Report of National Contact Points to the Investment Committee

Common Framework for Annual Reporting by National Contact Points for the period 1 July 2011-30 June 2012

In accordance with Section D of the Procedural Guidance [as revised by C(2011)11/FINAL]¹ NCPs must report annually to the Investment Committee on the nature and results of their activities to further the effectiveness of the Guidelines for Multinational Enterprises, including implementation activities in specific instances, to the Investment Committee.

This Common Reporting Framework is designed to assist NCPs in preparing these reports, which then provide the basis for preparing the Chair’s Annual Report to Council on the Activities on the NCPs. The 2012 Annual Report will be the first to report on how NCPs have carried out their duties during the first year of operation of the 2011 updated Guidelines, which were adopted at the OECD Ministerial Meeting of 25-26 May 2011.

The questions of the Reporting Framework have been developed in consultation with the Chair of the June 2012 NCP meeting, taking into account the results of the Update. In view of the informal OECD six months period for the implementation of the new provisions and the non retroactive application of the revised Guidelines, it is acknowledged that NCPs might not be in a position to answer all the questions contained in the Reporting Framework, particularly for specific instances received prior to the adoption of the updated Guidelines.

The 2012 Chair’s Annual Report will be discussed at the next NCP meeting which is scheduled to take place on Tuesday 19 June and Wednesday 20 June 2012. The Chair of the Norwegian NCP, Professor Hans Petter Graver, Dean of the Faculty of Law, University of Oslo, has kindly agreed to preside over this meeting.

Timely submission of NCPs annual reports will be essential for the preparation of this meeting. NCPs are therefore invited to send these reports to the Secretariat by c.o.b. Friday, 4 May 2012 - alberta.fumo@oecd.org and wendy.houet@oecd.org.

Common Framework for Annual Reporting by National Contact Points for the period 1 July 2011-30 June 2012

The role of National Contact Points is to further the effectiveness of the Guidelines. Under Part I of the Procedural Guidance, “NCPs will operate in accordance with core criteria of visibility, accessibility, transparency and accountability to further the objective of functional equivalence.” These criteria apply to all the activities carried by NCPs, including those to be reported under the current implementation cycle of the Guidelines.

A. Institutional Arrangements

1. The following template aims at collecting relevant information about the structure and organization of National Contact Points. It reflects the updated Section A of the Procedural Guidance and related Commentary, concerning the composition of the NCP and the possible existence of an advisory body and an oversight body.

Please complete with relevant information and contact details. Please indicate in particular any institutional changes made, or contemplated, as a result of the update. As regards the composition of the NCP, please also indicate whether the NCP is chaired by a senior government official or high level/ well known expert on responsible business conduct.

Governmental Location of the NCP : The NCP is an interdepartmental committee composed of eight departments chaired by the Department of Foreign Affairs and International Trade (DFAIT) and co-chaired by the Department of Natural Resources at the Director-General level. The Secretariat of the NCP is located in the International Trade Portfolio and Responsible Business Conduct Division, of DFAIT.
NCP structure* : Interagency
Composition of the NCP :The NCP is composed of eight member departments. Other members are: Natural Resources Canada (NRCan), Industry Canada (IC), Human Resources and Skills Development Canada (HRSDC), Environment Canada (EC), Finance Canada (FIN), the Canadian International Development Agency (CIDA), and Aboriginal Affairs and Northern Development Canada (AANDC)
Advisory body : N/A
Oversight body :N/A
Contact details : Canada’s National Contact Point (BTS) 125 Sussex Drive Ottawa, ON Canada K1A 0G2 E-mail: ncp.pcn@international.gc.ca  Tel: (613) 996-0245

Section on “NCP Structure” should be filled, as appropriate, indicating one of the following possible structures:

• Monopartite, i.e. the NCP is composed of one or more representatives of one Ministry
• Interagency. i.e. the NCP is composed of one or more representatives of two or more Ministries
• Bipartite: the NCP is composed of one or more representatives of Ministry/Ministries and of representative/s of business association/s or trade union/s
• Tripartite: the NCP is composed of one or more representatives of Ministry/Ministries, business association/s and trade union/s
• Quadripartite: the NCP is composed of one or more representatives of Ministry/Ministries, business association/s, trade union/s and non-governmental organization/s
• Independent Expert Body: the NCP is composed only of independent experts

2. What is the rationale behind the choice of the NCP organizational structure and for possible future changes to this existing structure?

Each of the eight member departments has a degree of expertise in their respective areas of responsibility. Each department is thus able to contribute their expertise and views during consultations. The Canadian NCP believes the fulfilling of its mandate and the quality of its work is enhanced by including relevant departments in its institutional structure.

3. Please indicate, if possible by providing examples, how the structure and organization of the NCP “provide an effective basis for dealing with the broad range of issues covered by the Guidelines and enable the NCP to operate in an impartial manner while maintaining an adequate level of accountability to the adhering government” (Procedural Guidance, I.A.1)

Each of the eight member departments is a full participant in the meetings and discussions on every subject on the NCP’s agenda and work plan. The Canadian NCP operates by seeking to build consensus. Thus, the positions adopted by the NCP never reflect strictly one department’s view. The views of all eight departments are taken into account and by ensuring their presence and participation at the table, the process is efficient and accountable.

