project at CDA Collaborative
Senior associate, Allens Arthur Learning Projects: Europe and
Robinson law firm: Australia North America
Other acknowledgements
Rio Tinto would like to thank Carolyn Lidgerwood Centre for Social Responsibility
all those who reviewed and Senior advisor/counsel, Privacy in Mining
commented on the various
drafts of this guide, including: Tanya Martin Professor David Brereton
Principal advisor, Local Centre director
Rio Tinto and Sustainable, Rio Tinto
Procurement Nora Götzmann
Josie Caird Former research assistant
Chief counsel, Melanie Wilson
People and Organisation Senior advisor, Communities Nina Collins
and Social Performance Research assistant
Skye Crawford
Group advisor, Graduate Talent Nadia Younes
Global advisor,
Tara Hopkins Diversity and Inclusion
Chief adviser, External Affairs
Case study contributors
We would also like to acknowledge Catherine Garcia Vikram Merchant

employees at sites that provided Rio Tinto Iron Ore, Guinea Rio Tinto Diamonds, India
information for the case studies:
Suugie Gonchigjantsan Santosh Pathak
Israel Chokuwenga Oyu Tolgoi, Mongolia Rio Tinto Minerals, Bunder, India
and Zebra Kasete
Murowa Diamonds, Zimbabwe Lauren Heinritz Cara Peek and Robert
Rio Tinto Iron Ore, Smith -Clare
Sharon Flynn Pilbara, Australia Argyle Diamonds, Australia
Rio Tinto Minera, La Granja, Peru
Budi Irianto Simon Wake
Dr Angus Green Rio Tinto Indonesia Rio Tinto Exploration,
Rio Tinto Alcan, Sarawak Democratic Republic of Congo
Ben Laidlaw and Scott McIntyre
Rio Tinto Alcan, Weipa, Australia
10
rights matter
Introduction
1. Introduction
Rio Tinto has updated its human rights policy to reflect recent developments
in business and human rights, such as the revision of the OECD Guidelines on
Multinational Enterprises and the 2011 endorsement of the UN Guiding Principles
on Business and Human Rights. Our policy affirms that we support human rights
in accordance with the Universal Declaration of Human Rights and respect those
rights in conducting the Group’s operations throughout the world. This guide has
been prepared to assist our Communities and Social Performance (CSP) practitioners
and other Rio Tinto employees across the organisation to integrate human rights
considerations into their work.
Respecting human rights helps to underpin our This guide consists of:
1. International Council
on Mining and Metals business success. – i nformation on ‘How to’ integrate human rights
(2012). Human rights considerations into our CSP work;
in the mining and Rio Tinto understands that not doing so poses – a Background reader prepared by the Danish
metals industry: very real risks to the company such as operational Institute for Human Rights (DIHR) with more
Integrating human delays, legal disputes, reputational harm, investor
rights due diligence detailed information on international human
into corporate challenges, loss of social licence to operate and rights instruments, their relevance to the
risk management employee dissatisfaction. On the other hand, the business context, current debates and external
processes, March actions we take in support of human rights help us resources; and
2012. p64.
to build enduring and positive relationships across – appendices on Rio Tinto’s Human rights
the community and the world. policy and voluntary commitments relating
Our Human Rights Framework, which aligns with to human rights.
our commitments under the OECD Guidelines This guide is written primarily for Rio Tinto
for Multinational Enterprises and reflects the UN employees and managers who encounter human
Guiding Principles on Business and Human Rights, rights issues when engaging with communities.
has its foundations in human rights due diligence, Those employees may be employed in CSP roles
carried out as part of our corporate processes. We but may also work in health and safety, environment,
recognise that certain rights may be more ‘at risk’ human resources, procurement, security or be
than others in our day-to-day operations. involved in projects or other work that relate to
The International Council on Mining and Metals communities. This guide also includes a number of
(ICMM) has recently identified some prevailing tools, checklists and case studies. These have been
human rights issues for the mining and metals included as examples of good practice and are for
sector1. Many of these issues such as resettlement, the purposes of guidance only. This guide does not
water services, and security are more likely to affect attempt to cover all aspects of Rio Tinto’s interface
the human rights of communities where mining with human rights; these are outlined in the Human
and metals companies operate than those of other rights guidance and issue-specific guidances.
businesses. It is important that our CSP practitioners Why human rights matter is the third in a series of
and other employees working with local communities guides for CSP practitioners following Why gender
understand our human rights approach and the matters and Why cultural heritage matters.
processes available to protect these communities’
human rights. This document provides guidance
and should be read in conjunction with the Group-
wide Human rights policy and guidance, and other
relevant tools (see appendices A and B).
11
rights matter
Introduction
What are human rights?

2. International Box 1: The main elements of human rights
Covenant on Human rights are the inherent dignities and
Civil and Political
Universal and inalienable: held regardless of freedoms to which we are all entitled as human
Rights (ICCPR) and political, economic and cultural systems and beings, wherever we live.
the International are not to be taken away.
Covenant on Box 1 explains the key elements of all human rights.
Economic, Social Interdependent and indivisible: All rights are
and Cultural Rights In 1948, the UN adopted the Universal Declaration
(ICESCR).
equally important. There is no hierarchy between of Human Rights (UDHR), which contains 30 articles
civil, cultural, economic, political and social rights. setting out universal human rights. The Declaration,
Human rights are not mutually exclusive. The together with two international instruments adopted
enjoyment of one human right often relies wholly, in 19662 form the UN’s International Bill of Human
or in part, upon the fulfilment of others. Similarly, Rights. Other key instruments are the International
the interference of one human right often negatively Labour Organization’s (ILO) eight core conventions
affects other human rights. set out in the Declaration on Fundamental Principles
Equal and non-discriminatory: all humans have the and Rights at Work. Box 2 lists some of the rights
same rights regardless of race, colour, sex, language, embedded in these instruments.
religion, political or other opinion, national or social Today, it is widely accepted that businesses have
origin, property, birth or other status. a responsibility to respect human rights.
(Adapted from International Finance Corporation In 2008 the UN Special Representative to the
(2010) Human Rights Impact Assessment and Secretary General (SRSG) on Business and Human
Management Tool) Rights developed a policy framework of Protect,
Respect and Remedy to clarify the responsibilities
of business and government in relation to business-
Box 2: Examples of human rights that relate to related human rights harm (see Box 3). This was
Rio Tinto’s business further elaborated in the Guiding Principles on
– Right to liberty and security Business and Human Rights (UN Guiding Principles),
– Right not to be subjected to torture, cruel, inhuman endorsed by the UN Human Rights Council in 2011.
and/or degrading treatment or punishment For more information on the UN Guiding Principles
– Right to equality before the law, equal protection see Section 3.2 of the Background reader.
of the law, non-discrimination The UN Guiding Principles provide that, at a
– Right to privacy minimum, business enterprises should respect
– Right to freedom of movement the human rights contained in the International
– Right to own property Bill of Human Rights and the core ILO conventions.
– Right to freedom of opinion, information Box 4 provides further explanation of the business
and expression responsibility to respect. The UN Guiding Principles
– Right to freedom of assembly recognise that other international instruments may
– Right to freedom of association be relevant for businesses dealing with particular
– Right to participate in public life challenges, (also outlined in the Background reader).
– Right to social security, including social insurance
– Right to work To know and show that they respect human
– Right to enjoy just and favourable conditions rights, the UN Guiding Principles recommend that
of work businesses carry out human rights due diligence,
– Right to an adequate standard of living modelled on risk management. The ‘How to’
– Right to health section of this guide explains what human rights
– Right to education due diligence means for CSP practitioners.
– Right to take part in cultural life, benefit from
scientific progress, material and moral rights
of authors and inventors
– Right of self-determination
– Right to safe and clean drinking water
and sanitation
(Adapted from IFC (2010) Human Rights Impact

Assessment and Management Table)
12
rights matter
Introduction
The UN Guiding Principles require businesses to

Box 3: The UN ‘Protect, Respect and Remedy’
have mechanisms in place to address complaints
Framework
and grievances and help remedy any rights abuses
which they cause or contribute to. They also provide In 2008 the UN Secretary General appointed a Special
criteria to assess the effectiveness of company Representative (SRSG) on Business and Human
and other complaints and grievance processes. Rights, Professor John Ruggie, who presented a policy
Rio Tinto’s Community complaints, disputes, and framework for dealing with business-related human
grievance guidance and section 2.4.3 explain how rights challenges consisting of three complementary
we work to resolve human rights-related community pillars:
complaints and grievances. 1. t he State duty to protect against human rights
abuses by third parties, including business,
While the UN Guiding Principles do not require through appropriate policies, regulation and
businesses to go beyond respecting human rights, adjudication;
they acknowledge that business enterprises may 2. t he business responsibility to respect human rights,
undertake other commitments or activities to which means to act with due diligence to avoid
support and promote human rights which may infringing on the rights of others and to address
contribute to the enjoyment of these rights. But any adverse impacts; and
they make clear that a company cannot compensate 3. t he need for greater access by victims to effective
for human rights harm through one act by ‘doing remedy, both judicial and non-judicial.
good’ elsewhere.
In 2011, the SRSG presented the Guiding Principles
Wherever we operate, we engage with communities on Business and Human Rights: Implementing the United
and seek to understand the social, cultural, Nations ‘Protect, Respect and Remedy’ Framework to
environmental and economic implications of our the United Nations Human Rights Council, which
activities. By doing so, we can respond to community unanimously endorsed it.
concerns and work to optimise benefits and reduce
negative impacts, both for the local community and
for the company. We believe that this, together with Box 4: What it means to ‘respect’ human rights.
our community engagement programmes (which The UN Guiding Principles on Business and Human
may include enterprise development, community- Rights define the business ‘responsibility to respect’
based health, training, employment and social and to mean that companies should avoid infringing on
cultural heritage initiatives) can contribute to the the rights of others and address adverse impacts with
realisation of human rights and their enjoyment. which they are involved (GP 11). At its basic level, this
means having a do-no-harm approach. Companies
Table 1 lists examples of how mining, metals and
do not have a responsibility to fill gaps in state
associated operations may adversely impact the
human rights provision but should address and/or
human rights of community members, although
avoid involvement in adverse human rights impacts
these issues vary in different contexts. The table
and should respect human rights through their own
is not comprehensive and does not address potential
activities and business relationships.
overlaps between various rights. Practitioners
should consider the full suite of human rights, (Adapted from Ruggie (2011) Guiding Principles on
as outlined in the International Bill of Human Rights Business and Human Rights: Implementing the United
and the eight core ILO Conventions, in initial baseline Nations “Protect, Respect and Remedy” Framework)
assessments. See the Rio Tinto’s Human rights
guidance for a broader list of human rights that
may be relevant to the Rio Tinto Group.
13
rights matter
Introduction
3. T
his table provides Table 13: Examples of human rights related issues mining and metal companies might face
hypothetical examples
of negative impacts Right to housing A mine relocates people from their homes and land. The resettlement process occurs without
on human rights that
mining, metals and
adequate consultation and results in poorer housing conditions post-relocation.
associated operations
may face. The list is
Population influx resulting from a mining project drives up the price of local housing,
not exhaustive and forcing poorer members of a community to move into substandard dwellings.
is not intended as a
hierarchy. It is also Right to health A mining operation exposes local communities to hazardous materials.
recognised that some
risks may arise from Influx of construction workers contributes to the spread of STIs (sexually transmitted
the cumulative impact infections) in the local community.
of multiple operations
and may not be solely Population influx from a mining project places pressure on existing local health facilities
attributable to
Rio Tinto.
and negatively impacts local access to services.
Right to A mine development causes the relocation or destruction of a local school, or entails
education resettlement of communities to a location without adequate educational facilities.
Local teachers seek higher paying jobs in mining and local schools are left under staffed.
Right to an Mining activities restrict or prevent people’s access to land used for subsistence livelihoods,
adequate affecting their food security.
standard of
living Disruption of natural water flows means that people are no longer able to irrigate crops or
grow enough food for their needs.
Artisanal small-scale mining is prohibited by a company or government affecting local
traditional livelihoods.
Right to Mining activities lead to the destruction or loss of access to a significant cultural heritage.
participate in
cultural life Mining operations significantly impede traditional or cultural ways of living.
Unplanned in-migration leads to the decline of important cultural heritage practices.
Right to security Public or private security personnel use excessive force while evicting illegal small-scale
of person miners from the site or in breaking up community protests.
Unplanned in-migration leads to law and order issues in the community.
Influx of contract workers causes an increase in crime and risk of violence against women
and children.
Right to freedom Government representatives and/or security forces present at company-held consultation
of opinion and meetings inhibit free expression by the community.
expression
A company discourages local media from publishing an unfavourable article regarding
mining impacts.
Contractor security forces quell a peaceful community protest.
Right to non- A company only consults with male decision-makers in the community, excluding women
discrimination and youth.
A company only hires non-Indigenous men locally for labour positions and excludes local
women and Indigenous people from employment opportunities.
Right to potable Mining activities pollute a stream which local people rely on for drinking water.
water and
sanitation Mining impacts an aquifer, causing community wells used for drinking water to run dry.
Right to work Contractors do not pay their local workers in line with prevailing local economic conditions.
including right
to safe working Suppliers providing products such as food do not ensure safe working conditions for their
conditions employees in community-based enterprises.
14
rights matter
Introduction
Our corporate human rights framework –d eveloping CSP multi-year plans that consider
Rio Tinto operates across the world in places all social performance issues (refer to Rio Tinto’s
with widely different social, economic, political CSP multi-year planning guidance);
and cultural norms. Notwithstanding this diversity –d esigning and implementing site-based policies,
of circumstance we are committed to respecting procedures and plans that have implications for
human rights wherever we operate, whether the local communities, including:
country is developed or developing, and high risk – workforce recruitment and management
or low risk for human rights impacts, and through (eg human resource plans and procedures);
all stages of the life of the operation. – procurement of goods and services
(eg use of contractors, local sourcing
Rio Tinto’s human rights framework is established by: policies and procedures, local business
– The way we work. Rio Tinto’s global code of development programmes);
business conduct provides that we actively seek – security arrangements (see Rio Tinto’s
to ensure we are not complicit in human rights guidance, Implementing security and human
abuses and avoid situations that could be rights principles and Providing support to
interpreted as tolerating human rights abuses. public security forces);
– Our Human rights policy. This highlights Rio Tinto’s – community health and safety; and
commitment to respect human rights around the – training of our CSP practitioners in human rights.
world and emphasises the voluntary commitments –d esigning and implementing community
we have made to international instruments and programmes and initiatives;
initiatives with explicit reference to human rights –d esigning and implementing project-level
(see Appendices). It also confirms that Rio Tinto’s complaints, disputes and grievance processes
human rights framework is founded on human (refer to the Community complaints, disputes
rights due diligence carried out as part of our and grievance guidance);
corporate processes. – designing and implementing monitoring, evaluation
Our human rights framework is implemented and reporting frameworks;
through a number of existing internal controls –a ssurance through CSP site managed assessments
and tools including those developed for CSP work. (SMAs), Technical Evaluation Group (TEG) and
It is also supported by training, communication closure plan reviews; and
and governance processes including escalation –p lanning for operational closure and post-closure.
and awareness-raising networks.
These elements are outlined in Rio Tinto’s

Human rights guidance.
This guide explains how to use our established

CSP processes to ensure respect for human rights.
These processes include:
– designing and undertaking community
socioeconomic situational analyses, profiling
or baseline work (refer to Rio Tinto’s
Socioeconomic knowledge base guidance);
– assessing social and community risks and
undertaking comprehensive human rights risk
analyses where these are considered necessary
(refer to Rio Tinto’s Social risk assessment
(SRA) guidance and Human rights guidance);
– undertaking social impact assessments, whether
driven by regulatory or operational purposes,
and undertaking dedicated human rights impact
assessments where these are considered necessary
(refer to Rio Tinto’s Social impact assessment
(SIA) guidance and Human rights guidance);
15
rights matter
Introduction
How to integrate human rights into our work

with communities
CSP practitioners often work at the ‘coal face’ of human rights as they tend to be
involved in issues such as resettlement, land access and acquisition, cultural heritage
and Indigenous affairs. Furthermore, they are often the first point of contact for the
community to raise concerns. Other parts of the business may make this role easier
or harder depending on whether their own actions are respectful of human rights.
It is important that CSP personnel understand their own responsibilities for avoiding
adverse human rights impacts, and work closely with other employees to integrate
respect for human rights into all aspects of our business.
Due diligence enables us to ‘know and show’ that 1. Know and understand
we respect human rights. Box 5 explains the core Build context-specific human rights knowledge and
elements of a due diligence approach. understanding, informed by our CSP assessments.
Good practice in CSP work is consistent with Identify and understand the impacts of our mining,
implementing human rights due diligence. associated operations and contractors, and the
However there may be gaps that we need to risks they pose to human rights throughout a
address at particular sites to explicitly and business’s lifecycle.
comprehensively consider human rights in all
aspects of our business activities. Identify and understand how government and public
institutions engage with human rights issues.
This may include making human rights more explicit
in our knowledge base studies and risk processes, Identify human rights and rights-holders who may
helping employees to understand our responsibilities be adversely impacted by our activities or our
in this area and/or responding better when issues business relationships, for instance with contractors.
that relate to human rights arise. Identify strategies to prevent our involvement in
Four phases of integrating human rights into adverse human rights impacts.
CSP work Identify opportunities to enhance the ability of local
The four phases of Rio Tinto’s CSP management communities to enjoy their human rights.
system, based on the principle of inclusive
engagement, align with the human rights due 2. Plan and implement
diligence approach set out in the UN Follow through on our human rights commitments.
Guiding Principles.
Integrate our human rights knowledge and
Rio Tinto’s approach to integrating human rights understanding into existing control and oversight
into CSP work is shown in the following simplified systems, including: policies at the business unit
conceptual framework (page 18). It has four phases, level; operational management plans; CSP strategies
with inclusive engagement as a cross-cutting theme and multi-year plans; goals; objectives; targets and
relating to all phases. indicators; action plans; project level complaints,
disputes and grievance process; and site-specific
Inclusive engagement standard operating procedures and protocols.
Ensure that our engagement practices respect
human rights. Take action wherever we identify a human rights
risk and/or impact in which we may be involved.
Ensure that diverse voices of both women and men
are heard and that vulnerable and ‘at risk’ groups Influence our suppliers and contractors to improve
can participate in engagement processes. their human rights performance where we may be
directly linked to adverse human rights impacts by
those partners.
16
rights matter
Introduction
Box 5: What is human rights due diligence?