4.“NCPs will develop and maintain relations with representatives of the business community, worker organizations and other interested parties that are able to contribute to the effective functioning of the Guidelines.” (Procedural Guidance, I. A.3). Please provide details of activities (meetings or exchanges of information…) held with stakeholders during the reporting period (in case stakeholders are not in the NCP formal structure).

The Canadian NCP’s key business and labour interlocutors on the Guidelines are the Canadian Chamber of Commerce (CCC), the Canadian Labour Congress (CLC) and the Confédération des syndicats nationaux (CSN). The NCP also has frequent contact with industry associations and domestic and international NGOs. The Canadian NCP has been actively engaged in the implementation of the updated Guidelines since their adoption on May 25, 2011. The NCP’s first “information session for stakeholders” was held on October 27, 2011. Approximately twenty-five representatives of the NCP’s social partners, as well as the NGO, academia and business communities attended. On November 1, 2011, the NCP’s Chair, Secretariat, as well as representatives from the Department of Human Resources and Skills Development participated in a webinar presentation hosted by the Canadian Labour Congress (CLC). Approximately 20 CLC members participated from across the country.

The Chair of the NCP spoke on May 4, 2012, about the Guidelines and the NCP’s experience at a public seminar at the Institute for the Study of Corporate Social Responsibility at Ryerson University, in partnership with the Office of the Extractive Sector CSR Counsellor.

5. Does the NCP coordinate with related government activities on responsible business conduct? Please elaborate, as appropriate. (e.g. implementation of the UN Guiding Principles for Business and Human Rights).

Yes, the Canadian NCP does coordinate with related government activities on responsible business conduct. Members of the NCP are also involved in other overlapping Corporate Social Responsibility (CSR) committees and initiatives. As such, opportunities for simultaneous promotion and the sharing of information are always identified and leveraged where possible.

6. “Adhering countries shall make available necessary human and financial resources to their National Contact Points so that they can effectively fulfill their responsibilities, taking into account internal budgetary priorities and practices.” (Council Decision, I.4).

Has this new provision led to changes to the human resources and budget arrangements for the NCP? Are changes contemplated for the future? Please elaborate as appropriate. The Chair and the Secretariat for the NCP are provided by the Department of Foreign Affairs and International Trade (DFAIT). The new provision has not affected the human resources and budget arrangements for the NCP.

B. Information and Promotion

Section B of the Procedural Guidance requires NCPs to raise awareness of the Guidelines and their implementation procedures with stakeholders, partner organizations and interested public, and to actively promote their use. Cooperation between NCPs, stakeholder institutional networks and partner organizations can play an important role in enhancing the effectiveness of information and promotional activities on the Guidelines.

7. “The National Contact Points will 1. make the Guidelines known and available by appropriate means, including through online information, and in national languages. (…) . raise awareness of the Guidelines and their implementation procedures (…). (Procedural Guidance, I.B.1-2)

Does the NCP have a dedicated website or dedicated webpages? Please provide the exact link.

• Yes, the Canadian NCP website may be accessed at: www.ncp.gc.ca (English) www.pcn.gc.ca (French)
  • Have the 2011 Guidelines been translated into the national language/s? Any other? Are they available online? Are they made available by other appropriate means? (Printed version of the translated texts, brochures, etc. If so, please elaborate)
• Links are provided from the Canadian NCP’s website to the Guidelines on the OECD website.
  • Has your NCP Annual Report to the OECD been made available online? If yes, in which language?
• Yes, the Canadian NCP’s annual report is available on the NCP website in both English and French.
  • Has your NCP Annual Report to the OECD been disseminated by means other than the web? If yes, which ones and in which language?
• The NCP has provided stakeholders and other interested parties with the link to the website to access the annual report.
  • Is the NCP required to report within the Government on a regular basis its activities? For example to Parliament?
• The NCP provides regular status reports, updates and briefings to the Office of the Minister of International Trade and the other member Departments’ Ministers offices, as required.
  • Does the NCP conduct surveys or collect data documenting enterprises’ awareness and use of the Guidelines, such as references in corporate codes of conduct? Please provide relevant details.
• While the NCP itself has not conducted such a survey, the CSR Unit of DFAIT conducted such a survey of companies in early in 2012 regarding their awareness and implementation of several CSR standards, including the OECD Guidelines for MNEs. NRCan is presently conducting research on CSR which includes data related to knowledge of the OECD Guidelines by Canadian extractive industries working abroad.

8. “NCPs will raise awareness of the Guidelines and their implementation procedures, including through co-operation, as appropriate, with the business community, worker organisations, other nongovernmental organisations, and the interested public.” (Procedural Guidance, I.B.2).

“NCPs will co-operate with a wide variety of organizations and individuals, including, as appropriate, the business community, worker organisations, other non-governmental organisations, and other interested parties. Such organisations have a strong stake in the promotion of the Guidelines and their institutional networks provide opportunities for promotion that, if used for this purpose, will greatly enhance the efforts of NCPs in this regard.” (Procedural Guidance, Commentary, I.16) “Prospective investors (inward and outward) should be informed about the Guidelines as appropriate.” (Procedural Guidance, I.B.1)

A. How does the NCP promote the Guidelines and their implementation procedures? Does the NCP have a promotional plan on the Guidelines? If yes, please elaborate.

• Promoting the Guidelines within the government is an essential aspect of the NCP’s responsibility to raise awareness of the instrument. A number of departments and agencies interact directly with the business community, labour groups and NGOs through their programs and consultative activities. This is an important channel for alerting these groups of Canada’s commitment to support the Guidelines. The interdepartmental structure of the NCP greatly facilitates promotion within government.
• Primary focus is being given to the extractive sector (mining, oil and gas), the focus of the Government of Canada CSR Strategy. Because Canada is a major player in the global extractive sector, both the Canadian Government and Canadian industry share an interest in maintaining Canada’s leadership in this sector, and ensuring that Canadian businesses contribute positively to the broader social, environmental, and economic objectives of the countries and communities in which they operate. Promoting the Guidelines in this sector is a concrete way for the Government to engage Canadian companies in supporting these objectives.
• Canadian embassies, high commissions and other Government of Canada offices domestically and abroad provide support and services to Canadian firms interested in expanding their international business operations. The Government of Canada’s commitment to the OECD Guidelines and CSR, along with the government’s expectations to both Canadian and local business audiences as well as relevant stakeholders are communicated to businesses through these offices.
• Officials from all the departments in Canada's NCP have participated in a variety of workshops, forums and conferences where they have made reference to the OECD Guidelines and the NCP. These fora include:
  • the annual Prospectors and Developers Association of Canada International Convention;
  • the inaugural meeting of the Industry Association Sustainability Council, March 2012;
  • workshops and information sessions for heads of missions and trade commissioners;
  • CSR workshops and conferences in various parts of the world;
  • international multistakeholder venues, including at the UN;
  • international fora, such as the Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development;
  • the Inter-American Development Bank Annual Meeting and Business Forum;
  • presentations to visiting delegations; and,
  • internal training, workshop and seminars.
  • The NCP has also had a series of CSR-related articles published in the DFAIT CanadExport newsletter designed for Canadian exporters, including one on the OECD Guidelines and the NCP.
  • The various departments have also been involved in preparing a variety of communications and marketing materials, including pamphlets and posters, to promote the OECD Guidelines and Bullding the Canadian Advantage, the Government of Canada CSR Strategy. Furthermore, several departments, including DFAIT and IC, have websites that make specific reference to the OECD Guidelines.

B. Did the NCP organise or participate in meetings/seminars/conferences to promote the Guidelines and their implementation procedures? Please elaborate with reference to the reporting period.

• Please see the answers to questions 4 and 8.a. above.

C. How has the NCP made use of available institutional networks or representatives of the business community, worker organisations, non-governmental organisations and the interested public to raise awareness and promote the Guidelines and their implementation procedures?

• Please see the answers to questions 4 and 8.a. above.

D. How does the NCP promote the Guidelines within Government?

• Please elaborate. Please see the answer to question 8.a. above. Some departments also have CSR specific wikis for internal purposes and the OECD Guidelines are noted there. As well, Sustainability Intelligence Profiles developed on a company-by-company basis for internal use also noted which standards/codes of conduct are adopted by companies.

E. How is co-operation with state entities (export credits agency, investment state-owned enterprises, overseas investment guarantee and inward investment promotion programs,..) organized, in matters concerning information and promotion of the Guidelines and their implementation?

• The NCP is also invited to update (in tracked change mode) Annex 1, which describes the links that have been established between the Guidelines and the Export Credit, Overseas Investment Guarantee and Inward Investment Promotion Programs. Export Development Canada (EDC) is the export credit agency of Canada. It is not a member of the NCP. However, the NCP routinely liaises with EDC regarding matters involving CSR. EDC also participates regularly in inter-departmental CSR meetings.

F. What use has been made of embassies, notably in emerging markets and other non-adhering countries for raising awareness and promoting the Guidelines?

• Please see the answer to question 8.a. above.

G. Does the NCP relate to OECD partner organizations and/or other leading corporate responsibility instruments, such as the ILO/ILO Conventions/ILO Tripartite Declaration on Multinational Enterprises and Social Policy, the UN Global Compact and its local networks, the UN High Commissioner on Human Rights, the Global Reporting Initiative? Please elaborate as appropriate.

• Yes, the NCP does relate to the OECD partner organizations and other leading CSR instruments. Members of the Canadian NCP from various ministries are often involved in various CSR files from their respective ministry’s jurisdiction. Thus, the Canadian NCP representative from the Ministry of Human Resources and Skills Development Canada (HRSDC) is engaged and monitors developments relating to the ILO, ILO Conventions, and the ILO Tripartite Declaration on Multinational Enterprises and Social Policy. Similarly, the representatives from Industry Canada and NRCan were actively engaged in the development of the ISO 26000 standards, and the Industry Canada representative monitors developments relating to the Global Reporting Initiative. Furthermore, the Government of Canada CSR Strategy specifically targets the OECD Guideline for Multinational Enterprises, the Voluntary Principles on Security and Human Rights, the IFC Performance Standards and the Global Reporting initiative as standards to be promoted by government and used by Canadian extractive industries working abroad.