Human rights due diligence is a process that companies should undertake to identify, prevent, mitigate
and account for their impacts on human rights. The UN Guiding Principles define it as:
– i dentifying and assessing the actual and potential adverse human rights impacts of company activities
and associated relationships;
– integrating the human rights findings from impact assessments across relevant internal functions
and processes;
– tracking company human rights performance to verify whether adverse human rights impacts are being
effectively addressed; and
– communicating publicly, including formal reporting where appropriate, on company responses to actual
and potential human rights impacts.
Human rights due diligence can sit within a company’s broader risk management systems. However, beyond
consideration of material risks to the company, it needs to include consideration of risks to, or impact on,
external rights-holders.
Establishing project-level complaints, disputes and grievance procedures for employees and communities plays
an important supporting role, as do statements of policy articulating the company’s commitment to respect
human rights.
Seek to ensure human rights awareness 4. Report and communicate

among, and compliance of, our local suppliers Report and communicate internally and externally
and contractors. on how we are addressing human rights impacts,
both positive and negative, in our CSP work.
Ensure awareness and capacity of all of our
employees to identify potential human rights Ensure that our communication is appropriate
issues when engaging with communities. to the audience.
3. Monitor, evaluate and improve The following sections provide guidance on

Monitor and evaluate the outcomes of CSP strategies implementation and integration of each phase
and initiatives aimed at mitigating human rights risks to CSP work using case studies, illustrative
and enhancing the enjoyment of human rights. examples and tools.
Regularly review and assess our human rights

performance (eg through CSP site managed
assessments and diagnostic workshops, and
project-level complaints processes).
As appropriate, align human rights factors with

social performance indicators to track our human
rights performance, including gender indicators.
Ensure these human rights indicators and

monitoring activities reflect local context and
have community support.
Act on findings to improve projects and

programme outcomes.
17
rights matter
Introduction
Figure 1. Four phases of integrating human rights into CSP work
1 2
Know and understand Plan and implement
– Know the human rights – Integrate human rights

considerations at and gender considerations
our operations. into our internal control
– Incorporate human rights and oversight systems and
into building our knowledge community development and
base and informing our social social investment activities.
analyses. Understand the – Human rights should be
human rights context, integrated in CSP multi-year
issues and local priorities. planning processes.
Inclusive engagement
– Engagement that aligns with

respecting human rights.
– Ensure that all voices are
heard, including men, women,
Indigenous peoples and those
from other vulnerable and ‘at
risk’ groups.
4 3
Report and communicate Monitor, evaluate and improve
– Report and communicate – Monitor and evaluate progress in

internally and externally on the area of human rights against
human rights performance agreed indicators and through
and impacts including those project-level complaints,
involving gender and disputes and grievance process.
Indigenous peoples. – Adjust and improve projects,
programmes and operational
plans according to key findings.
18
rights matter
How to guide
2. How to guide
2.1 At the centre: inclusive engagement 20

2.1.1 ‘Process’ principles of engagement 22
2.1.2 Early and ongoing community engagement 27
2.2 Know and understand 34

2.2.1 Including human rights in knowledge base studies 35
2.2.2 Understanding the human rights context 37
2.2.3 Risk analysis and impact assessment 42
2.2.4 Data collection 51
2.3 Plan and implement 53

2.3.1 CSP multi-year plans 54
2.3.2 Global Communities target 57
2.3.3 Human rights training 61
2.3.4 Procurement – human rights risks in the supply chain 66
2.3.5 Human rights and security 70
2.4 Monitor, evaluate and improve 71

2.4.1 Monitoring and evaluation 72
2.4.2 Indicators for human rights performance 74
2.4.3 Complaints, disputes and grievance processes 76
2.4.4 Community involvement 81
2.5 Report and communicate 84

2.5.1. Internal reporting 85
2.5.2. External reporting and communicating 86
19
rights matter
How to guide
2.1 At the centre - inclusive engagement
Our goal is to engage inclusively through all phases of our CSP work and all stages
of a business’s lifecycle. At Rio Tinto, engagement means the active exchange of
information, listening to community concerns and suggestions, and developing
an agreed improvement plan together. Inclusive engagement helps us to understand
the complex and diverse human rights contexts in which we operate and enables us
to identify opportunities to assist communities to enjoy their human rights.
It is crucial to engage with our host communities

Checklist as human rights-holders as well as stakeholders
[ √ ] Were local communities consulted early in the (see Box 6).
project cycle? Inclusive engagement ensures that all rights-
holders, including vulnerable and ‘at risk’ groups,
[ √ ] Are a broad range of local people and other
can participate in meaningful engagement processes,
stakeholders involved in identifying and
voice their concerns, share their experiences and
understanding human rights considerations in
participate in decisions that affect their human rights.
relation to the company’s activities in the area?
(See Box 7 for a note on language used in this guide.)
[ √ ] When engaging communities, has your An important way of engaging with communities
operation taken special measures to include is through our complaints, disputes and grievance
all groups, including vulnerable and processes, which are human rights compatible.
‘at risk’ groups? For more information see section 2.4.3 and also
Rio Tinto’s Community complaints, disputes and
[ √ ] Has your operation taken care to engage and grievance guidance.
consult with communities in ways that are
gender sensitive and culturally appropriate?
[ √ ] Does your business proactively share timely,

accurate and relevant information with
communities about project development
and implementation throughout the
project lifecycle?
[ √ ] Are there multiple avenues for communities

to engage; for example, through consultation,
community visits and open days, and
complaints, disputes, and grievance processes?
Are there community offices or information
points available?
20
rights matter
How to guide
Rio Tinto Alcan employees Box 6: Stakeholders and rights-holders

at Weipa in Queensland
In the realm of business and human rights, it is important to understand the relationship between stakeholders
Australia (from left) Jerry
Wapau, Bella Savo, Moira and rights-holders.
Hart and Bianca Graham
with Senior Wik Waya Within the CSP field, a stakeholder is often referred to as a person who has an interest in a particular decision
Traditional Owner or activity, either as an individual or as a representative of a group. This includes people who influence a decision,
Tony Kerindun. or can influence it, as well as those affected by it. Stakeholders can also represent organisations and agencies.
In the context of human rights, a rights-holder is a person whose human rights are potentially ‘at risk’,
both individually and in some cases collectively. All human beings are rights-holders in a personal context.
A person can be both a rights-holder and stakeholder. However, when discussing human rights impacts, the
language of ‘rights-holder’ is often employed to identify those people whose rights are (or may be) personally
impacted. By definition, all stakeholders are rights-holders somewhere, but not all stakeholders will have their
human rights ‘at risk’ in the context of our activities.
When conducting stakeholder identification, sites and projects should ensure all potentially affected rights-
holders are given equal opportunity to participate in engagement processes, including special measures to
include vulnerable groups, such as women, children, Indigenous groups and others.
(Adapted from Boesen, J.K. and Martin, T. (2007) Applying a Rights-based Approach, DIHR)
Box 7: Vulnerable and ‘at risk’ – a note on terminology

In the human rights arena, the language of ‘marginalised’, ‘vulnerable’ and ‘at risk’ is often used to describe
people who may need special attention due to their social, cultural, economic, environmental, and/or political
circumstances. Women, Indigenous groups, ethnic and religious minorities, children, elderly people, people with
disabilities, single-headed households, migrant workers, and non-landholders, among others, are not necessarily
inherently vulnerable, but may be at greater risk of adverse impacts on their human rights. These groups often have
fewer resources to draw upon, or are less able than other groups to influence decisions. The severity of impacts
may also be more significant for these groups than for others. In this guide we refer to ‘vulnerable and ‘at risk’
groups’ to encompass these various groups. For further explanation see page 23 in the Background reader.
21
rights matter
How to guide
2.1.1 ‘Process’ principles of engagement
Human rights due diligence relates to ‘process’

Box 8: Talking about human rights
(how we do things) as much as ‘outcomes’ (the
Many people do not use ‘human rights language’ to results we achieve). The methods we use to engage
describe human rights-related impacts or grievances. individuals and groups are important from a human
This may be because they are not familiar with the rights perspective as they can impact on rights
official human rights terms and concepts, cultural such as freedom of expression and opinion, self-
preferences or political context. However, even where determination, non-discrimination and the special
human rights language is not used, there may be rights of Indigenous peoples.
issues or concerns that affect human rights.
Rio Tinto aims to pursue a process of ongoing,
While we aim to respect human rights wherever free and informed consultation with all communities
we operate there may be situations where we need with whom we engage. This includes establishing a
to be sensitive to local factors in using human mutually-agreed consultation process and providing
rights terminology or encouraging others to do so, information in a transparent, timely and appropriate
especially if it would put them ‘at risk’. For example, fashion (refer to Rio Tinto’s Community consultation
in some countries, people who openly discuss human and engagement guidance). Beyond consultation,
rights face persecution by their own governments. we seek broad-based community support for our
projects based on the following principles:
In practice, it is useful to focus discussion on the –m utually informed understanding of interests
content of the right. For example, rather than talking and activities;
about ‘freedom of association’ we might ask about – deep respect for social values and cultural property;
local unions or other worker representation. Similarly, –g ood faith, mutual respect and long-term
rather than discussing the ‘right to life, liberty and commitment;
security’ we might ask about police presence and –a ccess to reliable independent advice;
activity in the area. Whatever the context, it is – c omprehensive information on proposed
always helpful to tie a ‘right’ to the actual context activities, including potential negative impacts
and give examples. and positive opportunities;
– c ommunity participation in social and
environmental assessments;
– c ommunity participation in any resettlement
planning and in elements of project design that
may affect communities; and
–a ctive support for local economic opportunity
and participation.
Human rights language may sometimes be unfamiliar

to people, may raise sensitive issues, or its use may
even put individuals ‘at risk’. Assessing people’s
awareness, comfort and understanding, and tailoring
the engagement accordingly are important to ensure
it is effective. Box 8 provides some suggestions for
talking about human rights in different contexts.
Right to freedom of opinion and expression

The right to freedom of expression includes the right
to seek, receive and impart information and ideas
of all kinds and forms (International Covenant on
Civil and Political Rights (ICCPR) Article 19). In order
to respect this right, our engagement should be
transparent and accessible.
22
rights matter
How to guide
‘Transparent’ means we proactively share information

Box 9: Individual and collective rights
with communities about how our decisions, activities
and impacts may affect them throughout a project When discussing human rights the question of
lifecycle. It also means making public in a general ‘individual rights’ and ‘collective rights’ often arises.
sense, the nature of their concerns, complaints The basic distinction is that collective rights protect
and grievances. a group of people, while individual rights protect
the individual.
‘Accessible’ means information must be easily
understood and readily available in formats, Individual rights are rights held by the individual
languages and locations that are convenient and regardless of their membership or association to a
non-threatening to diverse groups within each group. For example, right to security of person is an
community. In communities where literacy is low, individual right held by a person though shared in
we may need to share information orally, rather common by all people.
than through written material.
Collective rights are rights held by individuals
We may need to build the community’s capacity by virtue of being part of a particular group.
to understand what it is being told and to express The rights of Indigenous peoples are examples
informed views. This might require us to provide of collective rights.
access to unbiased expert advice or engage a
credible outside organisation to help the community Though they are interlinked, collective rights and
understand what is being proposed. We may also individual rights may sometimes be at odds with
need to build our own internal capacity to engage each other. Weighing the demands of the groups with
on these issues (see section 2.3.4). the demands of the individuals can be complex. For
example, some states uphold the rights of Indigenous
Right to self-determination groups to engage in traditional subsistence fishing,
Securing broad-based community support before often allowing Indigenous groups to access a fishery
the start of any project is important to honouring before allowing commercial harvest. Non-Indigenous
the right to self-determination. The right to self- fishermen have argued that this ‘preferential’
determination allows all peoples to freely determine treatment for Indigenous groups infringes on
their political status and to advance their social, individual livelihoods.
economic and cultural development within a
sovereign context. It includes the right to manage
their land’s wealth and natural resources without Box 10: International Finance Corporation (IFC)
prejudice (ICCPR, ICESCR Article 1). The right to Guidance on FPIC and Indigenous peoples
self-determination is considered a collective right
held by ‘peoples’ and is most relevant to us in Projects are required to achieve Free, Prior and
relation to Indigenous peoples (see Box 9). Informed Consent (FPIC) with the affected
communities of Indigenous peoples with regard to
Rights of Indigenous peoples project design under the IFC’s Performance Standards
Indigenous peoples are entitled as individuals on Environmental and Social Responsibility.
to all human rights enshrined in the Universal These cover:
Declaration of Human Rights. In addition, — i mpacts on lands and natural resources subject to
international law recognises that they have traditional ownership or under customary use;
collective rights to their land and its resources, — r elocation of Indigenous peoples from lands and
including special and spiritual relationships, natural resources they have traditionally owned
that warrant particular attention and protection. or used;
— s ignificant impacts on critical cultural heritage
The United Nations Declaration on the Rights of
that is essential to the identity and/or cultural,
Indigenous peoples (UNDRIP), which we support,
ceremonial, or spiritual aspects of Indigenous
recognises the right of Indigenous peoples to
peoples’ lives, eg sacred groves, sacred bodies
‘maintain and strengthen their distinctive spiritual
of water, sacred trees, and sacred rocks; and
relationship with their traditionally owned or
—u se of cultural heritage, including knowledge,
otherwise occupied and used lands, territories,
innovations or practices of Indigenous peoples
waters and coastal seas and other resources’
for commercial purposes.
(Article 25).
23
rights matter
How to guide
4. I FC PS7 GN26: Box 11: Respecting cultural norms to achieve inclusive engagement
“States have the right
to make decisions on Societies sometimes encompass a degree of discrimination by giving preference to people of a particular gender
the development of
or social standing and excluding other members of the community. Where traditional structures exclude the
resources pursuant
to applicable participation of certain groups in company-community engagement processes, it may be necessary to obtain input
national law, by less direct means so that we do not perpetuate existing patterns of discrimination and exclusion and in so
including those laws doing adversely impact on human rights.
implementing host
country obligations
Engaging directly with particular groups may, in some instances, place them ‘at risk’. In situations where direct
under international
law. Performance consultation is risky, or simply not possible, alternatives for engagement should be explored. These alternatives
Standard 7 does not may involve consulting third-party experts, NGOs, or others who work closely with these groups.
contradict the State’s
right to develop its (Rio Tinto’s Community consultation and engagement guidance and ICMM 2010 Good Practice Guide: Indigenous
resources. A State
Peoples and Mining)
may have obligations
or commitments
to ensure that
Indigenous peoples ILO Convention 169, also supported by Rio Tinto, Right to non-discrimination
provide their free, stresses the importance of safeguarding the rights of In accordance with international standards, we have
prior, and informed Indigenous peoples concerning the natural resources a responsibility to avoid discrimination on the basis
consent for matters
pertaining to the
of their lands. This includes the right to participate of race, gender, national origin, religion, age, sexual
overall development in the use, management and conservation of these orientation, politics, or on the basis of any personal
of Indigenous resources (Article 15). characteristic protected by law. Our engagement
territories.” must be inclusive to ensure that all individuals,
We recognise that every Indigenous community communities, employees and other relevant
is unique. Accordingly, we seek to reach agreement stakeholders have equal opportunity to voice their
with each community on how it wants to engage opinion and be listened to in relation to policies and
with us in the development and performance of our activities that may affect them. Special measures
operations in their social landscape. This includes may be needed to ensure the inclusion of people
setting out how each community may express whose human rights may be ‘at risk’ (see Box 11).
its support and concerns over our activities. We Operations are sometime located on lands that
recognise that this sometimes means we cannot hold particular significance for Indigenous peoples.
explore certain lands or develop some projects, Recognising their perspective and the need to
even if legally permitted to do so (see Rio Tinto’s actively engage with them is an important aspect
Community agreements guidance including of community engagement, securing land access
Appendix 1). and social licence, as well as ensuring that we
Rio Tinto seeks to operate in a manner that is respect their human rights. The following case
consistent with the UNDRIP. In particular, we study from Western Australia illustrates how our
strive to achieve the Free, Prior, and Informed operations can recognise and honour the rights
Consent (FPIC) of affected Indigenous communities of Indigenous peoples.
as defined in International Finance Corporation
Performance Standard 7 (IFC PS 7) and its
supporting guidance (see Box 10 and refer
to Rio Tinto’s Community consultation and
engagement guidance).
Rio Tinto respects the laws of the countries

in which we operate, so we also seek consent
as defined in relevant jurisdictions and ensure
consistent agreement-making processes. Neither
Rio Tinto policy, nor IFC PS 7, intends for the
implementation of FPIC to contradict the right
of sovereign governments to make decisions on
resource exploitation4.
24
rights matter
Case study 1
Case study 1: Rio Tinto in the

East Kimberley, Australia
Indigenous Land Use Agreement
East Kimberley
Australia
The context Indigenous Land Use Agreements

Since 1985 the Argyle diamond mine in the By 2001, the Australian Government had
East Kimberley region of Western Australia, established regulations, such as the Native Title
has operated on the traditional lands of the Act and Indigenous Land Use Agreements (ILUAs),
Miriwoong, Gija, Malgnin and Woolah peoples, recognising the rights of Aboriginal people in
in an area known as Barramundi Gap. This place relation to lands and territories. An ILUA is a
is of significant cultural importance to local voluntary agreement between a group of Aboriginal
Aboriginal communities, particularly to Miriwoong or Torres Strait Islander peoples and other parties,
and Gija women, as it represents the Barramundi such as government or companies, about the use
fish dreaming story. and management of land and waters with which
the Indigenous group has a connection. Other
During exploration in the late 1970s, the company requirements around consultation of Aboriginal
encountered strong opposition to the project from people and the adherence to regulatory procedural
local Aboriginal people. There were few state rights also aim to ensure the respect of the rights
regulations or policies at this time to provide of Indigenous peoples in Australia.
guidance on how to engage with Aboriginal
communities. Despite this, an agreement to mine The Argyle agreement
was signed in 1980 by the exploration company Seeking to redress past shortcomings and to
and four senior Aboriginal traditional owners. include those who were excluded from the previous
The agreement has been criticised for its lack of agreement, Rio Tinto and local traditional owners
inclusive and informed consultation of all affected began a comprehensive process of renegotiation in
Aboriginal groups. Several Aboriginal people, 2001. The resulting Argyle Participation Agreement
particularly women, felt that their concerns about was signed in 2004. It reflects a commitment by Rio
the destruction of their sacred site and the impact Tinto and surrounding communities to work together
of the mine in general were not adequately to create mutually respectful relationships and
addressed. As a result, relationships between long-term benefits for the future of the mine and
Rio Tinto and the affected Aboriginal communities for community development. Among other things,
deteriorated. the agreement expresses the mutual recognition
of rights, and acknowledges the cultural significance
of the Barramundi Gap to local Aboriginal women.
Traditional owners’ ceremonial and cultural
responsibilities to the landscape in mine lease
areas are acknowledged in the agreement.
25
rights matter
Case study 1
Child’s hand Argyle

Diamond Mine, Australia.
The agreement has two parts. The first part Training and employment programmes aim
governs formal compensation payment details to ensure greater direct participation by local
and other benefits, including employment and Aboriginal people in the economic life of the
business opportunities for local Aboriginal people. mine. For example, recruitment policies favour
The second part contains eight management the employment of local traditional owners where
plans that detail a range of day-to-day activities applicants have the same skill level. The mine also
at the site and facilitate implementation of the runs an apprenticeship programme specifically
agreement. The management plans, some of targeted at local Aboriginal communities.
which are outlined below, support the respect
of Indigenous and women’s rights and encourage Cross-cultural training is compulsory for all mine
inclusive and transparent engagement. employees and long-term contractors. Cross-
cultural training is conducted by male and female
The Aboriginal site protection management plan traditional owners and complements other activities
includes a heritage clearance process whereby that encourage cross-cultural understanding and
mine management will submit a work programme respect. For instance, female traditional owners
to traditional owners before any ground-disturbing perform regular ceremonies at key milestones in
work is conducted. It also facilitates discussion the development of the underground mine and on
in the field so that continual and transparent other occasions. A traditional welcome ceremony
communication between the mine and traditional called Manthe is conducted for new employees
owners ensures proposed work does not interfere by both the Miriwoong and Gija people to welcome
with Aboriginal cultural heritage sites. This heritage them to the country and keep them safe while on
clearance process recognises that cultural and Miriwoong and Gija land.
spiritual concerns will not always be the same for
1
men and women, but ensures the rights of both
are respected.
26
rights matter
How to guide
2.1.2 Early and ongoing community engagement
Rio Tinto Exploration

community meeting
in Mozambique.
Inclusive engagement should occur in all four phases

of our CSP work. It should be initiated early on and
continue throughout the life of the project from
exploration to mine closure. Fostering open and
transparent engagement with our communities is
important for long-lasting, positive relationships.
The case study on page 29, Rio Tinto Diamonds in

Zimbabwe demonstrates how early and effective
community engagement in the resettlement
process can help to improve livelihood outcomes
and avoid inadvertently affecting host community
human rights.
27
rights matter
How to guide
Table 2 outlines factors that may hinder inclusive engagement at our sites.
Table 2: Factors that may hinder inclusive engagement on human rights
Misconceptions / A lack of awareness or understanding of human rights and the breadth of relevant human
lack of rights issues among our stakeholders as well as our own employees. For example, site-level
awareness of employees in a developed country may not realise that issues relating to discrimination or
human rights cultural heritage are also human rights issues.
Access to Existing legislation or social norms may mandate consultation with particular decision-makers.
individuals However, this may hinder engagement with the broader community. Some vulnerable and
marginalised groups may be hard to reach for various reasons. Work demands or other
commitments may prevent some people from engaging with the company, for example
domestic responsibilities and childcare may prevent women from participating.
Cultural Social and cultural protocols may prevent women or young people from participating in
protocols meetings where men or elders are present. Non-participation in formal meetings does not
necessarily mean these groups do not influence the process, or feel that their interests are
not represented. It is important to understand these social dynamics and make every effort
to ensure inclusivity.
Access to Knowledge and information about human rights is often context sensitive. Direct
information engagement may place individuals ‘at risk’ for disclosing certain information or for
being seen as participating in the engagement process. It may be restricted by gender,
age, ethnicity, caste or affiliation.
Logistical Remoteness, rugged terrain preventing easy travel, power imbalance (knowledge
constraints and education, language and procedural understanding), history of inadequate
engagement by other organisations, cost, distance, information flow and other factors
can hinder engagement.
Sensitivity Experiences relating to human rights can be highly sensitive and difficult to share.
This requires skilled practitioners with adequate training to engage with the community.
For example, it may be more appropriate for a female, rather than a male, to engage female
stakeholders, or vice versa. Special provisions may be needed when consulting with children.
28
rights matter
Case study 2
Case study 2: Rio Tinto in Zvishavane, Zimbabwe

Improving livelihoods during resettlement
Zvishavane
Zimbabwe
The context Rio Tinto committed to meet international