H. Have enquiries been received on the Guidelines and their implementation procedures from: (a) other NCPs; (b) the business community, labour organisations, other non-governmental organisations, or the public; or (c) governments of non-adhering countries? Please elaborate on the nature and content of these enquiries where appropriate and on how they were handled.

• A number of inquiries about the Guidelines were received by the NCP in the past year. Inquiries received via e-mail are often from think-tanks, academic institutions and students looking for information on Canada’s experiences with the Guidelines. Other inquiries come through meetings with businesses or NGOs. Canadian embassies, high commissions, and other DFAIT offices in Canada and abroad have also requested information on the Canadian NCP. Often such inquiries are about the nature of the Guidelines and their possible application in certain situations. As well, the Guidelines are occasionally raised in public correspondence with Ministers.
• Inquiries were also received from other NCPs regarding the institutional structure of the Canadian NCP and the procedures used in dealing with different issues. The Canadian NCP also consulted with a number of other NCPs on similar matters

C. Implementation in Specific Instances

Section C of the revised Procedural Guidance requires NCPs to handle specific instances in a way that is “impartial, predictable, equitable and compatible with the Guidelines” (in addition to the “core criteria of visibility, accessibility, transparency and accountability” listed in the chapeau of the present questionnaire). The revised Procedural Guidance also includes new provisions on the stages of the specific instance process and indicative timeframes, NCPs cooperation, parallel proceedings and the publication of the results of the procedures.

General Information on NCP Procedures

9. “NCPs should provide information on the procedures that parties should follow when raising or responding to a specific instance. It should include advice on the information that is necessary to raise a specific instance, the requirements for parties participating in specific instances, including confidentiality, and the processes and indicative timeframes that will be followed”. (Procedural Guidance, Commentary, I.15)

• Has the NCP developed procedures for handling complaints? If yes, in which language/s? Are they available online? If no, how are they made available to the public?
  • The Canadian NCP has created a Procedures Guide and made it available on the NCP website in both English and French.
• Have the NCP procedures for handling complaints been modified as a result of the revised Procedural Guidance? If not, is this being envisaged ? In next year’s implementation phase of the Guidelines?
  • Yes, the Canadian NCP Procedures Guide was updated following the 2011 changes to the Guidelines in order to reflect the new provisions in the Procedural Guidance Chapter and Commentaries.

Specific Instances during the Reporting Period

This section is devoted to the activities of NCPs in relation to specific instances that were raised, considered or concluded during the June 2011-2012 reporting cycle . The following questions have been developed with a view to the revised Procedural Guidance, Section C and related Commentary I, 22-41. Please ensure that the information submitted is suitable for public dissemination.

10. Please fill in, where appropriate (and subject to any relevant confidentiality provisions in the Procedural Guidance and Commentary), the following template for each specific instance received, under consideration or concluded in the reporting period.

• Sector and Country : Example : Nickel Sector in the Philippines
• Date complaint received : dd/mm/yyyy
• Complainant/s : Business/ Trade Union/ NGO/Individuals/Other interested parties
• Name of Complainant/s : Example : Future in Our Hands
• Industry sector ²: Mining and Quarrying (C)
• Name of Enterprise/s : Example : Intex Resources ASA
• Relevant Chapter(s) and Paragraph(s) from Guidelines : Example : Chapter II (General Policies),1-3; Chapter VI (Environment), 6

As a general principle, NCPs should strive to conclude the procedure within 12 months from receipt of the specific instance. It is recognized that this timeframe may need to be extended if circumstances warrant it, such as when the issues arise in a non-adhering country. (Procedural Guidance, Commentary, 41)

• Initial Assessment :
  • From specific instance received to it being accepted or rejected
  • Preferably within three months from receipt of the specific instance according to Indicative Timeframe (Procedural Guidance, Commentary, I.40.1)
• Assistance to Parties :
  • From specific instance accepted to conclusion of the procedures -
  • Conclusion of the procedures : From conclusion of the procedures to NCP Final Statement issued.
• From conclusion of the procedures to NCP Final Statement issued.
  • The NCP should issue its statement or report within three months after the conclusion of the procedure. (Procedural Guidance, Commentary, I.40.3)
  • The Canadian NCP is currently dealing with two specific instances.

Gold Mining - Papua New Guinea

The Canadian NCP has also consulted and liaised with other NCPs in which another NCP has the lead in dealing with the particular specific instance.