The Murowa Diamond Mine is a small-scale performance standards for resettlement, in
operation located in the Zvishavane District in particular the requirement for the livelihoods
south-west Zimbabwe. Rio Tinto first discovered of the resettled communities to be restored,
diamond-bearing material in the area in 1992 and if not improved. Rio Tinto stressed the importance
began operations in 2004. The Murowa Diamond of securing land tenure for the resettlers and
Mine produces around 250,000 carats of diamonds replacing lost assets in a suitable and fair manner.
per year. These measures were not standard government-
backed procedures in Zimbabwe at the time.
The surrounding area is climatically dry, relatively
undeveloped and has a number of communities Fair engagement
that live a traditional subsistence lifestyle. By 1999, Transparent and thorough community engagement
Rio Tinto determined that the Murowa mining lease is integral to a fair and just negotiation process and
footprint would require 1,200 hectares of land. In can help to ensure that the community’s rights
order for mine development to proceed, Rio Tinto are recognised and respected. To accomplish this,
would first need to resettle 142 families living on Rio Tinto conducted a comprehensive programme of
that land, including the relocation of some community consultation. The social and environmental
250 graves. impact assessment (SEIA) incorporated a public
involvement programme (PIP) that identified
Impacts of resettlement stakeholders and potentially affected rights-holders.
It was recognised that the proposed resettlement
could adversely affect people’s livelihoods by In 2000 negotiations began between Rio Tinto,
impacting their housing, land tenure, economic the government, NGOs and affected communities
activity, community networks and access to to establish mutual understanding and develop
resources and services – and consequently their a co-managed approach for the resettlement
human rights, such as right to property, right to programme. Special attention was paid to women
health, right to water and sanitation and right to and children, ensuring equal opportunities for
an adequate standard of living. Many human rights all community members to participate in the
are interlinked and affecting one may harm others. consultation process. The process was approved
Furthermore, the relocation of the graves posed by all affected parties. Negotiations were mediated
a risk of affecting the community’s cultural rights. by an external moderator and the community
elected a representative committee, including
representatives for women and youths.
29
rights matter
Case study 2
Levie Moyo in the kraal

built by Murowa Diamond
Mine, which was a part
of the resettlement
farm facilities. These
were provided to ensure
resettled families could
maintain their traditional
livelihoods after
resettlement.
Negotiating and securing land Outcome

Following negotiations, Rio Tinto identified and By 2003, Rio Tinto had relocated all Murowa families’
purchased six blocks of land totalling 15,000 moveable assets to Shashe and compensated them
hectares, known as the ‘Shashe Block’, in the for any additional losses. To improve the livelihoods
nearby Masvingo Province to develop a new of the resettled community, Rio Tinto also built a
resettlement community. However, due to the school, a rural health centre, housing for teachers
Zimbabwe Government’s ‘Land Reform and and nurses, a church, roads and water provision
Resettlement Programme’, a large number of in Shashe for the benefit of all stakeholders living
Masvingo families had already commenced settling there. Within one year of resettlement, farmers
on the same blocks of land Rio Tinto had intended reported better harvests in Shashe than those
for the Murowa resettlement. Although Rio Tinto achieved at their original community in Murowa.
needed to uphold its commitments to the Murowa At the handover of the resettlement scheme to
resettlers, Rio Tinto did not want to evict the the government at the end of 2003, Rio Tinto
Masvingo families living on the Shashe Block or committed to a ‘Communities Action Plan’ working
adversely impact upon their right to land. Rio Tinto with local authorities to provide health, training and
recognised that the resettlement plan would need agricultural capacity building programmes for ten
to be revised in order to address potential adverse years after resettlement.
impacts on all stakeholders, including the Masvingo
2
families. As a result Rio Tinto undertook two years
of extensive negotiations and achieved a common
solution which allowed for both Masvingo and
Murowa families to resettle in the Shashe Block.
Throughout the process of securing land, Rio Tinto
maintained transparency with the government,
the communities and the landowners and ensured
that all perspectives were heard. Though the
successful resettlement of the Murowa community
was a priority, Rio Tinto also recognised the rights
of other nearby communities and the impact
resettlement would have on them. As a result,
a mutually-agreed resettlement solution was
achieved that minimised impacts on the human
rights of all affected stakeholders.
30
rights matter
How to guide
2.1.3 Internal engagement
In order to strengthen Rio Tinto’s human rights Engaging through the project lifecycle
performance when interacting with communities, It is important for CSP practitioners and other
it is important to discuss the topic of human rights employees working with communities to be aware
as part of our day-to-day business and integrate it of all aspects of a project that could impact on
into all operational areas. Managers are encouraged human rights. They should share this with other
to raise human rights-related issues and topics in areas of the business in order to assess any impacts
project planning and briefing meetings, in the same that may arise throughout the project lifecycle from
way they would for safety and the environment. exploration to operations to final mine closure.
Our aim is to foster an organisational culture that
is aware and respectful of human rights. Engaging Human rights risks can emerge and evolve over time
internally is critical to ensuring consistency in and so continual reassessment is important. Mine
human rights matters across the business. design can significantly influence the level of human
rights exposure and so it is important to integrate
Better communication and knowledge transfer human rights considerations early in project design.
between departments will help to resolve human The table below illustrates how human rights due
rights issues that may arise in future. Rio Tinto diligence can be integrated throughout the project
has several cross-functional and product group lifecycle, recognising that inclusive engagement of
mechanisms for dealing with specific and systemic our stakeholders is an integral aspect of each stage.
human rights issues. These mechanisms aim to build It is not intended as a definitive roadmap and there
a stronger network of human rights ‘champions’ to is no ‘one size fits all’ template.
share best practice, compile case studies and act
as a forum for raising and discussing dilemmas.
Employees at Rio Tinto

Alcan’s bauxite mine
in Weipa, Queensland,
Australia.
31
rights matter
How to guide
Table 3: Integrating human rights due diligence through the project lifecycle
Project stage Primary business Human rights consideration

activity and
purpose
Concept / New country entry – Identify key human rights exposures based on the political, cultural
exploration identifying terrains and social context.
with geological
potential. Identify all vulnerable and ‘at risk’ groups. Engage with them
inclusively at all stages.
Review knowledge base on human rights-related country risk

(available from External Affairs, including internal Prospect portal)
and apply recommendations, according to project scope. Consider
commissioning targeted country risk assessment.
Use the project risk analysis process to consider the need for a
comprehensive human rights risk analysis.
In line with guidance from Global Security, ensure the project

complies with the Voluntary Principles on Security and Human
Rights (VPSHR), especially if there is armed security involved and/
or if the project’s risk assessment shows that armed police or military
may be required.
Order of Develop early Review knowledge base on human rights-related country risk and
magnitude stage business apply recommendations.
case; complete
initial social and In carrying out social risk analysis, consider the need for a dedicated
environmental human rights risk analysis.
characterisation; Review and update assessments and refine activities as needed.
identify major issues;
develop indicative Ensure the project is compliant with the VPSHR and other relevant
permitting voluntary commitments including those relating to resettlement
timelines. plans and free, prior and informed consent of Indigenous peoples.
Pre-feasibility Study project Monitor any human rights exposures that emerge during
development pre-feasibility.
options; weigh
cost, environment, Review and update assessments and refine activities as needed.
communities risk Audit the project’s compliance with the VPSHR and other relevant
and benefits; study voluntary commitments, including those relating to resettlement
infrastructure plans and free, prior and informed consent of Indigenous peoples.
options; preserve
optionality until final
recommendation to
arrive at proposed
development
options.
32
rights matter
How to guide
Feasibility Investigate Monitor any human rights exposures that emerge during feasibility.
chosen option in
detail; undertake Review and update assessments, including considering human
SEIA; execute rights in the Social and Environmental Impact Assessment (SEIA)
requirements and refine.
for permits Audit the project’s compliance with the VPSHR. Include impacts
associated with the VPSHR in the SEIA process. Global Security may
also decide that a separate security and human rights assistance
visit is appropriate.
Audit compliance with relevant voluntary commitments including

relating to resettlement plans and free, prior and informed consent
as part of the SEIA process.
Ensure engineering, procurement, and construction management

(EPCM) and other contractor documentation includes minimum
requirements on personal behaviour of employees and penalties for
transgression.
Undertake training, awareness building and monitoring of all

employees and contractors.
Establish a complaints, disputes and grievance process. Ensure

its visibility, acceptability to the local community and its wide
application.
Construction / Implementation Monitor any human rights exposures that emerge during
implementation of construction construction and operations.
designs; EPCM
on site. Review and update assessments and refine activities as needed
(including country risk assessment, considerations for a
comprehensive human rights risk analysis, etc.)
Establish rules for the personal behaviour of employees and their

interaction with the local community.
Continue to train, build awareness and monitor all employees

and contractors.
Continue to audit compliance with the VPSHR and other relevant

voluntary commitments.
Ensure that the project and the EPCMs comply with all national
laws and international standards.
Monitor the use and effectiveness of the complaints, disputes

and grievance process.
Operations Expansions; Review operational environment for additional human

redundancies; rights exposures.
change of
footprint, etc. Monitor complaints, disputes and grievance process, and other
existing controls.
Continue training, awareness building and monitoring of employees

and contractors.
Closure Site remediation, Identify and monitor any potential human rights exposures
asset transfer etc. resulting from an operation’s closure.
Monitor complaints, disputes and grievance process, and other

Adapted from Rio Tinto existing controls.
(2012). CSP Projects
Roadmap. Continue training, awareness building and monitoring.
33
rights matter
How to guide
2.2 Know and understand
From Rio Tinto’s first entry into an area through to our exit, we need to invest
time and effort in building our knowledge base of the communities in that area.
This includes understanding the possible human rights impacts associated with
our activities, including what local people may perceive as actual or potential
adverse impacts. Continually building our knowledge and understanding is
essential to our commitment to respect human rights.
This section provides guidance on how human

Checklist rights may be integrated into studies to build
[ √ ] Are a variety of sources used to understand the our knowledge base and ensure that our social
country and local-level human rights context of risk analyses and social impact assessments
your activities? include human rights considerations.
[ √ ] Does your operation explicitly include human

rights in knowledge base studies and social
risk analyses?
[ √ ] If you are in a high-risk context, is your

operation undertaking a dedicated human
rights risk assessment?
[ √ ] Are knowledge base studies and engagement

processes inclusive and tailored to a diversity
of stakeholders, including vulnerable and ‘at
risk’ groups?
[ √ ] Is your operation considering human rights

impacts that might emerge at different stages
of an operation’s life, including in different parts
of the supply chain and at closure?
34
rights matter
How to guide
2.2.1 Including human rights in knowledge base studies
Our Communities standard requires that we develop implications from existing knowledge base studies
and regularly update a ‘fit for purpose’ knowledge will not only improve our overall understanding of
base. ‘Fit for purpose’ means that the project or our host communities, but will also help to identify
operation has sound understanding of the social, human rights risks well in advance. (Box 13 lists
cultural, environmental, economic and legal context some points for consideration in the initial desktop
within which it operates, including the conditions, review. There is a wide variety of resources available
trends, and social interactions, and likely social from CSP and External Affairs to help understand
and human rights impacts. This includes identifying the context of human rights in specific countries.
stakeholders and rights-holders that may be directly These include country guides on the Danish Institute
affected by our operations, and the nature of the for Human Rights portal, which are available through
impact. (See Box 12 for examples of human rights External Affairs. They are generally not prepared
topics to include in knowledge base studies. For specifically for Rio Tinto, but can be on request.)
guidance on knowledge base studies see Rio Tinto’s
Socioeconomic knowledge base guidance.) Studies should be updated throughout the project
lifecycle and when any significant operational
Building knowledge of local human rights exposures change is likely to take place, such as a project delay,
typically starts with a desktop review of existing extension or decommissioning. Analysis should also
studies, information and data. These studies are be updated if there is a major change to the human
often referred to by different names, such as rights operating context, such as new legislation or
baseline community assessments, socioeconomic policy change either by the government or within
situational analyses, social risk analyses and Rio Tinto. Studies should also be undertaken
social impact assessments. The studies variously (or updated) when we acquire new assets,
describe the affected communities, detail key social, including entry into joint venture partnerships.
environmental and economic factors and analyse
the level of social risk. Identifying human rights
Box 12: Possible human rights topics to include in knowledge base studies
Much of the information collected in knowledge base studies is relevant to human rights. The following
topics can explicitly address them:
– g eneral national, regional and provincial human rights context;
– s tatus of alleged past and current violations, including those relating to potential business partners;
–p olitical and social history of the community, region, and/or state; and
– i ssues specific to the local area, such as known challenges relating to security or child labour.
(Adapted from Rio Tinto’s Socioeconomic knowledge base guidance)
35
rights matter
How to guide
Box 13: Human rights considerations for knowledge base studies
Overall human egal and regulatory frameworks, including gaps or conflicts in national legislation
L
rights framework relating to human rights protection and human rights expectations of third parties,
eg investors, lenders, NGOs.
Operating uman rights challenges particular to the context. For example, is the project in a weak
H
context governance zone, or on the lands of Indigenous peoples? Which groups or individuals are
most ‘at risk’, eg women, children, Indigenous or tribal groups?
Weak or disproportionate enforcement of local laws and regulations by host government.
Range of usiness relationships, including local supply chain, joint venture partners, government
B
business or contractors.
relationships
easures that seek to ensure human rights compliance by these parties, eg contractual
M
requirements, training, performance monitoring, codes of conduct.
Key milestones uman rights challenges particular to the stage of operation, eg land use and access patterns
H
in the project’s at pre-feasibility, security forces employed during operation, implications of operation’s
lifecycle closure on community livelihoods and living standards.
Local context ender and cultural context eg roles and relationships between men and women, cultural
G
systems, and social and cultural hierarchies.
Adapted from IBLF,
IFC, UNGC (2010). I nterests and priorities of a diverse range of groups, including women and men, the vulnerable
Guide to Human Rights and ‘at risk’ groups.
Impact Assessment
and Management. Local history of human rights violations, community tensions and conflicts.
Human rights terminology Sharing knowledge

The inclusion of human rights terminology and CSP teams are usually responsible for socioeconomic
concepts in studies helps us to understand key knowledge base studies. However, other areas of
human rights issues that shape the context of our the business should be made aware of the findings
operations. An example of human rights terminology and implications relevant to their function as these
is the use of ‘rights-holders’ to describe our will feed into social risk analysis more broadly. It is
stakeholders (see Box 6 on page 21). As previously important to avoid the ‘silo effect’ that often occurs
described, there are important sensitivities in when responsibility for human rights is attributed
using human rights language that should be to a particular business department or function.
considered (see Box 7 on page 21). To ensure non- Whenever possible, cross-functional collaboration
discrimination, the inclusion of sex-disaggregated should be encouraged.
data in baseline studies is important. This knowledge
can then be used to understand human rights Findings from the knowledge base should also be
risks, develop impact mitigation strategies and shared with affected communities in a transparent
identify opportunities to support the human rights and accessible manner. This can serve as a starting
enjoyment of affected communities in a gender point for discussions on community priorities
sensitive way. and concerns.
36
rights matter
How to guide
2.2.2 Understanding the human rights context
We need to consider the broader human rights While we strive to respect human rights, we also
context when assessing the social impacts of mining, acknowledge that we have our own human rights
metals and associated operations. This includes legacy. This continues to affect our reputation
understanding how governments, other industries and our ability to engage with host communities
and companies and our own business have handled today. The case study on page 82 explains how
human rights in the past. Knowing which human we responded to past allegations of human rights
rights issues are important within a particular abuses at one of our operations.
context, enhances our ability to identify, predict
and avoid adverse human rights impacts. Cumulative impacts
Cumulative impacts are increasingly considered from
An analysis of the human rights context should also an environmental perspective, but they also apply
identify whether people have access to judicial and/ to social impacts that build up in a particular place
or non-judicial complaints and grievance processes. over time. Taken individually, a particular human
This will assist us in establishing a project-level rights impact may not pose a risk, and may appear
complaints, disputes and grievance process (see minor, but a series of minor impacts may add up to
section 2.4.3). an ‘abuse’. It is important to consider the cumulative
impact of the actions of host governments, other
The broader human rights context can be understood industries, institutions and our own activities when
via desktop analysis, but is best accomplished by developing a human rights knowledge base. For
engaging directly with the rights-holders who may example, a community may raise a concern about
be impacted. While this may not always be possible, health impacts from dust, which affects the right
engagement enables our projects and operations to a clean environment and the right to health.
to better understand actual and potential impacts. Environmental monitoring may indicate that dust
Legacy issues levels from our operations are well within legal
Mining often takes place amid pre-existing social, limits. However, if there are several companies or
cultural and political tensions. In many places, industries operating nearby, the combined levels
colonisation, war, ethnic conflict, natural disasters of dust could pose a serious health risk or severely
and other social disruptions have led to human affect quality of life. Community perceptions
rights violations and abuse. This can make it of excessive dust levels may also indicate poor
difficult for companies to understand their own communication and engagement generally. In
specific human rights responsibilities. For example, such situations a collaborative, multi-stakeholder
if a host government has committed human rights approach involving other companies, affected
violations this may increase the risk of actual or communities, NGOs and government authorities
perceived corporate involvement in an adverse may help to identify and resolve cumulative dust-
human rights impact and pose reputational, legal related impacts.
and other risks. Local community distrust of existing
state institutions may also compromise company-
community engagement from the outset. In these
situations, we must work hard to understand how
our actions will impact human rights and work
to build trust through engagement and dialogue
with community representatives. The case study
on page 39 illustrates how pre-existing tensions
can be factored into our assessments processes.
37
rights matter
How to guide
Children at Rio Tinto

Exploration community
consultation in
Mozambique.
Conflict sensitivity In areas affected by conflict, operations should

The UN Guiding Principles recognise that the risk undertake thorough assessments of their communities
of companies becoming involved in adverse human and security risks. Using guidance from Global Security,
rights impacts, including complicity in international this includes understanding who our security partners
crimes, is heightened in conflict-affected areas. are and ensuring that we meet our commitments
This applies particularly in states with a history under the VPSHR (see Rio Tinto’s guidance notes
of corruption and political instability, regions with Implementing security and human rights principles
social or cultural unrest, and communities where and Providing support to public security forces).
there are clashes between ethnic groups. In such
contexts, we must be aware that our presence can The following case study from the La Granja
inflame these conflicts and heighten the risk of project in Peru demonstrates how human rights
a human rights breach. For example, the risk of considerations can be integrated into security
sexual and gender-based violence is often much and CSP assessments during pre-feasibility. It also
higher where conflict is present. illustrates good practice principles for collaborating
internally with other departments in conducting
It is important to study the history of conflict at a assessments and sharing knowledge.
national, regional and local level when conducting
our knowledge base studies, social risk analyses,
and social impact assessments. We need to analyse
conflict drivers, factors, actors and dynamics and
understand how this relates to our own activities,
so we can reduce the risk of involvement in harm.
It is often more difficult to engage with communities
that have experienced or are experiencing conflict.
In such cases, establishing engagement
characterised by trust and respect will take
more time and commitment.
38
rights matter
Case study 3
Case study 3: Rio Tinto at La Granja Peru

Integrating human rights considerations
into security assessments
La Granja
Peru
The context Background

La Granja is a copper project managed by Rio Tinto A number of factors that influence the security
Minera Peru and located in northern Peru in the situation around the La Granja project were
region of Cajamarca and the district of Querecoto. considered. For example, social protest and
It is in the pre-feasibility stage, conducting extensive blockades of transportation routes are often used
exploration activities to determine the viability in Peru by different stakeholder groups to express
of potential resource development. In 2009, Rio dissatisfaction and draw attention to their concerns.
Tinto Minera brought together Rio Tinto’s security Sometimes these actions have led to violent acts.
and community relations experts to undertake
a comprehensive security and communities The overlapping role of the Rondas Campesinas
assessment. The assessment considered risks and and the National Police also influence security
potential conflicts that might impact the safety and considerations. The Rondas are the primary
security of the La Granja project, including company providers of public security in areas around the
assets and personnel, as well as the risk that the project. In the absence of civil and state policing
project posed to surrounding communities. The functions, they emerged in the 1970s as locally-
assessment provided a basis for a comprehensive based social organisations to counter cattle rustling
security strategy and helped to shape the broader and banditry. In the project area, the Rondas actively
security risk assessment of the entire project. partake in the governance of health, education and
citizen life, in addition to citizen defence and public
Previously, Rio Tinto’s main approach was to focus security. For example, the Rondas lead the internal
on the interaction between company security coordination of health and education issues in the
personnel, local and national security forces, and community and also represent the interests of the
surrounding communities. At La Granja, Rio Tinto community to the health and education ministries.
sought to extend this by understanding how existing In terms of security, the state and the National Police
social conflicts and intra-community issues might have little presence.
exacerbate security and human rights issues,
and how company behaviour could in turn
aggravate these.
39
rights matter
Case study 3
Training with community

members near La Granja
copper project in Peru.
Processes and tools used for the security and Conflict assessment
5. A
vailable at: http://
www.international- communities assessment International Alert’s Conflict-Sensitive Business
alert.org/pdf/conflict_ The Rio Tinto Minera Peru assessment team included Practice matrix was used to assess actual and
sensitive_business_ employees from both site and corporate office and potential conflicts in the project area. The matrix
practice_section_1.pdf
6. Available at: www.
a variety of functional areas, including CSP, Security includes topics such as: identification of structural/
voluntaryprinciples.org. and the general manager. This approach built root causes, proximate causes, conflict issues, actual
7. A
vailable at: http:// understanding in a range of functional areas. or potential sources of conflicts, impacts and current
www.international- and potential controls. The analysis focused primarily
alert.org/pdf/ The assessment team carried out: on directly impacted communities as well as regional
Voluntary_Principles_
on_Security_and_
1. interviews with key stakeholders; and national issues.
Human_Rights.pdf 2. conflict assessment using International Alert’s
Conflict-Sensitive Business Practice: Guidance Independent human rights assessment
for Extractive Industries5 ; An independent human rights expert was
3. independent human rights assessment, including commissioned to review human rights issues that
security analysis; and might arise around mining projects in Peru. Many
4. assessment against the Voluntary Principles on of the findings mirrored the critical issues identified
Security and Human Rights6 using International through the interviews, including: the history of
Alert’s Voluntary Principles on Security and conflict in the project area; the overlapping public
Human Rights: Performance Indicators7. security roles of local community groups and the
National Police; local culture; behaviours related
Stakeholder interviews to small firearms and conflict; the state of public
Interviews were undertaken with a wide range of security in the project area; and both real and
stakeholders, including local community leaders, perceived economic inequities associated with
police, government representatives, Peruvian mining. The independent assessment helped to
experts on security and human rights, and Peruvian consolidate insights gained from stakeholder
anthropologists and economists with experience in interviews.
the project’s area of influence. The interviews helped
identify and understand existing social conflicts and Assessment against the Voluntary Principles
the potential for Rio Tinto Minera Peru to exacerbate on Security and Human Rights
them or contribute to new ones. The interviews An assessment of the project’s security programme
helped clarify links between socioeconomic and was undertaken using International Alert’s
security impacts. Voluntary Principles on Security and Human Rights:
Performance Indicators. The assessment identified
opportunities to improve Rio Tinto Minera Peru’s
management of private security contractors.
40
rights matter
Case study 3
Panoramic view of
La Granja, Cajamarca
region, Peru.
Finally, an adapted version of the conflict assessment The assessment also prompted Rio Tinto Minera
matrix from the International Alert Guide was used Peru to review its local employment, social
to structure the information gathered from all investment and community engagement activities
four lines of inquiry to generate the Security and to better understand and anticipate socioeconomic
Communities Assessment. impacts and strengthen the integration of project
activities into the local economic and social context.
Findings and next steps The project is also considering how to diversify its
The assessment concluded that potential human interactions with the Rondas, rather than continuing
rights issues that are related to security are not engagement solely on a bilateral basis. For example,
the sole responsibility of the company’s security the Mesa (roundtable) was established to regularly
function. Instead of merely ‘protecting the perimeter’, bring the Rondas together with various other
the company’s security strategy should take a stakeholders to discuss issues, including security.
preventive approach that seeks to avoid all forms
of conflict that might lead to security and human 3
rights risks. This required a thorough understanding
of existing community tensions and conflicts, and
the potential for the mine’s socioeconomic impacts
to exacerbate such conflicts or ignite new ones.
The assessment also concluded that the primary

source of peace and security for the La Granja
project lay in the project’s ability to work with local
communities and organisations, such as the Rondas
to manage the social and economic changes brought
by the project. Key recommendations included:
– develop protocols to effectively work with
the Rondas;
– establish a formal complaints, disputes and
grievance resolution process;
– periodically review social risks;
– proactively identify impacts; and
– improve management of private security forces.
41
rights matter
How to guide
2.2.3 Risk analysis and impact assessment
Rio Tinto expects its businesses to undertake Integrating human rights into social risk analysis
social risk analysis (SRA) and social impact Rio Tinto’s business risk management processes
assessment (SIA). SRA focuses on risks (threats and Communities standard requires us to undertake
and opportunities) and potential consequences social risk analysis regularly and at critical project
to the company arising from its interaction with gateways. As Figure 1 highlights, the aim is to
the host society. This can include operational delays, consider human rights risk as part of social risk
community distrust and reputational damage. It analysis, either integrated into this analysis or
takes place at all critical gateways in a project’s and via a dedicated human rights risk analysis where
operation’s lifecycle. Conversely, SIA focuses on the appropriate. The Social risk analysis guidance
risk to communities arising from the activities of explains what types of risks need to be considered
the proposed project and is generally carried out at and how to assess human rights-related risks
feasibility stage, often as a regulatory requirement. through likelihood and consequence determinations.
Rio Tinto’s Human rights guidance explains the
As set out in Figure 1, human rights considerations human rights risk framework more generally,
should be integrated into both SRA and SIA. In including factors to consider when carrying out
some cases, dedicated human rights risk analysis a dedicated human rights risk analysis, for example
and impact assessment should be carried out. where we are operating in countries with a high
Integrated processes avoid duplication and isolating incidence of human rights exposures and there
human rights from mainstream processes, however is a high risk of our inadvertent involvement in
a dedicated process may be necessary in high-risk abuse perpetrated by others (see Box 14 for some
situations where focused attention to human rights key questions to consider). Rio Tinto’s Global
needs to be demonstrated. Practice Leaders External Affairs and CSP should
The relationship between SRA and SIA is iterative, be contacted for further guidance including which
they inform each other. For instance, it is impossible internal or external human rights experts might
to carry out effective SRA, including what risks the be invited to participate in social risk analysis or
company might face from involvement in a human to carry out a dedicated human rights risk analysis.
rights breach, without properly understanding the
types of potential human rights impacts that might
arise in the specific context under consideration.
42
rights matter
How to guide
Figure 1: Example of site-based human rights risk management process at Rio Tinto
External assurance
Sustainability committee
Group risk management

Rio Tinto ExCo
Product group risk management

PG management and risk committee
Business unit risk management

BU management and risk committee
Site risk register

Site comprehensive and management
risk analysis Site management
and risk owners
Social risk
Decision Social risk analysis Individual risk owners
Adequate /
inadequate
Human
Human rights rights risk
risk analysis Individual risk
owners
Knowledge base
eg Security assessment, human rights
assessment, as appropriate.
43
rights matter
How to guide
Box 14: Questions that may be asked when considering human rights in a social risk analysis
Operation: Context:
– What stage of operation are we at – what projects –W
hat does the record of human rights in the country
are in place or in development? tell us about existing violations/abuses?
– What is the scale of our project? –D
oes the country context present any ‘red flags’?
– What are our business relationships? –W
ho are the most vulnerable/’at risk’ and/or most likely
victims of human rights abuse?
– What are the perceived impacts of company
operations on people? –W
hat are likely to be our most significant human
rights issues?
–W
ho are the most likely perpetrators of abuse?
– I s there a gap between local law and international
human rights standards?
– I s local law enforced effectively?
Involvement: Analysis / methodology:
– What company activities or relationships might –H
ave we included human rights in our risk analysis?
result in company involvement in a human rights
violations or abuse? – I s there sufficient internal expertise to understand
our human rights risk, including through engaging
– Have we considered the potential or actual with affected stakeholders as part of developing our
human rights risks or complicity associated with knowledge base?
our business relationships such as operating
partners, security providers, government agencies, –H
ave we allocated responsibility for addressing any
contractors or suppliers? risks identified?
– Are there any human rights abuses that may be

associated with the company?
Adapted from Taylor, Zandvliet and Forouhar (2009). Due Diligence for Human Rights: A Risk-Based Approach 9
Integrating human rights into impact assessments When conducting impact assessments, we should be
Mapping and analysing potential human rights aware of the full range of our business involvement,
impacts is essential for determining how to avoid described in Box 16. Questions of ‘complicity’ may
identified risks and develop effective mitigation arise when a business contributes to, or is seen
strategies. Human rights impact exposure mapping as contributing to, adverse human rights impacts
is also useful to understand the relationships caused by other parties. Complicity has both non-
between several human rights impact exposures. legal and legal meanings including a specific and
technical meaning in criminal law which is akin to
Our social impact assessments may already ‘aiding and abetting’. For more information about
cover many human rights topics, such as gender, complicity, see page 15 in the Background reader.
resettlement, cultural heritage, Indigenous
communities, employment and vulnerable groups.
However, they may not consider these topics from
a human rights perspective. There may also be
other human rights exposures that we have not
considered. Accordingly we should take care
to identify and address gaps in existing studies
(see Box 15).
44
rights matter
How to guide
Example of an impact assessment checklist
[ √ ] Has your operation considered Rio Tinto’s Human rights policy and Group-wide guidance (including
function specific guidance such as Global Security guidance notes), relevant international human rights
standards, national and local laws and regulations, and any human rights-related requirements of third
parties, such as financiers?
[ √ ] Does the operation’s impact assessment draw on the human rights information gained through initial
scoping, baseline studies and risk analyses?
[ √ ] Were people with human rights expertise involved?
[ √ ] Are your impact assessment processes respectful of human rights in terms of non-discrimination
in consultation, accessibility etc?
[ √ ] Are vulnerable and ‘at risk’ groups included in impact assessment processes?
Adapted from Lenzen,
O. and d’Engelbronner,
[ √ ] Are impact assessment processes with local communities gender sensitive and culturally appropriate?
M. (2009) Human rights
in business: Guide to [ √ ] Does the assessment make practical recommendations to address the human rights risks and potential
corporate human rights impacts identified?
impact assessment
tools. Aim for Human
Rights. p. 9-10 and [ √ ] Are the findings and recommendations of the impact assessment integrated into management plans
Ruggie, J. (2007) and systems?
Human rights impact
assessments – resolving
key methodological
[ √ ] Has your operation shared key findings from your impact assessment with communities and other
questions. relevant stakeholders?
Box 15: Combining social and human rights impact assessment
A conventional social impact assessment might only consider human rights issues in an implicit way, but not
address them comprehensively. It can thus overlook human rights violations that are embedded in a society,
for example where freedom of association is discouraged or denied, or where gender discrimination is a socially
accepted norm. Instead, we need to consider how a project may interact with each human right (Ruggie 2007
Human rights impact assessments – resolving key methodological questions).
By using international human rights standards as the reference point, rather than just focusing on potential
changes from the current socioeconomic baseline, important human rights issues can be more clearly defined.
Explicit consideration of human rights may also highlight challenges within the broader operating context that
could affect our ability to build trust with local communities, such as state restrictions on freedom of expression
(ICMM 2012 Human rights in the mining and metals industry: Integrating human rights due diligence into corporate risk
management processes).
In any impact assessment, the methodology should respect human rights, in particular, the rights which
specifically relate to the operation’s context (see Box 2 for a description of these rights).
In particular circumstances, it may be more appropriate to do a dedicated human rights impact assessment.
See section 2.3.3 for more information, as well as Rio Tinto’s Human rights guidance.
45
rights matter
How to guide
Box 16: Business involvement in adverse human rights impacts according to the UN Guiding Principles
Type of involvement Response Complicity Example
Causes: Business causes Business should avoid No, the business has A mining company
adverse human rights causing this harm and caused the harm itself. engages in discriminatory
impacts through its redress it if it occurs. recruitment practices
own activities. against women, such
as refusing to hire
female drivers.
Contributes to: Business Business should take the Potential for criminal or A mining company asks a
contributes to adverse necessary steps to cease civil complicity actions private security company
human rights impact or prevent its contribution as well as more general to protect its site at all
through its own activities. and use its leverage to allegations of complicity costs from community
mitigate any remaining even if not based in protests. Upon claims of
impact to the greatest legal terms. unreasonable force being
extent possible. Business used, as well as disregard
should provide for or for other human rights,
cooperate in remediation. it does nothing.
Directly linked to: Business should seek to Potential for more general A mining company
Adverse human rights prevent or mitigate harm, allegations of complicity contracts an apparel
impact is directly linked including by using its based on non-legal terms. company to provide its
to business’ operations, leverage over suppliers. uniforms. The apparel
products or services via its company has second tier
business relationships. suppliers in which there
is child labour.
Issue-specific or dedicated human rights Case study 5 (page 49) in Sarawak, Malaysia,
impact assessment demonstrates how mapping and analysing human
While our aim is to integrate human rights into rights risks can assist businesses to plan effective
existing processes, in some circumstances it will mitigation strategies. By working with other
be more appropriate to undertake a dedicated stakeholders and promoting international best
human rights impact assessment (HRIA) especially practice, Rio Tinto Alcan assisted in building the
where it concerns a human rights-specific issue such local and regional capacity to implement human
as resettlement. An HRIA may be necessary, for rights-compatible processes and ensure that a
example, when operating in high-risk environments potential project would not result in adverse
or where a human rights topic that warrants particular human rights impacts in the future.
attention has emerged. It may also be the case that
a review of our social impact assessment highlights
the need to better understand the human rights
context of an operation and a dedicated assessment
is required to fill that gap. In either case – dedicated
or integrated – human rights need to be considered
explicitly. See the Human rights guidance for
more detail.
The following case study from Rio Tinto in Guinea

illustrates where dedicated assessments can help
identify and address the potential impacts and
risks around the human rights topic of health.
46
rights matter
Case study 4
Case study 4: Rio Tinto at Simandou in Guinea

Focus on health in baseline and
impact assessments
Simandou
Guinea
The context opportunities for the company to enhance the local

Simandou Iron Ore project is located in the Republic enjoyment of the right to health and other related
of Guinea, some 700km to the east of the capital human rights.
Conakry. The project is in pre-feasibility phase
and when developed will have a mine life that may Health baseline and impact assessments
extend beyond 50 years. The International Finance Corporation (IFC) holds
a five per cent stake in the Simandou Iron Ore
Why a focus on health? operation, requiring the operation to have in place
At Simandou Iron Ore, community and employee measures for minimising adverse health impacts.
health was identified as a key issue through a To comply with the IFC’s Performance Standard 4
screening study undertaken at the exploration and to respond to early study findings, Simandou
phase, through some early baseline and impact Iron Ore established a steering group comprising
assessment work, and a more recent social Rio Tinto personnel and external consultants to
baseline study. These studies did not include undertake four steps in developing a community
explicit human rights indicators but did consider health management plan (CHMP):
several topics relevant to human rights, such as – health scoping study;
education, nutrition and vulnerable groups. From – baseline health survey;
these topics, the studies identified several factors – health impact assessment; and
that may contribute to health related impacts – development of the CHMP.
such as in-migration, which can adversely affect
nutrition, sanitation and the spread of disease. The The scoping study identified gaps in available
studies also noted that access to quality, affordable community health data from local and national
and acceptable health care facilities was a major statistics, which were needed for the baseline
challenge in the Simandou Iron Ore project area. survey and impact assessment. The study aimed
Challenges to the right to health impinge upon the to understand health impacts that could be
enjoyment of other human rights, such as the right associated with Simandou Iron Ore as well as
to an adequate standard of living and the right to existing health needs of people in the area.
potable water and sanitation. The baseline study assessed the existing health
As a result, Rio Tinto commissioned a dedicated context, as well as informed the initial Community
impact assessment focusing on health. This Development Programme areas. The study
enabled Simandou Iron Ore to identify and mitigate methodology required the collection of both
potential adverse health impacts as well as identify qualitative and quantitative data and inclusive
consultation with stakeholders. Focus group
47
rights matter
Case study 4
Right
Health programme
in a village in Guinea.
Bottom
Children in a village in
Guinea where Rio Tinto
is conducting baseline
and impact assessments
focusing on health as
part of its Simandou
Iron Ore project.
discussions helped to confirm certain issues

9. T
o access this
document see: http:// as priorities for local people, such as water and
ifcext.ifc.org/ifcext/ sanitation. They also helped Simandou Iron Ore
sustainability.nsf/ understand community views and understandings
Content/Publications_
Handbook_
of their own health concerns. For example, the
HealthImpact discussions revealed a low level of understanding
Assessment among communities about how malaria is
transmitted, and led to raising community
awareness about malaria.
Quantitative data was gathered through

questionnaires and biomedical sampling at homes
and schools. As health care services and health
statistics are the role of the state, Simandou Iron
Ore worked closely with government health
authorities to do this.
The health impact assessment systematically

evaluated different health determinants and
outcomes through the use of 12 environmental
health areas developed by the World Bank and
integrated into the IFC Health Impact Assessment
toolkit. The methodology of the assessment
complied with IFC guidelines and standards and
followed the IFC good practice note on health improve health services and the enjoyment of the
impact assessments.9 right to health. Monitoring and evaluation forms
a key component of the CHMP and involves active
The result of all this is a community health participation by the affected communities. The
management plan (CHMP) based on evidence plan also aligns with national policies on health.
gathered in the health scoping, and baseline and
impact assessments, and stakeholder input. The 4
CHMP includes measures to mitigate health impacts
associated with project development, but also
contribute to social investment programmes to
48
rights matter
Case study 5
Case study 5: Rio Tinto in Sarawak, Malaysia

Working with government to improve
resettlement
Sarawak
Malaysia
The context The government resettlement process

Rio Tinto Alcan undertook a pre-feasibility study The majority of those to be resettled for the Murum
for the construction of an aluminium smelter 60 HEP dam were Penan Indigenous forest dwellers
kilometres north of the town of Bintulu in Sarawak, who maintain a subsistence way of life, hunting and
the largest state in the Federation of Malaysia on drawing on forest resources for roughly 70 per cent
the island of Borneo. The smelter may draw power of their livelihoods. They also hold strong spiritual
from two major hydroelectric power (HEP) dams: connections to the forest and lands where they live.
the 2,400mW Bakun dam and the 940mW dam at The Sarawak Government had been criticised over
Murum. To enable construction of the Bakun dam, aspects of the Bakun resettlement, completed in
in 1989, the Sarawak Government resettled around the 1980s, in particular the limited consultation
10,000 Orang Ulu or Indigenous up-river people, and public disclosure of information. Rio Tinto
from five ethnic groups, to the Bakun Resettlement Alcan collaborated in several initiatives with the
Scheme at Sungai Asap. The dam was completed Government to improve its performance on the
in late 2010 and is expected to be fully operational resettlement at Murum.
in 2013. Resettlement by the Sarawak Government
of 1,300 Penan and Kenyah people for development Rio Tinto Alcan initiatives
of the Murum dam is expected in 2012. 1. Rio Tinto Alcan was a member of the Murum
Working Group, which is a technical committee
Resettlements in Sarawak can impact a number of of government departments, consultants and
human rights, in particular the rights of Indigenous NGOs with interests in the dam. This is a forum
peoples through internal displacement and loss of for communicating and resolving resettlement
land, cultural heritage and property. These impacts and other challenges in accordance with
are further aggravated if people are not properly international standards. This included regular
consulted or adequately compensated. While consultation with affected communities,
resettlement was not occurring where the smelter preparation of a contemporary ethnography,
was to be located, Rio Tinto Alcan had an interest establishing a Land Acquisition and Resettlement
in ensuring that any resettlement linked to its Action Plan, and key documents made available
operation was conducted according to international for public comment.
best practice and human rights due diligence. Rio
Tinto Alcan needed to be aware of the full range 2. Rio Tinto Alcan assisted the government to
of its business involvement, including the activities develop a complaints and grievance procedure
of the host government. To this end, Rio Tinto Alcan which allows the affected communities and
undertook a number of initiatives in partnership with government to discuss and reconcile resettlement
the Sarawak Government to encourage favourable concerns while the Resettlement Action Plan
resettlement outcomes that respect human rights. was underway.
49
rights matter
Case study 5
Cleared land near

the Murum dam site
in Sarawak, Malaysia.
3. T
he company advised consultants that were The future
engaged by the state to carry out the social While resettlements for the Bakun and Murum
and environmental impact assessment (SEIA) dams remain complex and challenging, there are
for Murum. Rio Tinto Alcan also connected the signs that the government is taking active steps to
government and its consultants to third party improve its processes and accountability. Recently,
experts who further contributed to the process. Sarawak laws governing social and environmental
performance have been redrafted with greater
4. R
io Tinto Alcan assisted the Natural Resources emphasis on public disclosure and consultation.
and Environment Board (NREB), the state In 2010 the Sarawak State Government made a
regulator responsible for SEIAs. The company public commitment to apply international standards
helped organise workshops to discuss the for future resettlements within the Sarawak Corridor
application of international best practice in of Renewable Energy (SCORE), an area dedicated to
HEP and other infrastructure development in the development of hydroelectric power, plantations
Sarawak. NREB has since run its own workshops and heavy industries. Communication and
that included speakers from NGOs, investing engagement between the Government and NGOs
stakeholders and banks that apply the Equator has improved and other stakeholders have also been
Principles. brought into the dialogue including SUHAKAM, the
5. R
io Tinto Alcan published joint papers with Malaysian Human Rights Commission.
the State Planning Unit on the application of 5
international standards and facilitated dialogue
between Sarawak state leaders, the World
Bank, the Asian Development Bank and other
international institutions.
inancial support was provided to the Asap Koyan