• Sector and Country: Gold mining. Papua New Guinea
• Date complaint received : 3/3/2011
• Complainant/s : NGO/Community Organizations
• Name of Complainant/s: MiningWatch Canada; Akali Tange Association; Porgera Landowners Association.
• Industry sector 3: Mining and Quarrying (C)
• Name of Enterprise/s : Barrick Gold Corporation
• Relevant Chapter(s) and Paragraph(s) from Guidelines :
  • Chapter II. General Policies, 1, 2, 5, 6, 7, 8, 11
  • Chapter III. Disclosure. 1, 5
  • Chapter V. Environment. Preamble, 1.a., 2.a., 4

As a general principle, NCPs should strive to conclude the procedure within 12 months from receipt of the specific instance. It is recognised that this timeframe may need to be extended if circumstances warrant it, such as when the issues arise in a non-adhering country. (Procedural Guidance, Commentary, 41)

• Initial Assessment :
  • From 01/03/2011 to 19/08/2011
  • From specific instance received to it being accepted or rejected
  • Preferably within three months from receipt of the specific instance according to Indicative Timeframe (Procedural Guidance, Commentary, I.40.1)
• Assistance to Parties :
  • From 19/08/2011 to the present.
  • From specific instance accepted to conclusion of the procedures -
• Conclusion of the procedures :
  • Not yet applicable
  • From conclusion of the procedures to NCP Final Statement issued.
  • The NCP should issue its statement or report within three months after the conclusion of the procedure. (Procedural Guidance, Commentary, I.40.3)

For each specific instance received, under consideration or concluded in the reporting period, please answer as appropriate to the following questions.

• Initial Assessment

• What practical issues arose during the initial assessment of the specific instance? How was the information on the specific instances gathered? Was accessibility to reliable information or the protection of confidentiality or the identity of the parties an issue?
  • Information relating to a specific instance is generally obtained from the parties. Open source information may also be obtained by the NCP.
  • The practical issues that arise in the initial assessment of a specific instance vary on a case by case basis. These may involve the challenge of delays when waiting for a party to provide certain information. The Canadian NCP will generally not finalize an initial assessment before receiving a reply from the MNE involved. Depending on the complexity of the specific instance and the comprehensiveness of the reply, it may take a while to get the MNE’s reply. Further, when sharing the response from one party with another, there are cases where one party may wish to comment and provide a reply. While this helps to provide the NCP with a wider picture of the matter, it causes further delays. The NCP works to treat each specific instance in a timely manner. However, in some cases it has proved to be difficult to complete various phases in the recommended time frame.
  • Confidentiality is often a concern that is raised by one party or another. There is occasionally a difference of opinion as to what should be considered confidential. NGOs filing such requests for review often post them on the internet simultaneously with their filing and at least one NGO publishes its own quarterly NCP case update newsletter. The latter is not an official NCP publication.
• Were the issues raised in the specific instance also been addressed in parallel proceedings? If so, what was the nature of the latter proceedings? Were both parties involved in these proceedings? How did the latter procedure affect the specific instance procedure? Did the NCP consult the institutions conducting the parallel proceedings?
  • There were no parallel proceedings that impacted the NCP’s work.
• At the end of the initial assessment, was the request to consider the specific instance accepted or rejected? Was the specific instance transferred to another NCP? If it was rejected, can you specify why?.
  • This initial assessment in the Porgera case was that the issues raised merited further examination.
• Has the NCP issued a statement/report on its decision that the issues raised merit or did not merit further examination? If so, was it circulated only to the parties involved or made publicly available? Please elaborate.
  • The initial assessment was provided to the parties by means of a letter. The Canadian NCP did not issue any public statement or report on the initial assessment.
  • Assistance to the parties
  • If conciliation or mediation was provided, were these services provided without costs to the parties?
  • Not applicable at the time of writing.
• In what form has the NCP provided its good offices?
  • The NCP has offered its good offices in accordance with the provisions of the Procedural Guidance chapter of the OECD Guidelines. As in all such cases, the Canadian NCP offers to facilitate a dialogue between the parties with a view to assisting them to resolve the issues.
• Conclusion of the procedures
  • Did the parties reach agreement on the issues raised? Please elaborate as appropriate.
    • Not applicable at the time of writing.
  • If an agreement was reached, did the NCP issue a report on the results? How was the agreement made publicly available? Through a press release, publication on the website,..?
    • Not applicable at the time of writing.
  • Where the parties failed to reach agreement, did the NCP issue a statement concluding the specific instance ? Please elaborate as appropriate
    • Not applicable at the time of writing.
  • Did the statement contain recommendations on the implementation of the Guidelines? Did it contain provisions for the monitoring of the implementation of the recommendations? Please elaborate as appropriate.
    • Not applicable at the time of writing.
  • How was the statement made publicly available? Through a press release, publication on the website,..?
    • Not applicable at the time of writing. However, our routine procedure is to post statements on the NCP website after providing them to the parties.
  • Was the NCP further contacted by parties after the conclusion of the specific instance? Please elaborate as appropriate.)
    • Not applicable at the time of writing.
  • Did the statement contain other information on the implementation of the Guidelines? Please elaborate as appropriate.
    • Not applicable at the time of writing.

• NCP coordination
  • Was the specific instance a multi-jurisdictional instance and involved other NCPs? If yes, please specify.
    • No other NCP is involved.
  • If the specific instance takes place among adhering countries, are the home and the host NCPs consulting? Please provide details.
    • Not applicable.
  • Was a leader NCP identified?
    • Not applicable.
  • Are all involved NCPs dealing with the same complaint or are there issues that each NCP is handling separately?
    • Not applicable.
  • Timeframe
    • What was the duration of the specific instance procedure? More specifically, what were the respective lengths of the three intermediate phases (1. initial assessment; 2. assistance to the parties and 3. conclusion of the procedures)? The initial assessment phase took five and a half months. The second phase (“good offices”) is ongoing.
  • Other
    • Has the specific instance involved business activities in a non-adhering country?
      • Yes. Papua New Guinea.
    • Does the specific instance involve a specific business relationship (supplier, subcontractor…)?
      • No. The specific instance does not involve supply chains.
    • Has the home NCP liaised with the parent company of the enterprise party to the specific instance?
      • Yes.
    • Would the NCP care to contribute additional information about the specific instances considered?
      • Not applicable.