6. F
Development Committee (AKDC), an independent
community organisation that had the dual aim of
promoting the human rights of people resettled
at Sungai Asap, and of organising those to be
resettled at Murum to better engage with the
Government. AKDC facilitates dialogue between
affected communities and the state to address
negative legacies of the Bakun resettlement and
to seek funds from state and federal ministries
50
for development projects at Sungai Asap.
rights matter
How to guide
2.2.4 Data collection
Data for risk analyses and social impact assessments Secondary data is derived from the analysis,
that incorporate human rights considerations can be synthesis and interpretation of original
drawn from primary or secondary sources. information (primary sources). These include:
– documents and reports such as official
Primary sources are original information or first- census statistics and public health data;
hand testimony about a topic of study. Primary – previous social impact assessments
data can be collected through interviews, surveys and baseline studies;
and consultations with relevant stakeholders. – government or NGO reports or surveys;
In some contexts, the collection of primary data – university studies; and
can be sensitive or may put vulnerable groups – human rights reports by international
at further risk. It should be made clear why data organisations such as the United Nations.
is being collected, how it will be used, how it will
be stored and who has access to it. Provision of The Background reader provides information on
data is voluntary and consent should always be a range of useful resources, including the Danish
obtained prior to data collection. Rio Tinto must Institute for Human Rights (DIHR) Human Rights
always respect the right to privacy and create a safe and Business Portal and the Business and Human
environment for discussing human rights. Great care Rights Resource Centre, that may assist companies
must be taken to consider the risks to individuals to identify, assess and address human rights risks in
and their families and to proceed with caution. their operations (see also Key websites and Business
and human rights organisations on page 92).
The interests of different stakeholder groups relating
to human rights will vary and present different types It is difficult to reduce a human rights issue to
of information and perspectives. Stakeholder groups isolated data sets, numbers and figures. Primary
that should be considered in primary data collection and secondary data often complement each other.
should include: When collecting data, it is important to have a mix
– diverse groups within the local communities, of primary and secondary sources from different
including ‘at-risk’ and vulnerable groups; perspectives to build a more robust understanding
– employees and contractors; of the issues. Data should be both quantitative and
– different levels of government; qualitative (see Box 19 in section 2.4.2). Table 4
– local human rights organisations, development provides examples of data and information that can
agencies, union representatives and NGOs; and be used to integrate human rights in our knowledge
– local universities or other research groups. base studies.
Community consultation
near the La Granja copper
project in Peru.
51
rights matter
How to guide
Table 4: Examples of human rights data and information for assessments
Country he level of implementation of human rights obligations by the state at the time
T
and local of the assessment.
performance on Human rights violations or tensions that exist locally and nationally.
human rights
Community Gender roles.

and subgroups Indigenous communities.
within the Groups of people who are already vulnerable.
community Existing relationships between and within community groups.
Community Inventory of local facilities, resources, food and water supplies.

infrastructure Patterns of use and formal or informal rights to the above.
and resources Cultural infrastructure, resources and practices.
Discriminatory Existing patterns of discrimination in the broader workforce, including gender

employment and ethnic discrimination.
patterns
Land use and Traditional land use patterns.

ownership Claims to land title, formal, traditional and communal ownership structures.
Existing rights of Indigenous peoples to land use.
Access to basic Current level of access to public services such as health care and education.
public services
Adapted from IBLF,
IFC, UNGC (2010). Security services he record of local public and private security organisations in addressing security
T
Guide to Human Rights
Impact Assessment and
situations and interacting with communities, and any protestors and detainees.
Management: p.33-34. Level of crime, including incidence of violence, protests, sexual harassment and abuse, etc.
52
rights matter
How to guide
2.3 Plan and implement
Human rights exposures identified in knowledge base studies, risk analyses

and impact assessments need to be integrated into project-level policies, plans
and procedures at every stage of a project lifecycle. This needs to be included within
CSP multi-year plans, as well as at the programme level for specific community
initiatives. Human rights should also be considered across a number of discipline
areas, including human resources, procurement and health and safety.
Checklist
[ √ ] Does the CSP multi-year plan at your operation

explicitly address human rights risks, impacts
and opportunities, as identified through
knowledge base studies?
[ √ ] Are policies, plans and standard operating

procedures at your operation informed by
human rights considerations?
[ √ ] Has the issue of human rights within the supply

chain and how it may impact communities been
explicitly addressed?
[ √ ] Are human rights included in training for

management, employees and contractors?
[ √ ] Does your operation have an effective

complaints, disputes and grievance process that
communities and employees can access to raise
any concerns?
[ √ ] Are human rights standards and principles

considered when entering partnerships and
agreements with third parties?
[ √ ] Has your operation engaged inclusively when

planning and implementing community
programmes and initiatives?
53
rights matter
How to guide
2.3.1 CSP multi-year plans
Each of our projects and operations must have a CSP

Box 17: Integrating human rights into CSP multi-
multi-year plan (MYP) based on business objectives,
year plans
and a robust analysis of community issues, risks
and priorities (see Rio Tinto’s Communities and ave diverse groups within the community been
H
social performance multi-year planning guidance). involved in the development of the plan and its
These plans define mutually agreed initiatives associated programmes and initiatives? Have the
with local communities, as well as identifying views of both women and men been considered?
resource requirements, objectives, targets and Does the plan take into account the views of
indicators to achieve them. The plans assign specific vulnerable and ‘at risk’ groups and their interests
responsibility for achieving objectives and targets and priorities?
to the appropriate management level and functional
department. oes the plan include provision for monitoring
D
human rights performance? Has consideration been
Multi-year plans should address human rights given to how the community might participate?
risks, impacts and opportunities that have been
identified through knowledge base assessments. o objectives, targets and indicators for programmes
D
Any significant human rights risks or impacts should and initiatives reflect human rights standards and
be recorded. principles?
Annual updates of our multi-year plans provide an oes the plan link to other operational plans such
D
opportunity to reflect on, learn from and respond as procurement and workforce or recruitment and
to any changes in the human rights context as the development plans that may impact on the human
project progresses through its lifecycle. rights enjoyment of communities?
Box 17 lists questions to help determine whether oes the plan clearly allocate responsibility for
D
a multi-year plan has adequately captured human implementation, monitoring and reporting on
rights priorities. initiatives and programmes?
The following case study from Australia demonstrates I f the operation is nearing closure, does the plan
how human rights can be incorporated into human adequately address human rights implications
resources planning and decision making to implement associated with operational closure, plant
programmes that address the human rights principles decommissioning and site rehabilitation?
of non-discrimination and equality. It illustrates
the importance of thorough planning to identify
challenges, develop a strategy and implement
programmes that achieve meaningful results. Rio
Tinto Iron Ore in Western Australia identified barriers
to employment faced by Aboriginal people and used
the findings to inform its Aboriginal employment
strategy. The strategy promotes employment
through education and training, and ensuring fair
and equal employee opportunity.
54
rights matter
Case study 6
Case study 6: Rio Tinto in the Pilbara, Australia

Indigenous employment
Pilbara
Australia
The context
Right
Operator at Rio Tinto’s
Rio Tinto Iron Ore (Iron Ore) operates in the Pilbara
Mesa A iron ore mine in region of Western Australia. In 2005 a study
Western Australia’s commissioned by Iron Ore identified persistent levels
Pilbara region. of economic exclusion of Aboriginal people from
employment. This exclusion may translate to an
adverse impact on the right to non-discrimination,
various labour rights and the right to an adequate
standard of living. Based on the study, Iron Ore
determined that a ‘business as usual’ approach
might perpetuate or even worsen the barriers
to participation experienced by the Aboriginal
population. In order to address these potential
impacts, Iron Ore made new commitments to
increasing Indigenous employment opportunities
across the business.
Challenges and barriers faced by Aboriginal

applicants and employees
The 2005 study, as well as other research,
identified several common challenges and
barriers faced by Aboriginal applicants in seeking
employment, and if employed, their retention and
promotion. This included:
– a lack of skills and work experience required
to gain employment or career advancement;
– cultural and family commitments that may conflict
with company work patterns; and
– discrimination and stereotyping towards Aboriginal
employees by management and co-workers.
55
rights matter
Case study 6
Right
Rio Tinto’s Cape Lambert
iron ore operations
in Western Australia’s
Pilbara region.
Bottom
Trainee at Rio Tinto’s Iron
Ore operations in Western
Australia’s Pilbara region.
Rio Tinto Iron Ore Aboriginal Employment Strategy

To address some of these challenges, the Iron
Ore Aboriginal Employment Strategy adopted a
long term approach that encompasses education
and support programmes, mentoring and cross-
cultural awareness training. For instance, the
company established a work readiness programme
that assists potential applicants with addressing
issues such as basic vocational skills, health issues
and obtaining a driver’s licence. The programme
is run as an accredited training course by third
party providers. Iron Ore also runs cross-cultural
awareness training for all employees and key
contractors to discourage discrimination against
Aboriginal employees in the workplace. The training
was developed and is delivered by local Aboriginal
people and includes information about their
connections to land.
These specific measures are supported by general

policies, including a termination policy that prohibits
dismissal of employees on grounds of race or for
fulfilling family responsibilities. Iron Ore’s Workplace
diversity and equal opportunity policy prohibits
discrimination or disparagement on grounds of
race, consistent with the right to work and to non-
discrimination enshrined in the Universal Declaration
of Human Rights.
In June 2012 Pilbara Aboriginal employment was

13 per cent of the total workforce, on track for a
target of 14 per cent by 2015, compared with an
average of 9 per cent for Rio Tinto Australia overall.
6
56
rights matter
How to guide
2.3.2 Global Communities target
Rio Tinto is committed to playing its part as a private Community programmes, projects and initiatives
enterprise in the achievement of the United Nations Rio Tinto acknowledges it has a responsibility
Millennium Development Goals (MDGs). In October to avoid and alleviate any adverse human rights
2009, the Rio Tinto Board Sustainability committee impacts that occur through our presence, own
approved a global Communities target that meets activities or business relationships. For example,
stakeholder expectations. This target requires that we can support agricultural training for resettled
Rio Tinto demonstrates how our businesses contribute communities whose livelihoods may have been
to the economic development and wellbeing of the negatively impacted. Additionally if knowledge
communities and regions where we operate (see base studies are indicating a decline in traditional
Rio Tinto’s Communities and social performance practices and livelihoods due to job opportunities
target guidance). in mining, we can support programs that help to
safeguard traditional cultural practices. Our CSP
The Global Communities target states: programmes should also support the enjoyment
“All operations will have locally appropriate, publicly of human rights generally. For example, in an area
reported social performance indicators that demonstrate where there are not enough schools, the right to
a positive contribution to the economic development of education is generally unfulfilled. While not causing
the communities and regions where we work, consistent this situation, we might be able to collaborate
with the Millennium Development Goals, by 2013.” with local government or an NGO to provide better
school facilities and improve the right to education.
Human rights and the MDGs are closely related This also aligns with our MDG-related global
and share the objective of promoting the Communities target.
wellbeing and dignity of all people. However,
there are several distinctions. Human rights are It is important our community priorities are
mandatory requirements and universal in scope mutually agreed with local people. Working
and application, whereas the MDGs are voluntary inclusively with communities and encouraging
objectives for developing regions. Despite this their participation in planning and implementing
difference, contributions to the MDGs often align community programmes helps to ensure that our
with our responsibility to respect and enhance work is responsive to local priorities and that the
the enjoyment of human rights. Reporting on the communities retain a level of ownership and
Communities target is not a substitute for human control over the development process.
rights due diligence. The development of local social All community programmes should be carried out
performance indicators should be embedded in the in ways that respect human rights – for example
CSP multi-year planning process. These indicators education programmes should be designed to
measure the level of achievement that businesses ensure that they do not perpetuate discrimination
have made towards the economic development of or other human rights issues.
local communities.
The following case study describes how community
programmes and activities can be designed to
address broad human rights issues and improve
the local communities’ enjoyment of these rights.
Rio Tinto in Bunder, India, has engaged in several
activities that focus on women and gender equality.
57
rights matter
How to guide
Table 5: Checklist to consider when integrating human rights considerations into community initiatives
Goals o the goals of the initiative help to mitigate actual or potential adverse human rights
D
impacts or risks?
Do the goals take into account the long-term human rights enjoyment of communities?
ill the initiative be carried out in such a way as to avoid any adverse impacts on
W
human rights?
Beneficiaries Have vulnerable and ‘at risk’ groups been identified and prioritised within the target group?
Have the rights of women, children and Indigenous peoples been considered?
Objectives and o programme objectives and targets align with the priority human rights identified through
D
targets assessments and community engagement?
re objectives and targets clear, specific, time-bound and able to be measured
A
and monitored?
Activities Do planned activities involve inclusive engagement with communities?

Do we work with independent third parties where beneficial? For example, local NGOs
or government stakeholders who have knowledge and expertise of a particular issue.
Indicators Do we have indicators to monitor and measure programme objectives and targets for
human rights performance?
Do the indicators reflect relevant human rights standards and principles?
Are gender indicators included?
Implementation ave we identified barriers to successful implementation along with strategies to

H
overcome them? For example, we may need to develop ways of consulting with women
or ‘at risk’ groups.
Monitoring and o we monitor and evaluate our community programmes and initiatives to assess how they
D
evaluation affect people’s enjoyment of their human rights?
Do we have an accessible and effective complaints, disputes, and grievance process in place?
Impact ave we fully considered all the risks and unintended consequences? Have we developed
H
assessment contingencies for mitigation should they occur? For example, human rights awareness
training may put some community members ‘at risk’ in certain contexts.
Budget Do financial inputs reach and benefit ‘at risk’ groups?
Communication Do communication strategies meet the community’s needs and preferences for
information sharing?
Adapted from Rio Tinto I s information about programmes, initiatives and projects shared proactively with
(2009), Why gender
communities in a timely manner and in accessible formats?
matters, which draws on
UNDP (2007), Gender
mainstreaming in practice:
Do communication strategies enable participation, dialogue and engagement on an
a toolkit. ongoing basis?
58
rights matter
Case study 7
Case study 7: Rio Tinto in India

Empowering women for greater gender equality
Bundelkhand
India
The context Women’s empowerment

The Bunder diamond project is located in the The Communities team engaged early and
Bundelkhand region of Madhya Pradesh, 500km transparently with the local communities, stressing
south east of Delhi. Rio Tinto’s equal opportunity, non-discriminatory
engagement and employment policies. By engaging
Rio Tinto Exploration (RTX) discovered the Bunder inclusively with all members of the community
deposit in 2004 as part of a regional diamond irrespective of caste or gender, Rio Tinto upheld
exploration programme. An order of magnitude commitments to promoting the principles of equal
study was conducted in 2006 and determined an rights and freedoms set forth in the Universal
inferred resource of around 27.4 million carats. Declaration of Human Rights. Anecdotal evidence
The project is now wholly owned by Rio Tinto suggests that Rio Tinto’s approach to non-
Diamonds and Minerals Group. discrimination has helped to address sensitively the
The project’s host communities consist of 15 entrenched caste and gender inequity.
villages with approximately 15,000 inhabitants in Responding to the findings on social and economic
the Chhatapur District. Bunder currently employs barriers for women, RTX developed a women’s
about 400 people, of whom 70 per cent are local. empowerment project which aims to mitigate
If the project proceeds it will offer unprecedented exclusion and restriction of women as set out in
socioeconomic opportunities in the region. Early the Convention on the Elimination of All Forms of
in the evaluation project, RTX sought to identify any Discrimination Against Women (CEDAW). To achieve
rights-holders who might be negatively impacted this, community awareness programmes were run on
by the development, or excluded from its benefits. women’s status and rights, their role in community
A socioeconomic baseline study in 2006/7 found building and their contribution to the household
widespread feudal and patriarchal traditions with and to community economic life as a whole.
gender-based discrimination. The study showed that
women had low levels of literacy, health, nutrition In its pilot year in Sagoria Village, the women’s
and participation in community decision-making. empowerment project conducted several women’s
The study also revealed an opportunity for RTX to engagement programmes. Community sessions
enhance local women’s enjoyment of human rights were held explaining human rights with the overall
and address existing gender discrimination at a objective of raising awareness of the issues in the
pace of the community’s own choosing. community. Women’s focus groups were held to
educate women about their rights and to encourage
network building and social bonding. These focus
groups are ongoing and have been implemented
in other villages.
59
rights matter
Case study 7
Right
Maternal and child
health programme run in
partnership with UNICEF
at Rio Tinto Diamonds,
Bunder.
Bottom
Women learning to drive
as part of the women’s
empowerment programme.
Women’s driver training programme

Projects to help support the empowerment of
local women include a women’s driver training
programme. In Chhatapur it is not common for
women to know how to drive. By providing women
with the opportunity to learn driving skills, Rio
Tinto has helped them enlarge their employment
prospects and enhance their self-sufficiency.
In 2012, 11 women aged 18–35 participated in the

pilot programme. In addition to learning how
to drive, they also learned basic car mechanics and
repair, like changing a flat tyre. Four of the graduates
subsequently secured employment with Rio Tinto as
drivers, and all gained broader economic and other
opportunities. The programme has actively fostered
women’s self-empowerment and confidence with
their own community’s support.
7
60
rights matter
How to guide
2.3.3 Human rights training
Rio Tinto believes that all employees should be – an updated web-based human rights learning tool;
aware of its human rights commitments and how – tailored action-learning for high risk sites; and
they relate to their work. Those who deal with human – function-specific training for employees with high
rights exposures more directly and regularly, such as exposure to human rights issues, including CSP,
CSP employees, require more detailed training. Risk procurement and security employees.
analysis should also identify other employees that
will benefit from human rights training and related Human rights will also be incorporated into other
issues, such as local cultural awareness. For example, Rio Tinto leadership training and learning academies,
security personnel and those working in procurement where appropriate.
may need specific training. The following case studies demonstrate how human
In April 2012 a revised Group-wide human rights rights training with external human rights expertise
training approach was approved to address operating can help build the awareness of employees and
contexts with the greatest human rights exposures. contractors and improve our overall social performance.
It has the following elements:
– training on The way we work for all employees
now includes a human rights section;
– human rights is included in Rio Tinto’s induction
training particularly for managers and above;
61
rights matter
Case study 8
Case study 8: Rio Tinto in Mongolia

Human rights training programme at Oyu Tolgoi
Oyu Tolgoi
Mongolia
The project
10. T
he Government
of Mongolia owns Located in southern Mongolia, Oyu Tolgoi is a world-
a 34 per cent stake class copper-gold project that is being developed
in Oyu Tolgoi LLC. in conjunction with Turquoise Hill Resources
Turquoise Hill
Resources (formerly (formerly Ivanhoe Mines) and the Government of
Ivanhoe Mines), in Mongolia. First commercial production is forecast
which Rio Tinto now to commence in 2013. Oyu Tolgoi is one of several
holds a majority
interest, owns the
mines in the region, and rapid development in the
remaining 66 per region is accompanied by a range of social, economic
cent of Oyu Tolgoi and environmental impacts and changes. Local
LLC. Rio Tinto is the residents are keen to benefit from the opportunities
manager of the Oyu
Tolgoi project. but also want to ensure that their concerns regarding
traditional culture, environmental degradation and
social mobility are addressed and their human rights
respected.
Human rights training in collaboration with

the National Committee on Human Rights
As part of the operation’s effort to comply with
national law as well as Rio Tinto policies and
standards (in particular those relating to human
rights), the CSP department at Oyu Tolgoi initiated
human rights training for all employees and
contractors. To ensure sufficient expertise in the
training, Oyu Tolgoi asked the Mongolian National
Committee on Human Rights (NCHR) to be involved.
The NCHR is a state institution that aims to foster
a human rights-aware culture in Mongolia. It has
a mandate to promote human rights in a variety
of ways, including through education and training.
Although the committee provides human rights
training to a number of organisations, this was
the first time that the committee had been asked
by a mining company to conduct training.
62
rights matter
Case study 8
Training for Rio Tinto

employees at Oyu Tolgoi
copper mine in Mongolia.
The training programme Working collaboratively Oyu Tolgoi is working on

11. The Employee Through the training, Oyu Tolgoi sought to: further human rights training. For example, the
Advisory Committee
is a representative – introduce and explain human rights to employees Human Resources department is developing an
body of Oyu and contractors, including civil, political, social, online training module on human rights that is
Tolgoi’s employees. economic and labour rights guaranteed by the linked to existing training modules as part of the
The committee
consists of seven
Constitution of Mongolia and international overall induction and training package for employees
members that are treaties and conventions; and contractors. This will complement face-to-
elected annually – improve the human rights knowledge of face training conducted in collaboration with the
by employees. It
company employees in charge of training; and NCHR. The working relationship with the national
serves as a bridge
between the senior – show leadership by encouraging wider respect committee was instrumental in providing local
management and for human rights. expertise. Oyu Tolgoi plans further collaboration
the employees. with the committee including human rights
Senior managers, employees, contractors, safety awareness sessions for local communities.
and security personnel and the Employees Advisory
Committee11 attended the training, covering: 8
– introduction to human rights;
– civil and political rights;
– economic, social and cultural rights; and
– employment rights.
Security personnel and the Employees Advisory

Committee received extended training, including
safety, security and freedom from torture, cruel,
inhuman and degrading treatment. The participants
said the training was helpful in building understanding
of their own rights, as well as the rights of others.
63
rights matter
Case study 9
Case study 9: Rio Tinto Exploration

in the Democratic Republic of Congo
Human rights training
Orientale
Democratic Republic of Congo
The context Drawing on external expertise

Rio Tinto Exploration (RTX) is party to a joint venture To ensure the training was relevant to issues in
agreement to explore for iron ore in the Democratic the DRC, CSP employees consulted two external
Republic of Congo (DRC). Known as the Orientale organisations with human rights expertise as well
iron ore project it takes its name from the province as knowledge of the exploration area. The initial risk
in the north-east of DRC in which it is located. assessments included an independent country risk
assessment that identified key human rights areas
Identifying the need of concern in the DRC context, which was used to
As Rio Tinto had no previous presence in the DRC, develop procedures and risk mitigation measures.
RTX implemented a ‘new country entry’ process RTX also engaged an external consultant with
and commissioned the Danish Institute for Human experience in the DRC mining context to conduct
Rights (DIHR) to conduct a desktop human rights the human rights training, ensuring its content was
risk assessment for operating in the DRC. This highly attuned to the needs of the project team.
identified the legacy of human rights abuse in the
region as posing a major risk. Various other human Human rights training content
rights issues were flagged, including arrangements Training content included: guidance on how to
for managing security, the need for a complaints respond to context specific human rights incidents;
procedure, and engagement with Indigenous the international human rights framework (including
peoples. Recommendations from the DIHR report international crimes and complicity); the corporate
were integrated into management plans that responsibility to respect all individuals; and where
included proactive mitigation strategies. Before human rights fit within Rio Tinto policies and
the start of field activities, RTX CSP employees guidelines. It also included specific attention to
provided comprehensive human rights training the Voluntary Principles on Security and Human
for the project team. Rights and how these related to work in the DRC.
64
rights matter
Case study 9
Right
Human Rights and
Communities training
sessions with Rio Tinto
Exploration employees,
Orientale Project,
Democratic Republic
of Congo.
Bottom
Rio Tinto Exploration’s
Dimitrios Kastis and Kelly
Nazambe return to camp
after a day of mapping in
the Democratic Republic
of Congo.
The training was based around a practical scenario

case study, which helped participants to focus
on the sort of situations they might encounter in
practice. Participants worked through the case study
with human rights material and content integrated
throughout. Organisers and participants reported
that structuring training around a practical case
study was effective, as it fostered participation,
engagement and sustained interest.
Feedback reported that it has helped raise awareness

of potentially risky or challenging scenarios that
would not previously have been so easily identified,
such as how to engage with security personnel
accompanying the RTX team in the field. This
included heightened alertness and awareness to
any requests by security that may lead to Rio Tinto
causing, contributing to or being directly linked to
an adverse human rights impact.
As a result of the training, RTX also identified a

need to update its pre-qualification questionnaire
for suppliers. The revised questionnaire now
contains clauses relating to child labour, gender,
community issues, history of criminal offences and
misconduct and other human rights related topics.
9
65
rights matter
How to guide
2.3.4 Procurement – human rights risks in the supply chain
It is important that we understand how our business Contractual arrangements, such as the engineering
relationships with suppliers, including contractors, procurement construction and management (EPCM)
may impact on the human rights of community contract for the construction phase, can be used to
members and ensure that these partners, and other ensure that suppliers are aware of our expectations
third parties acting on Rio Tinto’s behalf, align with on human rights. This can include provisions around
our standards. At the site or project level, suppliers training, incident reporting and complaints handling,
include construction contractors, local providers of as well a code of conduct outlining the expected
food or equipment as well as recruitment agencies, behaviour of the supplier’s employees towards the
cleaning companies and security services. local community, including consequences for
non-compliance.
Suppliers may affect human rights in many ways.
For example, a security provider may use excessive Rio Tinto’s Procurement principles explicitly note
force when dealing with community members and that we support and respect human rights consistent
people may think they have been instructed to do so. with the Universal Declaration of Human Rights,
A catering company may discriminate against certain and actively seek to ensure we are not complicit
community members when hiring employees or fail in human rights abuses committed by others. In
to provide local workers with safe and healthy work addition, the principles state that we expect our
conditions. A construction contractor could impact suppliers to maintain policies that respect basic
on the right to health and to an adequate standard human rights and dignity, without distinction on
of living through harmful waste disposal practices. any basis. Suppliers are expected to have a process
to assure compliance. The Procurement principles
Involvement by Rio Tinto in adverse impacts by also affirm that we require our suppliers to adhere
our suppliers may mean we fail to meet our own to applicable laws, standards and regulations and
responsibilities and standards in respecting human that we oppose and prohibit employment of forced,
rights. As with situations where we cause harm bonded or child labour.
ourselves, this indirect involvement can adversely
affect our business through legal, reputational and In working with suppliers, it is important to know
other risks. about their past practice and whether it is likely
that they will satisfy the Procurement Principles.
A Group-wide approach is required to address these This may necessitate preliminary screening as part
indirect contractor exposures – key departments of the pre-qualification process, embedding certain
are Rio Tinto Procurement, Global Security, protections into agreements, monitoring of the
Communities and Social Performance and Human suppliers’ human rights performance throughout
Resources. Sites often handle small procurement the relationship, and if necessary, working with
contracts themselves and they need to ensure that suppliers to improve their performance.
suppliers follow our standards. This will generally
involve speaking directly with suppliers to ensure Table 6 provides a checklist, which are examples
that they have adequate processes in place to to assist and guide CSP practitioners and others
prevent potential human rights impacts. Local on how to work with suppliers. Further guidance
situations can often be complex and may necessitate is available from Rio Tinto Procurement. There are
dialogue between site and supplier to improve specific guidance notes for dealing with security
the supplier’s response to any actual or perceived providers and Global Security should be contacted
exposure or impacts. An example is child labour, with any questions.
which Rio Tinto opposes. Site-level employees need
to analyse and understand local contexts where,
for instance, children may be working in family
businesses. We then need to understand whether
children are ‘at risk’ – including whether they are
engaged in hazardous or other work harmful to
their health or safety, or missing school. Mitigation
is not necessarily as simple as a unilateral ban on
children working. For example, a supportive family
environment and complementary access to formal
education can be important considerations.
66
rights matter
How to guide
Table 6: Basic human rights that may be considered for supply chains
Screening Human rights standards and performance are considered in initial screening of new
suppliers. For example:
— check private security providers’ history on the appropriate use of force, past criminal
offences or misconduct;
— screen suppliers to ensure their employees have adequate working conditions and that
they do not employ child labour; and
— check records of suppliers’ prior human rights performance on the company’s other
major capital projects.
Contracts A meaningful commitment to respect human rights is included in the contract.

Incorporated provisions will vary upon context, but could include:
— alignment with procurement standards and other company commitments relating
to human rights, such as Voluntary Principles on Security and Human Rights (refer
to Appendix B);
— commitments by both parties to engage in capacity building activities such as
human rights awareness courses or training on other company standards, such as
health and safety;
— clear consequences for non-compliance with the company’s procurement standards
Adapted from Voluntary or other commitments; and
Principles on Security — a clear reporting structure for human rights-related incidents.
and Human Rights;
Business & Human
Rights Initiative (2010), Monitoring and The human rights performance of suppliers is regularly monitored, eg through
How to Do Business with reporting monthly reports, periodic audits and site visits. This could include:
Respect for Human Rights: — suppliers provide their employees and local communities with access to effective
A Guidance Tool for complaints and grievance processes to raise human rights related concerns;
Companies, p.43-46, 60; — suppliers provide assurance of their compliance with the company’s procurement
IBLF, IFC, UNGC (2010)
standards including on human rights; and
Impact Assessment and — the agreement provides for independent audit of the human rights performance
Management, p.27-30. of suppliers.
We also recognise that some of our business

decisions may affect the actions and performance
of our suppliers and contractors. We are often at the
top of the supply chain so our decisions can affect
the ability of our suppliers and service providers
to respect human rights. The following case study
about a pilot study in India shows how Rio Tinto can
proactively encourage the improvement of human
rights standards in our business relationships with
third parties and associated business ventures. It
illustrates how we can assess and improve human
rights performance throughout our supply chain.
67
rights matter
Case study 10
Case study 10: Rio Tinto in India

Argyle Manufacturing Model
Mumbai
India
The context – inadequate provision of basic necessities

Rio Tinto Diamonds’ India representative office is like hygiene and sanitation; and
located in Mumbai and works closely with customers – high turn-over rates among workers.
and their manufacturing facilities. Diamonds from
Rio Tinto’s Argyle Diamond Mine, known as ‘Argyle Adequate working conditions are an essential
rough’, are cut and polished in factories in the Indian human right recognised in the Universal Declaration
state of Gujarat. Rio Tinto Diamonds surveyed of Human Rights and laid out by the International
manufacturing facilities in Gujarat and identified Labour Organization. This includes the right to work
several common challenges, particularly in relation in safe and hygienic conditions, and to adequate
to manufacturing practices and Health, Safety, remuneration and rest periods.
Environment and Communities (HSEC) standards. The Argyle Manufacturing Model (AMM)
In response, Rio Tinto Diamonds drafted the Argyle The AMM programme is designed to improve
Manufacturing Model (AMM), an initiative to improve working conditions and manufacturing practices
the work environment and manufacturing practices in selected cutting factories by benchmarking them
of facilities which process Argyle diamonds in India. to the standards of the AMM and engaging them
Survey of manufacturing facilities in a structured improvement process.
Many of the Gujarat facilities processing Core objectives are:
Argyle rough diamonds operate in the small scale – safe, clean and healthy working conditions;
sector of the diamond processing industry, where – adaption of efficient manufacturing practices; and
HSEC and manufacturing conditions may be – motivation of workers to build a stable work force.
below standard.
The AMM project currently enrols approximately
Rio Tinto Diamonds’ survey identified several 50 facilities employing 7,500 workers, with an
recurring themes, including: annual polishing capacity of 400,000 carats of
– a general lack of awareness of HSEC; Argyle rough diamonds.
–H SEC risks associated with lack of space,
traditional manufacturing practices, long term
exposure to carbon dust, inadequate personal
protective equipment (PPE), high ergonomic
stress and long working hours;
– l imited capacity of owners/contractors to improve
working conditions in their facility due to physical
and financial constraints;
68
rights matter
Case study 10
Right and below

Diamond cutters at work
in Gujarat, India.
The six steps

The AMM consists of the following six steps:
1. D
efine the features of an ‘Argyle Model
Manufacturing Facility’ that will address all
the shortcomings and be a benchmark for
comparing existing facilities.
2. Generate awareness among the
manufacturing facilities about the need to
address the prevalent issues and enrol
facilities that are willing to participate.
3. C
onduct gap analysis using the ‘Model
Manufacturing Facility’ as a benchmark.
4. B
ased on the gap analysis and discussions
with facility management, agree on
desired improvements, set targets, and
design an action plan to achieve them.
5. A
ssist each facility to implement the action
plan and provide training to employees.
6. M onitor progress of implementation
through regular visits to confirm
sustained improvements.
Sustainable Manufacturing Support Programme

The AMM is intended to guide the development of
a structured programme that can be implemented
across all Argyle manufacturing regions. This will
include induction programmes and training for
new workers.
10
69
rights matter
How to guide
2.3.5 Human rights and security
Workforce and workplace safety and security

is an area of particular importance to Rio Tinto
and other resource sector companies. The human
rights dimension of security work requires particular
attention and expertise. With this in mind, in mid-
2008 Rio Tinto created a Global Security Group
to ensure globally consistent standards. The group
currently has 15 security managers and advisers
based in London, Montreal, Paris, Johannesburg and
Brisbane. This structure supports Rio Tinto’s ability
to implement the Voluntary Principles on Security
and Human Rights worldwide with professional
oversight of all businesses.
Global Security conducts security and human rights

assistance visits in critical and high risk locations to
ensure our security measures respect human rights.
Complete security and human rights training can
be organised for all security personnel involved
in a site/project security strategy as required
(eg Rio Tinto employees, private providers and/
or public security forces).
The Security Group selects preferred security

providers with appropriate due diligence, such as
background checks on management and personnel
including past human rights performance. New
security contractors working with Rio Tinto are
required to comply with a code of conduct for private
security companies, which draws on the voluntary
principles, on European and wider international
best practice, and on the relevant UN codes
and principles. (See Rio Tinto’s guidance notes
Implementing security and human rights principles
and Providing support to public security forces for
further information on security and human rights.)
70
rights matter
How to guide
2.4 Monitor, evaluate and improve
Monitoring and evaluation are essential learning processes for integrating human
rights considerations into our CSP work. They allow us to see both the successes and
shortcomings of our work so that we can adjust and improve.
This section provides an overview of monitoring and evaluation as it relates to human rights. It also provides
guidance that may assist when tracking human rights impacts.
Checklist
[ √ ] Does your operation have indicators for tracking performance against key human rights risks that have
been identified, including indicators for gender?
[ √ ] Are these indicators underpinned by credible data, and are they updated regularly?
[ √ ] Do the indicators align with the Millennium Development Goals where appropriate?
[ √ ] Does monitoring of the human rights performance of your operation take place in a planned way and
on a regular basis?
[ √ ] Is responsibility for monitoring and reporting clearly and appropriately allocated?
[ √ ] Do human rights monitoring and evaluation processes at your operation involve communities wherever
possible including, in particular, vulnerable and ‘at risk’ groups?
[ √ ] Do monitoring and evaluation processes at your operation include requirements for reporting back
to communities on findings?
[ √ ] Do management systems include procedures for highlighting and responding to any emerging human
Adapted from Rio Tinto rights issues, including serious allegations, regardless of whether or not they are well-founded?
(2009), Why gender
matters, and IBLF, [ √ ] Are changes and adjustments made to programmes and activities based on the results of monitoring?
IFC, UNGC (2010),
Impact Assessment and
[ √ ] Does the monitoring and evaluation framework use information from your operation’s complaints,
Management, p.58-59. disputes and grievance processes?
71
rights matter
How to guide
2.4.1 Monitoring and evaluation
The Rio Tinto Communities standard requires us Monitoring and evaluation of human rights impacts
to monitor and evaluate our social performance. and performance is essential in order to:
As part of this we aim to integrate human rights – measure progress against our commitments
monitoring and evaluation into existing processes. to human rights, including the rights of women
and Indigenous peoples;
Box 18 explains the difference between monitoring – measure compliance with internal and external
and evaluation. policies, standards, and commitments;
Monitoring involves tracking, in a systematic way, – assess whether human rights issues and impacts
how operational activities affect communities and have occurred on a one-off or systemic basis,
other stakeholders, both positively and negatively. including gender and cultural considerations;
Lessons from monitoring and evaluation, including – identify whether project management procedures
from our complaints, disputes and grievance and plans are being implemented and are achieving
processes, should be integrated into revised plans, their objectives;
objectives and targets. Corrective action should be – identify whether impact and risk mitigation
taken where needed. measures are effective;
– determine the cause, and provide a basis for
Evaluation usually takes place once the work or corrective actions if our procedures, plans and
programme has been completed and asks the activities are ineffective;
question: “How did we do?”. While monitoring – identify any unanticipated human rights issues
measures ongoing progress against indicators and and impacts that have occurred, their
targets, evaluation centres mostly on outcomes consequences, and the response taken; and
and impacts with the aim of identifying factors that – identify whether management is receiving effective
have contributed to – or detracted from – achieving ‘early warnings’ of new human rights challenges,
success. Evaluation is important to ensure our including appropriate advice on how to resolve
responses to our involvement in adverse human these challenges.
rights impacts are effective and appropriate and
that we are effectively integrating human rights (Based on Rio Tinto (2009) Why gender matters
due diligence into our work. and IBLF, IFC, UNGC (2010), Guide to Human Rights
Impact Assessment and Management, p.58-59)
In addition to internal controls, we may also face
particular monitoring and evaluation requirements In addition to CSP-specific monitoring and evaluation
as signatory to a number of human rights-related tools, several Group-wide procedures exist which
voluntary commitments (see Appendix B). may assist CSP practitioners, and others working
Additional requirements may be required by local with communities, to monitor our human rights
laws, contractual provisions or funding conditions. performance in affected communities.
72
rights matter
How to guide
These include Speak-OUT, the Rio Tinto business CSP site managed assessment
solution (RTBS) Incident Reporting system, which CSP site managed assessments (SMA) ensure our
includes a category for community incidents and a businesses comply with our Communities standard
sub-category for human rights incidents. Assurance and legislative requirements. The process evaluates
also includes Technical Evaluation Group (TEG) the performance of a site against a number of
reviews and the monitoring undertaken through key performance areas (see Rio Tinto’s CSP site
annual compliance reports and compliance audit managed assessment guidance). It is an evaluation
forums. Other functions may also conduct relevant owned by the site and is intended to identify any
monitoring such as the security and human rights actual or potential issues and areas for improvement.
assistance visits carried out by Global Security. It is conducted regularly, usually every three years,
(See section 2.5.1 and the Human rights guidance and/or at key phases of the project cycle. It may also
for more advice on how these internal processes can be initiated by special circumstances such as an
assist us to monitor and evaluate our human rights allegation of a serious human rights abuse.
performance comprehensively.)
SMAs include a structured diagnostic with a specific
key performance area on human rights. A SMA
Box 18: Distinguishing ‘monitoring’ from ‘evaluation’ can also, where deemed appropriate, take a more
in-depth review of human rights exposures and
Monitoring is the ongoing measurement of change
assess whether proper prevention and mitigation
(positive or negative) against defined indicators.
strategies are in place. The findings of each SMA
Evaluation is the systematic assessment of the are owned by the business unit concerned and the
effectiveness of management strategies and recommendations go to the CEO of that business.
programmes. Evaluations can focus either on process Aggregate results are shared throughout Rio Tinto
(how well has the initiative been implemented?) or to ensure all businesses and divisions are aware of
outcomes (have the desired impacts been achieved?). and learn from them.
Other opportunities for monitoring and evaluation

of our human rights performance include:
– CSP multi-year plans; and
– complaints, disputes and grievance processes.
73
rights matter
How to guide
2.4.2 Indicators for human rights performance
Credible data are essential for effective monitoring. Both quantitative and qualitative indicators can be
While it is difficult to measure human rights impacts used to build a full picture (see Box 19 for definitions
and risks precisely, monitoring systems should and Table 7 for examples). Quantitative indicators
be robust enough to enable operations to assess provide mainly numerical evidence whereas
whether they are making progress towards key qualitative measures add context in the form of
targets and objectives, and to identify issues that description, opinions and experiences. When dealing
require attention. with human rights issues, qualitative indicators are
often essential to obtain a thorough understanding
Indicators provide a valuable reference point for of an issue. They allow us to capture people’s
assessing and monitoring human rights impacts individual perspectives and experiences. For this
and performance over time and against targets. They reason, it is critical that human rights performance
help us to understand where we are, where we are tracking include appropriate qualitative and
going and how far we are from our goal or objective. quantitative metrics and include sex-disaggregated
Indicators that measure human rights performance data, as men and women sometimes hold different
need to be based on human rights standards views of a situation.
and findings from previous knowledge base
assessments. In line with our global Communities
target, indicators should also be consistent with
Box 19: Types of indicators
the Millennium Development Goals.
Quantitative indicators refer to attributes of a
Some of our social performance indicators already
situation, process, or activity to which we can attach
reflect human rights considerations. For example, all
a number, percentage, ratio or other statistical
operations are required to report data on workforce
descriptor. They can be drawn from data systems and
composition, such as sex-disaggregated data.
records that already exist or are specifically collected.
Health and safety data, such as lost time injury
frequency rates (LTIFRs), relate to the right to just Qualitative indicators refer to attributes of a situation,
and favourable working conditions and the right process or activity whose status or condition is
to health, liberty and security. Therefore, as a first determined by opinions, perceptions, or personal
step we should check how well existing indicators judgements, or by quality of an experience expressed
align with human rights, identify any gaps and make as a story, not as numbers.
necessary adjustments. Our knowledge base studies
and complaints, disputes and grievance processes Indicators can often be developed in consultation
are good sources of human rights data. with community groups.
Table 7: Examples of quantitative and qualitative measures
Type Example quantitative measure Example qualitative measure
Input $$$ spent; number of hours Employee and community satisfaction survey.
of employee-time.
Output Number of activities. Categories of participants; areas of human rights