Gold Mining - Mongolia

• Sector and Country: Gold mining. Mongolia.
• Date complaint received : 14/03/2012
• Complainant/s: NGOs
• Name of Complainant/s: United Mongolian Movement of Rivers and Lakes (UMMRL), Oyu Tolgoi Watch, MiningWatch Canada
• Industry sector 4 : Mining and Quarrying (C)
• Name of Enterprise/s: Centerra Gold Inc.
• Relevant Chapter(s) and Paragraph(s) from Guidelines
  • Chapter I. Concepts and Principles. 2
  • Chapter II.General Policies. 5, 10, 11
  • Chapter IV. Human Rights. 1
  • Chapter VI. Environment. Preamble, 1, 2(a), 4

• As a general principle, NCPs should strive to conclude the procedure within 12 months from receipt of the specific instance. It is recognised that this timeframe may need to be extended if circumstances warrant it, such as when the issues arise in a non-adhering country. (Procedural Guidance, Commentary, 41)

  • Initial Assessment :
    • From 14/03/2012 to present day
    • From specific instance received to it being accepted or rejected
    • Preferably within three months from receipt of the specific instance according to Indicative Timeframe (Procedural Guidance, Commentary, I.40.1)
  • Assistance to Parties :
    • Not yet applicable
    • From specific instance accepted to conclusion of the procedures -
  • Conclusion of the procedures :
    • Not yet applicable
    • From conclusion of the procedures to NCP Final Statement issued.
    • The NCP should issue its statement or report within three months after the conclusion of the procedure. (Procedural Guidance, Commentary, I.40.
    • A. Initial Assessment
      • What practical issues arose during the initial assessment of the specific instance? How was the information on the specific instances gathered? Was accessibility to reliable information or the protection of confidentiality or the identity of the parties an issue?
        • At the time of writing the NCP has shared the request for review with the company and received its reply. The NCP is currently conducting its initial assessment.
      • Were the issues raised in the specific instance also been addressed in parallel proceedings? If so, what was the nature of the latter proceedings? Were both parties involved in these proceedings? How did the latter procedure affect the specific instance procedure? Did the NCP consult the institutions conducting the parallel proceedings?Were the issues raised in the specific instance also been addressed in parallel proceedings? If so, what was the nature of the latter proceedings? Were both parties involved in these proceedings? How did the latter procedure affect the specific instance procedure? Did the NCP consult the institutions conducting the parallel proceedings?
        • Not applicable at the time of writing.
      • At the end of the initial assessment, was the request to consider the specific instance accepted or rejected? Was the specific instance transferred to another NCP? If it was rejected, can you specify why
        • Not applicable at the time of writing.
      • Has the NCP issued a statement/report on its decision that the issues raised merit or did not merit further examination? If so, was it circulated only to the parties involved or made publicly available? Please elaborate.
        • Not applicable at the time of writing
    • B. Assistance to the parties
      • If conciliation or mediation was provided, were these services provided without costs to the parties?
      • Not applicable at the time of writing.
    • In what form has the NCP provided its good offices?
      • Not applicable at the time of writing
  • C. Conclusion of the procedures
    • Did the parties reach agreement on the issues raised? Please elaborate as appropriate.
      • Not applicable at the time of writing.
    • If an agreement was reached, did the NCP issue a report on the results? How was the agreement made publicly available? Through a press release, publication on the website,..?
      • Not applicable at the time of writing.
    • Where the parties failed to reach agreement, did the NCP issue a statement concluding the specific instance ? Please elaborate as appropriate
      • Not applicable at the time of writing.
    • Did the statement contain recommendations on the implementation of the Guidelines? Did it contain provisions for the monitoring of the implementation of the recommendations? Please elaborate as appropriate.
      • Not applicable at the time of writing.
    • How was the statement made publicly available? Through a press release, publication on the website,..?
      • Not applicable at the time of writing.
    • Was the NCP further contacted by parties after the conclusion of the specific instance? Please elaborate as appropriate.)
      • Not applicable at the time of writing
    • Did the statement contain other information on the implementation of the Guidelines? Please elaborate as appropriate.
      • Not applicable at the time of writing.
  • D. NCP coordination
    • Was the specific instance a multi-jurisdictional instance and involved other NCPs? If yes, please specify.
      • No other NCP is involved in the Mongolia specific instance.
    • If the specific instance takes place among adhering countries, are the home and the host NCPs consulting? Please provide details.
      • Not applicable.
    • Was a leader NCP identified?
      • Not applicable.
    • Are all involved NCPs dealing with the same complaint or are there issues that each NCP is handling separately?
      • Not applicable
  • E. Timeframe
    • What was the duration of the specific instance procedure? More specifically, what were the respective lengths of the three intermediate phases (1. initial assessment; 2. assistance to the parties and 3. conclusion of the procedures)?
      • The initial assessment phase is ongoing.
  • F. Other
    • Has the specific instance involved business activities in a non-adhering country?
      • Yes. Mongolia.
    • Does the specific instance involve a specific business relationship (supplier, subcontractor…)?
      • No. The specific instances do not involve supply chains.
    • Has the home NCP liaised with the parent company of the enterprise party to the specific instance?
      • Yes
    • Would the NCP care to contribute additional information about the specific instances considered?
      • Not applicable

The Canadian NCP has also been involved this year in four specific instances in which four separate NCPs of other countries have had the lead.