Number of participants. improvement/enhancement.
Outcome Number of people whose lives Nature of change in skills, knowledge, behaviour
have been changed /improved. or practices (eg on-the-ground performance or
policy changes).
Impact Number of human rights threats Personal and community views on the changing
averted. Number of human status of human rights in the region.
rights impacted (positive
and negative).
74
rights matter
How to guide
Table 8 provides examples of human rights performance indicators. The table is not intended to be
exhaustive or a blueprint for a monitoring system but instead to provide suggestions on possible indicators.
The indicators listed may not apply to every context and are intended to encourage thinking about how to
include different perspectives when developing indicators.
Table 8: Examples of human rights performance indicators
Type of human rights performance indicator Example indicators
Indicators on the implementation of human Company training programmes are culturally

rights related processes within a company – these appropriate, gender sensitive and respectful of diversity.
demonstrate how widely an organisation has human
rights-compatible procedures in place. Employees and community members have access
to a complaints, disputes and grievance process.
The company has a protocol clearly defining the role
and responsibility of security guards.
The company has implemented a procedure to evaluate
and select suppliers which takes into account human
rights, social commitment and performance.
Indicators of incidents – these reflect the frequency The number of ‘significant’ Communities incidents.
with which the activities of a company result in a
problem or abuse of human rights. These indicators The number of security-related complaints received
have the benefit of being able to define a trend from the community.
over time. The number of fatigue-related accidents.
The number of formal complaints by employees.
Indicators of other dimensions of human rights Workers’ representatives and employees confirm
performance – these generally relate to measurable that the work environment is culturally sensitive
changes in the quality of life of stakeholder groups and non-discriminatory.
in areas of relevance to human rights.
Records show that the company systematically
and objectively reviews any complaints filed and
implements corrective action if necessary.
Community representatives and other relevant

external parties confirm that company security
guards only use the minimal force necessary to
handle security-related situations.
Community representatives hold the view that

the company is sensitive to their human rights.
Women are satisfied with non-discrimination

measures.
Adapted from GRI,
Realizing Rights, and The number of local children receiving primary/
UNGC (2009) A Resource
secondary education.
Reporting, DIHR (2006)
Human Rights Compliance The percentage of local population with access
Assessment (HRCA): to clean water and improved sanitation.
Quick Check; and BSR
and CSR Europe (2001) The community is generally satisfied with its access
Measuring and Reporting
to clean water, education, health measures and other
on Corporate Performance
on Human Rights. services relevant to their rights.
75
rights matter
How to guide
2.4.3 Complaints, disputes and grievance processes
As part of our responsibility to respect human rights Complaints, disputes and grievance processes
we actively engage and cooperate in remediating any provide data for management decision-making.
adverse impacts that we have caused or contributed The scope and scale of the process will vary
to. Rio Tinto may do this alone or in conjunction according to the community context; nevertheless,
with others. they should all include consultation with stakeholder
groups to ensure that it meets their needs and that
Complaints and disputes are common in community they will use it in practice. This includes facilitating
life, whether from external or intra-community community participation in resolution processes,
causes. Inevitably, many communities will complain where appropriate.
about unintended impacts of mining, metals and
associated operations, such as dust, noise and Women may sometimes be reluctant to voice
increased traffic flows. For definitions of complaints, gender-sensitive complaints, so it is important to
disputes and grievances see Box 20. establish more than one contact point. For example,
appointing a female complaints officer may increase
In major new developments, particularly in remote access for women in lodging issues such as sexual
and/or developing contexts, the disruption to harassment or gender discrimination. Similarly,
existing community life can be great. The key to complaints, disputes and grievance processes
successfully managing community complaints is should be culturally appropriate and designed to
to act immediately. Proactively resolving complaints suit the needs of local and Indigenous communities.
and disputes avoids community issues escalating The ability or willingness of all ‘at risk’ or vulnerable
into a grievance. Most complaints can be resolved groups to participate in such processes should be
quickly and satisfactorily by: taken into account.
– dealing with complaints in person;
– apologising for inadvertent breaches; The performance of complaints, disputes and
– identifying and rectifying root causes; and grievance processes should be reviewed regularly
–a ssuring complainants of future to ensure that processes are working effectively.
preventative action. Regular analysis of the patterns of complaints
(including frequency and contributing factors)
Sometimes, however, complaints will still escalate. can provide continuous learning as well as publicly
To maintain good relationships with communities, reportable data. For details of Rio Tinto’s policy and
it is vital that the site has formal processes for procedures see the Community complaints, disputes
managing and, where necessary, escalating and grievance guidance as well as the Human rights
complaints to disputes and grievances. These guidance. Also note that other Group-wide grievance
processes need to be easily understood, transparent processes intended for employees, such as Speak-
and accessible to the community. The company’s OUT, may be used by community members. CSP
internal processes should not undermine legal employees can help in raising awareness of these
processes nor attempt to supplant criminal law, processes.
labour law or commercial matters.
This case study from Rio Tinto Alcan’s Weipa
The UN Guiding Principles identify operational or operation in north Queensland, Australia shows
project-level complaints, disputes and grievance how community complaints, disputes and grievance
processes as an effective means of remediation for processes can be used to engage inclusively with
those potentially impacted by a company’s activities. communities and continually improve business
Importantly, site-level processes also form part of activity and social performance.
broader ‘early warning’ monitoring by identifying
systemic issues. The Guiding Principles require site-
level complaints, disputes and grievance processes
to be: legitimate, accessible, predictable, equitable,
transparent, rights-compatible, a source of continual
learning, and based on engagement and dialogue
(see Box 21). A site-level process must not inhibit
any individual or group’s access to judicial recourse,
nor put them at undue risk.
76
rights matter
How to guide
Box 20: Definitions of complaints, disputes and grievances
A community complaint is a notification provided by a community member, group or institution to the business
that they have suffered some form of offence, detriment, impairment or loss as a result of business activity and/or
employee or contractor behaviour.
A community dispute is a complaint that has not been accepted as valid by one party or the other and has
escalated into disagreement between the parties.
A community grievance is a complaint or dispute that has escalated to the point where it requires third party
intervention or adjudication to resolve. Typically grievances involve more than one community member or family
and relate to disputes that have remained unresolved for some time.
Box 21: Principles of an effective complaints and grievance process
Based on the UN Guiding Principles, the six overarching principles for non-judicial grievance processes
articulated in Rio Tinto’s Complaints, disputes and grievance guidance are:
Legitimate – The process should be transparent and sufficiently independent to ensure no party can interfere
with fair conduct.
Accessible – The process should be publicised in such a way that all community members can understand
and have access to it, including groups who may face barriers to access.
Predictable – The process should be consistent, have a time frame for each stage and be clear on the types
of process and remedy that are available.
Equitable – Aggrieved parties must have reasonable access to sources of information, advice and expertise
to engage in the process on fair and equitable terms.
Transparent – Process and outcomes should be sufficiently transparent to meet public interest concerns without
jeopardising the identity of individuals. Parties to a complaint, dispute or grievance should be regularly informed
about its progress to resolution.
Rights-compatible – Process and remedies must accord with internationally recognised human rights.
A source of continuous learning – Drawing on relevant measures to identify lessons for improving the
mechanism and preventing future grievances and harms.
Project-level complaints, disputes and grievance processes should also be based on engagement and dialogue,
consulting with stakeholder groups on its design and performance.
(Adapted from Rio Tinto’s Complaints, disputes and grievance guidance and UN Guiding Principles)
77
rights matter
How to guide
Children carrying
water in rural village
in Mozambique.
Links to other complaints and grievance processes By responding to stakeholders at an early stage
In addition to project-level procedures, external through our own complaints, disputes and
non-judicial and/or customary processes are grievances procedures, we can avoid situations
also available, such as national human rights where stakeholders feel it necessary to pursue
commissions, national ombudsman offices and/ action through legal or other external processes.
or a council of elders (or similar) in Indigenous However, we should not impede or discourage
communities. It is important to be aware of how stakeholders from accessing other judicial and non-
these other processes may influence or complement judicial processes, if they so wish. If this occurs, the
site-level processes. A useful way of achieving this is legal department or Rio Tinto Global External Affairs
to map existing external processes as part of human can work with the team concerned on a response.
rights due diligence.
Rio Tinto is committed to a number of international

conventions that provide for or require formal
complaints, disputes and grievance processes. For
example, Rio Tinto has a voluntary commitment to
the OECD’s Guidelines for Multinational Enterprises
which incorporate the UN Guiding Principles. The
guidelines are supported by national contact points
(NCPs) which provide a mediation and conciliation
platform for resolving practical issues or ‘specific
instances’ that may arise.
78
rights matter
Case study 11
Case study 11: Rio Tinto in Weipa, Australia

Integrating complaints, disputes and grievance
resolution into management systems
Weipa
Australia
The context Feedback received is logged by the team following

Rio Tinto Alcan has mined and shipped bauxite from a well-established process. The procedure is also
Weipa in far North Queensland, Australia, since aligned with the Rio Tinto business solution, which
1963. Weipa employs about 1,000 full-time people, provides tools to log incidents, assign follow-up
and produced 20.6 million dry product tonnes of actions and track the closure of issues and incidents.
bauxite in 2011. Local communities surrounding The system enables incidents to be escalated
the operation on the Western Cape include the to appropriate management levels based on
township of Weipa and the three nearby Indigenous significance, and also ensures all relevant work
communities of Aurukun, Mapoon and Napranum. areas are informed.
The original (northern) bauxite reserves are
gradually being depleted and with continued Once feedback has been received and logged,
demand for bauxite, the business has identified the CSP team undertakes an initial assessment
significant reserves south of the Embley River. to identify and contact the relevant function.
The functional leader and CSP superintendent then
Weipa community feedback system establish an investigation team, classify the incident,
The site CSP team administers the community investigate it to determine the root cause(s) and
feedback system – a formalised process whereby identify any actions that are required to address
members of the local community can provide both the incident. Where an incident is classified as
positive and negative feedback on the company’s ‘significant’, the CSP manager, relevant function
operations, including adverse human rights impacts. manager and the general manager are notified.
The feedback procedure includes provisions for
The Weipa community feedback system reflects the engagement and dialogue with the affected
six overarching principles for non-judicial grievance persons. For example, when feedback is first
processes – legitimate, accessible, predictable, received the community member is asked about
equitable, transparent, and rights-compatible. their expectations, including any suggestions they
To ensure accessibility, multiple contact points are may have about resolution. Across-site participation
available, including a toll-free phone number and is also encouraged internally by the CSP team
direct contact with Rio Tinto Alcan Weipa personnel. adopting a facilitative role, rather than resolving
To promote local awareness of the feedback system, the issue directly in isolation from other functions.
the process is advertised in the local newspaper, site
newsletters, community noticeboards and informally
when CSP personnel visit local communities.
79
rights matter
Case study 11
Consultation with
traditional owners from
local community in Weipa.
The requirements for internal reporting, both

confidentially at the specific level, and generally
at the aggregate level, help to communicate incident
findings and to share learnings across this site.
A Weipa Community Forum provides opportunities to
engage directly with members of local communities
on matters of interest, and to discuss business
activities that are likely to impact the community.
The forum also enables the company to report back
to the community on how complaints are received
and addressed.
Integrating complaints, disputes and grievance

resolution into operations and management
The CSP team involves relevant functions in any
complaints resolution, to improve across-site
accountability and to ensure that function leaders
across the operation are also recognised for positive
feedback received. This deepens understanding
across the business that working with communities
is everybody’s work and ensures various business
functions engage directly with stakeholders
potentially impacted by their activities.
11
80
rights matter
How to guide
2.4.4 Community involvement
Wherever possible, we seek to involve communities The outcomes of monitoring and evaluation provide
and other relevant stakeholders in monitoring a firm basis for reviewing and updating plans and
and evaluating our human rights performance. systems and taking corrective action. Reflecting
This helps to ensure that these processes are co- on lessons learnt is a valuable source of information
managed, rather than solely driven by the operation. for continual improvement and should be recorded
For example, we try to involve communities in as case studies wherever possible.
developing indicators, collecting data, or resolving
community complaints. This helps to ensure that our The following case study on community compensation
response addresses their needs and is appropriate claims at Kelian in Indonesia illustrates how a
to the context. Collaborative and participatory challenging human rights situation produced
monitoring can build rapport with communities and valuable organisational lessons.
stakeholders by sharing lessons and improving self-
management. We always seek to share monitoring
and evaluation information and results transparently.
At times, we may need independent third party input

into our human rights monitoring and evaluation
processes. Ideally, third party evaluators should
be approved and trusted by the communities
concerned. The Global CSP and External Affairs
teams can advise on selection of third party
human rights experts and evaluators.
Rio Tinto Exploration

team consulting with
local villagers in India.
81
rights matter
Case study 12
Case study 12: Rio Tinto in Kelian, Indonesia

Settlement of community compensation claims
Kelian
Indonesia
The context The human rights claims

Exploration at Kelian began in 1985 by PT Kelian The human rights-related claims submitted by
Equatorial Mining (KEM), a company that was, at members of the Kelian community related to
that time, 90 per cent owned by Rio Tinto. The gold three areas:
mine was located at the foot of a central Kalimantan
mountain range northwest of Samarinda, the capital 1. The ill-treatment of persons during the relocation
of East Kalimantan Province. The company carried of settlers in the mine area by Kelian Equatorial
out commercial production from 1992 to 2005 Mining security personnel and police officers,
when activities ceased after the ore stockpile including the eviction of artisanal miners and
was exhausted. the destruction of their living places and working
equipment, causing loss of livelihoods. Some
During construction and development, events claims involved allegations of serious physical
occurred that community members alleged abuse by security forces carrying out
constituted human rights abuses. These events the relocation.
were brought to the National Commission for
Human Rights and the National Commission for 2. T
he ill-treatment of protesters by company
Anti-Violence Against Women for investigation. security personnel and police, including cruel
Kelian Equatorial Mining and Rio Tinto subsequently and degrading treatment during arrest and
acknowledged that human rights abuses had detention following demonstrations against
occurred and settled a number of human rights Kelian Equatorial Mining.
claims with the help of third party involvement. 3. Sexual harassment and sexual abuse of women
This experience taught us several important lessons by Kelian Equatorial Mining employees.
and demonstrates that Rio Tinto recognises its
obligation to address and remediate any adverse
human rights impacts.
82
rights matter
Case study 12
Kelian Equatorial Mine site

(when still operational).
Investigation and settlement of claims Lessons learnt

The human rights abuse claims raised by The human rights abuse claims at Kelian, their
community members were investigated by the investigation and the resulting settlement process
National Commission for Human Rights and the yielded important lessons for Rio Tinto.
National Commission for Violence Against Women,
which identified, documented and investigated Human rights training for employees and
the allegations. The commissions found that Kelian contractors, especially security personnel, police
Equatorial Mining had no legal liability; however, and army personnel posted at company operations,
they suggested that sympathetic assistance would was recognised as critical. Also highlighted was the
be appropriate for a number of the claims. need to exercise due diligence by ensuring that fair
and efficient complaints, disputes and grievance
In response to these findings, Kelian Equatorial procedures are available to hear allegations, such
Mining and Rio Tinto publicly acknowledged that as the need for a contact point in the company for
human rights abuses had occurred during the complaints relating to sexual harassment and abuse.
early development of the mine and undertook
to use the reports by the commissions as the Lessons about the investigation and settlement
basis for compensatory settlement. The terms process included:
of resolution included a public expression of regret, – Dealing directly with the various parties involved
as well as a traditional reconciliation ceremony was important to understand the issues and
with communities. build trust.
– Involving independent institutions helped ensure
During the resolution process, the local government that the investigation of claims was neutral and
acted as a mediator and witness. Communities were their reports could be referred to by the company
represented by national and local NGOs who assisted in settling claims.
with filing claims, mediation, negotiation and acting – Involving credible NGOs during negotiations was
as witnesses to compensation payments. effective for making sure that claimants were not
subject to pressure from other parties.
Internally, Rio Tinto formed a team to address and – Having independent parties as witnesses during
settle the claims. Some of the responses included compensation payments promoted transparency.
carrying out external audits of social, community – Documenting the entire settlement process
and environmental reports and conducting human ensured accountability and facilitated subsequent
rights training for all employees and contractors. learning and review.
12
83
rights matter
How to guide
2.5 Report and communicate
Regular and open reporting, both internal and external, enables dialogue around
our human rights commitments and performance. This increases our accountability,
guides our decision-making and helps to improve our human rights performance.
The following checklist includes examples that may assist and guide in reporting on human rights.
Checklist examples for reporting on human rights
[ √ ] Do public reports, including site websites, contain information about actions taken to address human
rights impacts in communities as well as the outcomes of these actions?
[ √ ] Does your site include human rights considerations in internal reporting requirements?
[ √ ] Do site reports include human rights indicators in key performance areas?
[ √ ] Does your site report human rights performance to local communities in user-friendly ways?
[ √ ] Does reporting include disaggregation of information, especially in relation to vulnerable and ‘at risk’ groups?
[ √ ] Does reporting include activities and outcomes, both positive and negative?
[ √ ] Does reporting pay attention to both qualitative and quantitative data?
[ √ ] Does reporting include information on performance trends?

Adapted from GRI,
Realizing Rights, GC [ √ ] Does the site report human rights incidents?
(2009) A resource guide
to corporate human rights
reporting, Section 3. [ √ ] Do reporting indicators cover, at a minimum, high-risk human rights issues?
84
rights matter
How to guide
2.5.1 Internal reporting
Rio Tinto has a number of key internal reporting category for human rights related complaints.
requirements that include a human rights dimension. Records of feedback should be used to inform
Individual business units need to report on: management decisions and be shared across
– implementation of our Human rights policy and departments within the business unit to improve
Communities standard as part of regular updates overall performance and address complaints. In
on multi-year Communities plans; cases of any actual, potential and alleged breaches
– recent or emerging human rights issues in internal of human rights that involve community members,
HSEC reports; we must report immediately to the relevant product
– compliance-related human rights issues as part group chief executive and the global practice leader
of annual compliance reports; – CSP, as required by Rio Tinto’s Communities standard.
– human rights compatible performance indicators
as part of the annual community workbook data In addition to these formal processes, it is important
collection process; and that we also report on our human rights performance
– human rights-related incidents into Rio in informal ways. This helps us to maximise learning
Tinto business solution (RTBS) which, above within and across projects. For example, human
a significance threshold, escalate to the Rio rights can be a regular agenda item at forums such
Tinto Executive Committee (ExCo) and Board. as team meetings, toolbox talks, or other work area
unit meetings, enabling it to be discussed as part of
Rio Tinto’s RTBS enables community incidents to everyday business. This will help to develop a rights-
be logged in seven impact areas: safety, health, aware corporate culture (see the Human rights
environment, community, quality, security and guidance for further information.)
process. Within the ‘community’ area, there is a
85
rights matter
How to guide
2.5.2 External reporting and communicating
The UN Guiding Principles call for businesses other stakeholders looking to better understand
12. T
he UN Global
Compact consists to communicate publicly about how they have our human rights performance. It is therefore
of ten core principles responded to actual and potential adverse human important that this information is included on our
in the areas of rights impacts, particularly those with severe or websites at corporate and individual business unit
human rights,
labour, environment
irremediable consequences, such as a breach of levels and that the information is easy to find.
and anti-corruption. the right to life.
For more information Information reported by sites may also be
see http://www. Our reporting needs to be clear and easily accessible included in external reports at the corporate level.
unglobalcompact.org/. to local communities, our workforce, our investors Any significant issues around human rights may
and other interested stakeholders, recognising that be covered in the Rio Tinto Group Annual Report.
these require different methods of communication. The annual, corporate Sustainable Development
For human rights issues and allegations at site-level, Report also includes a human rights section http://
the focus should be on local-level communication www.riotinto.com/sustainabledevelopment2011/
with stakeholders. Human rights performance can governance/human_rights.html. We work to
be reported through the ‘social management and continually improve this reporting. We also
performance’ section of our local, business unit report in line with the International Council on
and corporate sustainable development reports. Mining and Metals (ICMM) Sustainable
It may also be appropriate to include it in newsletters Development Framework.
or at community meetings. Reporting on human rights
risk management processes as well as incidents As a signatory to the UN Global Compact (UNGC) ,
and performance is important for transparent Rio Tinto Global External Affairs reports annually
communication with our stakeholders and to build at a corporate level through our Communication
trust (see Box 22). of Progress (COP), a public disclosure to our
stakeholders on our progress in implementing
The Guiding Principles require external reporting the UN Global Compact principles (two of the
to be accessible and provide sufficient information ten principles refer explicitly to human rights).
for our stakeholders to evaluate our human rights As a member of the UNGC’s Human Rights Working
performance. Where we are reporting on our Group and various local networks for the UN Global
performance at a specific project or site, efforts Compact, we also contribute case studies for wider
should be made to write documents in local learning (see our Human rights guidance for further
languages and communicate them through various information on our external reporting framework).
means to ensure all stakeholders have equal access
to the information. For instance, plain language
summaries or oral presentations can be used in
communities where there is limited literacy. All
reporting and communication strategies should
be culturally appropriate, gender sensitive and Box 22: Types of reporting
not pose risks to affected parties or to legitimate
commercial confidentiality. Process reporting: Reporting on our management
processes provides our stakeholders with an
Websites are another valuable way of communicating understanding of our capacity and willingness to
with external stakeholders about our human rights respect human rights by explaining the steps we take
processes and performance. This is particularly to integrate them into our systems and procedures.
true where there is strong media interest, and/
or the site considers an issue to be a material risk. Incident reporting: Reporting on our performance
Such information, together with the more general and specific incidents demonstrates the effectiveness
information we make available through our corporate of our processes in mitigating human rights risks or
reporting and website, may be used by investors, contributing towards a community’s ability to enjoy
investor indexes such as FTSE4Good, as well as and exercise their human rights.
86
rights matter
References
4. References
Appendix A: Rio Tinto Human rights policy (2012) 89
Appendix B: Our voluntary commitments related to human rights 90
Rio Tinto’s policies, standards and guidances 91
Key websites 92
List of acronyms 93
Reference list 95
87
88
rights matter
References
Appendix A: Rio Tinto human rights policy