1. Zambia – Glencore International AG/First Quantum Minerals Ltd. (Economic Activity: C Mining)
   
   On April 11, 2011, the NCP received a request for review submitted by two NGOs in relation to the operations of Mopani Copper Mines Plc., a company in Zambia which is in turn owned by Glencore International AG (a Swiss company) and First Quantum Minerals Ltd. (a Canadian company). The request for review was also sent to the NCP of Switzerland. Following consultations between the Canadian NCP and the Swiss NCP it was agreed that the Swiss NCP would take the lead in the matter. The Swiss NCP have been consulting with the Canadian NCP and keeping it informed of developments.
   
   
2. Canada – Accor (Economic Activity: H Hotels)
   
   On July 4, 2011, the Canadian NCP was contacted by the French NCP with respect to a request for review the French NCP had received on November 8, 2010, relating to the operations of a French company in Canada. The French NCP asked the Canadian NCP whether it had been involved in the resolution of the case as well as the status of parallel proceedings in Canada. The Canadian NCP replied to the French NCP on July 18, 2011, indicating that it had not been involved in the treatment of the case.
   The Canadian NCP provided a status report on the state of the parallel proceedings in Canada but has otherwise not been involved with this specific instance as the French NCP has continued to have the lead.
   
   
3. Canada – Statoil ASA (Economic Activity: C Oil)
   
   On December 7, 2011, the Canadian NCP was contacted by the Norwegian NCP with respect to a request for review the Norwegian NCP had received on November 28, 2011, relating to the operations of Statoil ASA, a Norwegian MNE in the Alberta oilsands of Canada. The two NCPs agreed that the Norwegian NCP should have the lead. The Norwegian NCP consulted with the Canadian NCP on the initial assessment of the request for review.
   
   
4. Argentina – Barrick Gold Corporation (Economic Activity: C Mining)
   
   Late in 2011 the Canadian NCP learned that the Argentinean NCP had received a request for review on June 9, 2011, relating to a mining project in Argentina that involved Barrick Gold Corporation, a Canadian MNE. In December, 2011, the Canadian NCP contacted the Argentinean NCP to inquire as to the status of the request for review. The Argentinean NCP replied that they were conducting an initial assessment and would keep the Canadian NCP informed.

D. Other Implementation Issues

12. Proactive Agenda - In accordance with the Investment Committee's proactive agenda, NCPs should maintain regular contact, including meetings, with social partners and other stakeholders (…) ((Procedural Guidance, Commentary, I.18).

• Has the NCP held or planned activities in accordance with the Investment Committee proactive agenda? (seminars and/or conferences on specific Guidelines issues, informative publications or guides.)?
  • Yes. Please see the answer to question 4. Also, the Canadian NCP is currently working with the Norwegian NCP on a “stakeholder engagement” project, in response to a request from the chair of the working party.
• What proactive agenda issues deserve particular attention in your country?
  • Generally speaking, raising awareness of the Guidelines among Canadian MNEs working abroad deserves attention in Canada.

13. Peer Learning - In addition to contributing to the Committee’s work to enhance the effectiveness of the Guidelines, NCPs are encouraged to engage in peer learning/ reviews activities. Such peer learning can be carried out through meetings at the OECD or through direct co-operation between NCPs. (Procedural Guidance, Commentary, I.19).

• Did the NCP participate in peer learning activities with other NCPs ? Please elaborate.
  • In 2009-2010 Canada chaired the peer review of the NCP of the Netherlands.
• Would the NCP be prepared to engage in a “voluntary peer review? Within the next twelve months? Later on?
  • The Canadian NCP is currently engaged in several high profile and complex specific instances. The Canadian NCP believes that a peer review would be more informative and rewarding after the completion of these cases.

14. Do you wish to provide any other information on the nature and results of NCP activities during this implementation cycle of the updated Guidelines, including on any useful experiences and/or difficulties encountered in carrying out the duties of the NCP?

The past year has been an active and busy one for the Canadian NCP. Of the multitude of procedural questions that have arisen over the past year, the Canadian NCP would like to flag two.

First, over the past year the Canadian NCP has communicated and liaised with a number of other NCPs for purposes of (1) obtaining information relating to the practices and approaches of other NCPs when dealing with certain specific matters, and (2) obtaining or providing information in relation to requests for review and specific instances.