(2012)
We support human rights consistent with the Universal Declaration of Human Rights
and Rio Tinto respects those rights in conducting the Group’s operations throughout
the world.
We seek to ensure that Rio Tinto’s presence fosters The Group’s security procedures draw on, and are
sound relationships and avoids civil conflict wherever consistent with, our commitment to, and active
we are. Rio Tinto respects and supports the dignity, participation in, the Voluntary Principles on Security
wellbeing and human rights of Group employees, and Human Rights. These procedures include
our families and the communities in which we live, guidelines and restrictions on the use of force, and
as well as others affected by the Group’s operations. are reinforced by security and human rights risk
assessments for high risk sites, incident reporting,
Our Human Rights Framework, which is in line and training for Group employees and contract
with our commitments under the OECD Guidelines security personnel. We also actively encourage
for Multinational Enterprises and reflects the UN human rights training for public security where
Guiding Principles on Business and Human Rights, we identify a gap, and help to facilitate this training
has its foundations in human rights due diligence, in certain circumstances.
carried out as part of our corporate processes.
We respect the diversity of Indigenous peoples,
Where human rights are threatened, we seek to acknowledging the unique and important interests
have international standards upheld and to avoid that they have in land, water and environment as
any involvement in human rights abuses, including well as their history, culture and traditional ways.
through the misuse of our equipment and facilities.
Through appropriate contractual arrangements Wherever we operate, we engage with communities
and Procurement principles, we expect that our and seek to understand the social, cultural,
consultants, agents, contractors and suppliers environmental and economic implications of
will be made aware of, and comply with, The way our activities, so that we can respond to concerns
we work in all their dealings with or on behalf and work to optimise benefits and reduce negative
of the Group. In our dealings with joint venture impacts, both for the local community and for the
partners and non-controlled companies in which overall economy. We believe that this contribution
we participate, we will make every effort to ensure to development, together with our community
that the standards of conduct in The way we work engagement programmes (which may include
are respected at all times. enterprise development, training, employment,
community-based health and social and cultural
heritage initiatives), can further contribute to the
upholding of human rights.
Left
Health education in
rural village near Rio
Tinto Iron Ore Project,
Simandou, Guinea.
89
rights matter
References
Appendix B: Our voluntary commitments

related to human rights
As a group, Rio Tinto has made voluntary commitments to several initiatives which
make explicit reference to human rights. These include the:
– OECD Guidelines for Multinational Enterprises, which incorporate the UN Guiding
Principles on Business and Human Rights.
– Voluntary Principles on Security and Human Rights.
– ILO Declaration on Fundamental Principles and Rights at Work.
– UN Global Compact.
– International Council on Mining and Metals Sustainable Development Framework.
– Responsible Jewellery Council.
It is mandatory for all business units to comply with a freely available website that helps businesses
Group voluntary commitments. identify, assess and address human rights risks
in specific countries. As noted above, Rio Tinto is
Rio Tinto is committed to playing our part in the a member of the UNGC’s Human Rights Working
achievement of the Millennium Development Goals Group (http://www.unglobalcompact.org/issues/
(MDGs). Since 2009 our communities global target human_rights/Human_Rights_Working_Group.html)
states: ‘All operations to have locally appropriate, and also provides input into human rights initiatives
publicly reported social performance indicators that led by the International Council on Mining and Metals
demonstrate a positive contribution to the economic (http://www.icmm.com/page/225/business-and-
development of the communities and regions human-rights).
where we work, consistent with the Millennium
Development Goals, by 2013’.
Rio Tinto has also publicly expressed support for the: The Millennium Development Goals
– Universal Declaration of Human Rights.
The Millennium Development Goals (MDGs) are eight
– International Labour Organization Convention 169:
international development goals, adopted
Concerning Indigenous and Tribal Peoples
by all 193 UN members in 2000, which recognise
in Independent Countries.
explicitly the relationships between growth, poverty
–E xtractive Industries Transparency Initiative.
and sustainable development. Signatories have
– Global Sullivan Principles of Social Responsibility.
agreed to endeavour to achieve these goals by 2015:
(See http://compliance.riotinto.org/
Goal 1: Eradicate extreme poverty and hunger.
voluntarycommitments.asp for a full list of Rio
Goal 2: Achieve universal primary education.
Tinto’s voluntary commitments and supported
Goal 3: P
romote gender equality and
agreements.)
empower women.
Rio Tinto has also entered into partnerships to Goal 4: Reduce child mortality.
promote and contribute to the broader business and Goal 5: Improve maternal health.
human rights discourse. In 2011, Rio Tinto and the Goal 6: Combat HIV/AIDS, malaria and other diseases.
Danish Institute for Human Rights (DIHR) signed a Goal 7: Ensure environmental sustainability.
three-year agreement to collaborate on developing Goal 8: Develop a Global Partnership
and promoting human rights tools for international for Development.
businesses and on further enhancing Rio Tinto’s
Read more about Rio Tinto’s commitment to the
global human rights policies. Under the agreement,
MDGs at http://www.riotinto.com/ourapproach/
Rio Tinto provides support for the expansion of the
mdg.asp
DIHR’s Human Rights and Business Country Portal,
90
rights matter
References
Rio Tinto’s policies, standards and guidances
Full documents available to Rio Tinto employees on Prospect:
Group-wide Other functions

– The way we work – Procurement principles
– Human rights policy – Implementing security and human rights
– Human rights guidance principles guidance note
– New country entry procedure – Providing support to public security forces
guidance note
Communities and social performance – Land access policy
– Communities policy – Closure standard
– Communities standard
– Communities and social performance multi-
year planning guidance
– Communities and social performance
target guidance
– Community agreements guidance
– Community complaints, disputes,
grievance guidance
– Community consultation and
engagement guidance
– Community contributions and activities guidance
– Community trust, funds and foundations guidance
– Compensation and benefits for land
access guidance
– CSP site managed assessment guidance
– Cultural heritage management guidance
– Cultural heritage management standard for
Australian businesses
– Cultural heritage management system guidance
for Australian businesses
– Resettlement guidance
– Social impact assessment guidance
– Social risk analysis guidance
– Socioeconomic knowledge base guidance
– Why cultural heritage matters: A resource guide
for integrating cultural heritage management
into Communities work at Rio Tinto
–W hy gender matters: A resource guide for
integrating gender into Communities work
at Rio Tinto
91
rights matter
References
Key websites
BASESWiki: Business and Society Exploring Solutions, A dispute resolution community
www.baseswiki.org
Business and Human Rights Resource Centre

www.business-humanrights.org
SRSG Portal
www.business-humanrights.org/SpecialRepPortal/Home
Extractives Industry Transparency Initiative

www.eiti.org
IFC Performance Standards on Social and Environmental Sustainability

www1.ifc.org/wps/wcm/connect/Topics_Ext_Content/IFC_External_Corporate_Site/IFC+Sustainability/
Sustainability+Framework/Sustainability+Framework+-+2012/Performance+Standards+and+Guidance+
Notes+2012/
IFC, UN Global Compact, IBLF – Online Guide to Human Rights Impact Assessment and Management
www.guidetohriam.org/welcome
International Labour Organization (ILO)

www.ilo.org
ISO 26000 on Social Responsibility

www.iso.org/iso/iso26000
OECD Guidelines on Multinational Enterprises

www.oecd.org/document/28/0,3343,en_2649_34889_2397532_1_1_1_1,00.html
UN Office of the High Commissioner for Human Rights (OHCHR)

www.ohchr.org
UN Working Group on Business and Human Rights

www.ohchr.org/EN/Issues/Business/Pages/WGHRandtransnationalcorporationsandotherbusiness.aspx
United Nations Global Compact

www.unglobalcompact.org
UN Global Compact, and OHCHR - Human Rights and Business Learning Tool
www2.ohchr.org/training/ungchr_demo/ungchr_demo/index.html
Voluntary Principles on Security and Human Rights

www.voluntaryprinciples.org
UN Special Rapporteur on the Rights of Indigenous peoples

www.ohchr.org/EN/Issues/IPeoples/SRIndigenousPeoples/Pages/SRIPeoplesIndex.aspx
Business and human rights organisations

Business Leaders Initiative on Human Rights
http://blihr.org/
Danish Institute for Human Rights: Human Rights and Business Department
www.humanrightsbusiness.org/country+portal
Global Business Initiative on Human Rights

www.global-business-initiative.org
Institute for Human Rights and Business

www.institutehrb.org
Shift
http://shiftproject.org/
92
rights matter
References
List of acronyms
ADB Asian Development Bank
AKDC Asap Koyan Development Committee
AMM Argyle Manufacturing Model
BSR Business for Social Responsibility
CEO Chief Executive Officer
CHMP Community Health Management Plan
COP Communication on Progress
CSEA Rio Tinto’s Sustainability Committee
CSP Communities and Social Performance
CSR Europe Corporate Social Responsibility, Europe
DIHR Danish Institute for Human Rights
EPCM Engineering, Procurement, and Construction Management
FPIC Free, Prior and Informed Consent
UNGC UN Global Compact
GRI Global Reporting Initiative
HEP Hydroelectric Power
HRCA Human Rights Compliance Assessment
HRIA Human Rights Impact Assessment
HSEC Health, Safety, Environment and Communities
HSEQ Rio Tinto’s Health, Safety, Environment and Quality
IBLF International Business Leaders Forum
ICMM International Council on Mining and Metals
ICQ Internal Control Questionnaire
IFC International Finance Corporation
ILO International Labour Organization
LTIFRs Lost Time Injury Frequency Rates
MDGs UN Millennium Development Goals
mW Megawatts
NGO Non-Governmental Organisation
NREB Natural Resources and Environmental Board
93
rights matter
References
PPE Personal Protective Equipment
RTBS / SEART Rio Tinto Business Solution / Social and Environmental Assurance Reporting Tool
SEIA Social and Environmental Impact Assessment
SCORE Sarawak Corridor of Renewable Energy
SIA Social Impact Assessment
SMA Site Managed Assessment
SRA Social Risk Analysis
SSA Socioeconomic Situational Analysis
STI Sexually Transmitted Infections
TAFE Technical and Further Education
TEG Technical Evaluation Group
UN United Nations
UNICEF United Nations Children’s Fund
UNDP United Nations Development Programme
94
rights matter
References
Reference list
Abrahams, D. and Wyss, Y. (2010) Guide to Human Rights Impact Assessment and Management.
International Business Leaders Forum, International Finance Corporation, and UN Global Compact.
Baab, M. and Jungk, M. (2009) The Arc of Human Rights Priorities: A New Model for Managing Business
Risks. Danish Institute for Human Rights/ United Nations Global Compact, p.24
Boesen, J.K. and Martin, T. (2007) Applying a Rights-based Approach: An Inspirational Guide for Civil
Society. Danish Institute for Human Rights.
Bradshaw, E., Bryant, K. et. al. (2011) Why cultural heritage matters: A resource guide for integrating
cultural heritage management into Communities work at Rio Tinto. The Centre for Social Responsibility
in Mining and Rio Tinto. Available at: http://www.riotinto.com.au/documents/Rio_Tinto_Cultural_
Heritage_Guide.pdf
BSR and CSR Europe (2001) Measuring and Reporting on Corporate Performance on Human Rights.
Business for Social Responsibility Educational Fund.
Business & Human Rights Initiative (2010) How to Do Business with Respect for Human Rights:
A Guidance Tool for Companies. The Hague. Global Compact Network Netherlands.
Castan Centre for Human Rights Law, International Business Leaders Forum, and Office of the High
Commissioner for Human Rights (2008) Human Rights Translated: A Business Reference Guide. UN
Global Compact.
Compliance Advisor Ombudsman (2008) Advisory Note: A Guide to Designing and Implementing
Grievance Mechanisms for Development Projects. International Finance Corporation. Washington D.C., 88.
Available at: http://www.cao-ombudsman.org/howwework/advisor/documents/implemgrieveng.pdf
Danish Institute for Human Rights (2006) Human Rights Compliance Assessment (HRCA): Quick Check.
Available at: http://www.humanrightsbusiness.org/?f=compliance_assessment
Doohan, K. (2007) Making Things Come Good: Relations between Aborigines and Miners at Argyle.
Broome: Backroom Press.
Global Reporting Initiative, Realizing Rights, and UN Global Compact (2009) A Resource Guide to
Human Rights Reporting. GRI Research and Development Series. Available at: https://www.global
reporting.org/resourcelibrary/A-Resource-Guide-to-Corporate-Human-Rights-Reporting.pdf
Institute for Human Rights and Business (2011) The ‘State of Play’ of Human Rights Due Diligence:
Anticipating the Next Five Years. Volume 1: General Overview. London.
International Alert (2005) Conflict-sensitive Business Practice: Guidance for Extractive Industries.
Available at: http://www.iisd.org/pdf/2005/security_conflict_sensitive_business.pdf.
International Council on Mining and Metals (2008) Position Statement on Indigenous peoples. P.4.
International Council on Mining and Metals (2009) Human Rights in the Mining & Metals Industry:
Overview, Management Approaches and Issues, May 2009. p.36.
International Council on Mining and Metals (2009) Human Rights in the Mining & Metals Industry:
Handling and Resolving Local Level Concerns and Grievances, October 2009. p.28.
International Council on Mining and Metals (2010) Good Practice Guide: Indigenous peoples and Mining.
London, ICMM.
International Council on Mining and Metals (2012) Human rights in the mining and metals industry:
Integrating human rights due diligence into corporate risk management processes, March 2012. p64.
International Finance Corporation (2012) Performance Standards on Social and Environmental

Sustainability. World Bank Group.
95
rights matter
References
International Labour Organization (2012) Conventions. Available at: http://www.ilo.org/dyn/normlex/

en/f?p=1000:12000:1473829630687147::NO
Kemp, D. and Keenan, J. (2009) Why gender matters: a resource guide for integrating gender considerations
into Communities work at Rio Tinto. The Centre for Social Responsibility in Mining and Rio Tinto: 104.
Available at: http://www.riotinto.com/documents/ReportsPublications/Rio_Tinto_gender_guide.pdf
Lehr, A. K. and Smith, G. A. (2010) Implementing a Free, Prior and Informed Consent Policy: Benefits and
Challenges. Foley Hoag LLP.
Lenzen, O. and d’Engelbronner, M. (2009) Human rights in business: Guide to corporate human rights impact
assessment tools. Aim for Human Rights. p. 9-10.
Office of the High Commissioner for Human Rights (2012) The Corporate Responsibility to Respect Human
Rights: An Interpretive Guide. United Nations. New York and Geneva. Available at: http://www.ohchr.org/
Documents/Issues/Business/RtRInterpretativeGuide.pdf
Office of the United Nations High Commissioner for Human Rights (2006) Frequently Asked Questions on
a Human Rights-Based Approach to Development Cooperation. New York and Geneva: United Nations.
Organisation for the Economic Co-operation and Development (2011) OECD Guidelines on Multinational
Enterprises (2011 Update). 25 May 2011. Available at: http://www.oecd.org/document/28/0,3343,
en_2649_34889_2397532_1_1_1_1,00.html
Rights and Democracy (2008) Getting It Right: A Step by Step Guide to Assess the Impact of Foreign
Investments on Human Rights. International Centre for Human Rights and Democratic Development.
Ruggie, J. (2007) Human rights impact assessments – resolving key methodological questions.
Implementation of General Assembly Resolution 60/251 of 15 March 2006 Entitled “Human Rights Council”.
4th Session: 4-8.
Ruggie. J. (2008) Protect, Respect and Remedy: a Framework for Business and Human Rights. Human Rights
Council. 8th Session, Agenda item 3. 7 April 2008. Available at: http://www.reports-and-materials.org/
Ruggie-report-7-Apr-2008.pdf.
Ruggie, J. (2011) Guiding Principles on Business and Human Rights: Implementing the United Nations
“Protect, Respect and Remedy” Framework. Human Rights Council. 17th Session. Available at: http://www.
business-humanrights.org/media/documents/ruggie/ruggie-guiding-principles-21-mar-2011.pdfhttp://www.
business-humanrights.org/media/documents/ruggie/ruggie-guiding-principles-21-mar-2011.pdf
Taylor, M., Zandvliet L., et. al. (2009) Due Diligence for Human Rights: A Risk-Based Approach.
Working Paper No. 53. Corporate Social Responsibility Initiative. Harvard University: p.9.
Tripathi, S., Godnick, W., et. al. (2008) Voluntary Principles on Security and Human Rights: Performance
Indicators. International Alert.
United Nations (2010) 64/292. The human right to water and sanitation. Resolution Adopted by the
General Assembly. 64th Session.
United Nations Development Programme (2007) Gender Mainstreaming in Practice: A Toolkit. Regional
Programme of the United Nations Development Programme’s Regional Bureau for Europe and the CIS.
United Nations Development Programme (2007) Human Rights and the Millennium Development Goals:
Making the Link.
96
Major operations and projects
Iceland
Norway
Canada
Mongolia
United Kingdom
France
United States Serbia
Oman India
Guinea Ghana
Cameroon
Malaysia
Indonesia
Peru
Brazil
Mozambique
Zimbabwe
Namibia
Madagascar
Australia
Chile South Africa
Argentina
New Zealand
For further information or to

provide feedback, please contact:
Elizabeth Bradshaw
Principal advisor
Communities and Cultural Heritage
Rio Tinto
Email: elizabeth.bradshaw@riotinto.com
Design by Studio Round
© Rio Tinto plc and Rio Tinto Limited 2013

Rio Tinto Limited Rio Tinto plc
120 Collins Street 2 Eastbourne Terrace
Melbourne London
Victoria 3000 W2 6LG
Australia United Kingdom
+61 (0) 3 9283 3333 +44 (0) 20 7781 2000
www.riotinto.com

RT Why Human Rights Matter en

Uploaded by

Copyright:

Available Formats

RT Why Human Rights Matter en

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

RT Why Human Rights Matter en

Uploaded by

Copyright:

Available Formats

Why human January 2013 A resource guide for integrating human rights

rights matter riotinto.com into Communities and Social Performance work

Rio Tinto is a global leader in finding, mining and processing mineral

Why human rights matter:

3. Background reader (refer to disk attached)

1 Rio Tinto in the East Kimberley, Australia

2 Rio Tinto in Zvishavane, Zimbabwe

3 Rio Tinto at La Granja, Peru

4 Rio Tinto at Simandou, Guinea

5 Rio Tinto in Sarawak, Malaysia

6 Rio Tinto in the Pilbara, Australia

7 Rio Tinto in Bundelkhand, India

8 Rio Tinto at Oyu Tolgoi, Mongolia

9 Rio Tinto Exploration in Orientale, Democratic Republic of Congo

10 Rio Tinto in India

11 Rio Tinto in Weipa, Australia

12 Rio Tinto in Kelian, Indonesia

At Rio Tinto our respect for human rights

Contributors to this guide

How to guide Background reader

Bruce Harvey Vicky Bowman

Rio Tinto Internal Working Group

Jane Gronow (Project leader)

Dr Chris Anderson Lisa Dean Simon Wake

Isabelle Brissette Angela Mullany

External Review Panel

Luis Fernando de Angulo Kathryn Dovey Daniel Simard

Case study contributors

We would also like to acknowledge Catherine Garcia Vikram Merchant

What are human rights?

(Adapted from IFC (2010) Human Rights Impact

The UN Guiding Principles require businesses to

These elements are outlined in Rio Tinto’s

This guide explains how to use our established

How to integrate human rights into our work

Box 5: What is human rights due diligence?

Seek to ensure human rights awareness 4. Report and communicate

3. Monitor, evaluate and improve The following sections provide guidance on

Regularly review and assess our human rights

As appropriate, align human rights factors with

Ensure these human rights indicators and

Act on findings to improve projects and

Figure 1. Four phases of integrating human rights into CSP work

– Know the human rights – Integrate human rights

– Engagement that aligns with

– Report and communicate – Monitor and evaluate progress in

2.1 At the centre: inclusive engagement 20

2.2 Know and understand 34

2.3 Plan and implement 53

2.4 Monitor, evaluate and improve 71

2.5 Report and communicate 84

2.1 At the centre - inclusive engagement

It is crucial to engage with our host communities

[ √ ] Does your business proactively share timely,

[ √ ] Are there multiple avenues for communities

Rio Tinto Alcan employees Box 6: Stakeholders and rights-holders

Box 7: Vulnerable and ‘at risk’ – a note on terminology

2.1.1 ‘Process’ principles of engagement

Human rights due diligence relates to ‘process’

1 Rio Tinto in the East Kimberley, Australia

2 Rio Tinto in Zvishavane, Zimbabwe

3 Rio Tinto at La Granja, Peru

4 Rio Tinto at Simandou, Guinea

5 Rio Tinto in Sarawak, Malaysia

6 Rio Tinto in the Pilbara, Australia

7 Rio Tinto in Bundelkhand, India

9 Rio Tinto Exploration in Orientale, Democratic Republic of Congo

10 Rio Tinto in India

11 Rio Tinto in Weipa, Australia

12 Rio Tinto in Kelian, Indonesia

– Know the human rights – Integrate human rights

– Engagement that aligns with

– Report and communicate – Monitor and evaluate progress in

2.1 At the centre: inclusive engagement 20

2.2 Know and understand 34

2.3 Plan and implement 53

2.4 Monitor, evaluate and improve 71

2.5 Report and communicate 84

– Are there any human rights abuses that may be

inancial support was provided to the Asap Koyan