Overall, the Canadian NCP experience relating to the relationship and communication among NCPs has been positive. Inter-NCP communication is generally cordial, efficient and effective. However, there are instances where earlier notice and/or improved consultation would have been beneficial to the handling of the cases. The Canadian NCP hopes that such situations can be avoided in the future and looks forward to improvements in information sharing, cooperation and collaboration.

Second, while the mediation in many specific instances can be managed in a routine manner, some mediations may be quite complex and challenging and may require specific country or regional knowledge and language skills. To assist in the resolution of both routine and complex cases, it may be worthwhile for the OECD to consider how it can better support NCPs when they are engaged in the mediation process, as individual NCPs may lack the capacity and expertise required to properly fulfill their responsibilities. For example, the OECD could examine the feasibility of creating a qualified mediator roster.

15. Future work. What issues might deserve particular attention during the 2012-2013 implementation cycle of the OECD Guidelines? Please elaborate as appropriate.

The Canadian NCP, in collaboration with the Norwegian NCP, hopes to complete the stakeholder engagement project and develop a user’s guide to assist in the interpretation and implementation of the corresponding provision in the Guidelines.

E.Weak Governance Zones and Conflict-Affected and High Risk Areas

N.B. If the NCP does not have exclusive responsibility in regard to the Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas or the OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones, it is invited to consult relevant state agencies concerning the following questions.

Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas⁵

On 25 May, 2011 the OECD Council meeting at Ministerial level adopted a Recommendation on Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas (hereafter the “Guidance”) [C(2011)49]. According to this Recommendation, adhering governments to the Declaration on International Investment and Multinational Enterprises are expected to actively promote the observance of the “Guidance” approved by the Investment Committee and the Development Assistance Committee in December 2010.

1. How has the Guidance been disseminated and its observance actively promoted among companies operating in or from your country and sourcing minerals from conflict-affected or high-risk areas? Which government agency has been actively been involved? What means have been used?

• The tin, tantalum and tungsten Guidance has been recently adopted and a pilot implementation project is underway. DFAIT is in touch with participating companies. The Gold supplement has not yet been formally approved. DFAIT is in touch with gold sector participants and significantly supported the process. DFAIT has not yet disseminated the Guidance to a wider audience. DFAIT hosted in March 2012 a cross sectoral meeting where, among others, the 3ts and gold sectors could share lessons learned in developing responsible sourcing practices.

2. What measures have been taken to actively support the integration into corporate management systems of the Five-Step Framework for Risk-Based Due Diligence recommended by the Guidance?

• Nil.

3. What measures have been taken to promote the active use of the Guidance by other stakeholders professional associations, financial institutions, and civil society organisations?

• Nil.

OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones⁶

On 8 June 2006, the OECD Council adopted the OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones [C(2006)127] and recommended the widest possible dissemination of the Tool by adhering governments and its active use by multinational enterprises and other concerned parties.

4. Has the OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones continued to be disseminated or otherwise referred to in the context of interactions with enterprises and stakeholders? Please elaborate.

• Yes. The tool is accessible through the Canadian NCP website.

Do you have information about the use of this instrument by investors in Weak Governance Zones?

• Not applicable

Annex 1. The OECD Guidelines and Export Credit, Overseas Investment Guarantee and Inward Investment Promotion Programmes

Australia

• Export credit and investment promotion
• Australia’s Export Finance and Insurance Corporation (EFIC) promotes corporate social responsibility principles on its website, including the OECD Guidelines. The Guidelines are hosted on the Australian NCP’s website. Links to the Australian NCP’s website are provided on the Foreign Investment Review Board and the Austrade websites.

Austria

• Export credits
• Oesterreichische Kontrollbank AG, acting as the Austrian export credit agency on behalf of the Austrian Federal Ministry of Finance, is actively promoting corporate responsibility principles and standards. On its website, extensive information on CSR issues, including the current text of the Guidelines, is available.

Belgium

• Export credit and investment guarantees
• The Belgian Export Credit Agency mentions the OECD Guidelines in its investment guarantees and all export credit guarantees.

Canada

• Export Credits
• The Export Development Canada (EDC) promotes corporate responsibility principles and standards, including the recommendations of the Guidelines. EDC has linked its website with that of Canada’s NCP. Guidelines brochures are distributed. Dialogue on CSR with key stakeholders is maintained. EDC also produces an annual GRI report.

Chile

• Investment promotion
• The Foreign Investment Committee is the agency which promotes Chile as an attractive destination for foreign investment and international business.

Czech Republic

• Investment promotion
• There is a special agency called "Czech Invest" operating in the Czech Republic which provides information on the Czech business environment to foreign investors. It has prepared an information package (which includes the Guidelines) that is passed to all foreign investors considering investing within the territory of the Czech Republic. The Czech NCP co-operates closely with Czech Invest.

Denmark

• Export credits
• When applying for export credits, the Danish Eksport Kredit Fonden informs exporters about the OECD Guidelines and encourages exporters to act in accordance with the OECD Guidelines.

Egypt

• Investment promotion
• The General Authority for Investment and Free Zones (GAFI) is the Egyptian investment promotion agency. GAFI was under the Ministry of Investment but in March 2011 it became under the supervision of the Cabinet directly. ENCP maintains a close ties with GAFI. Through GAFI ENCP and the Guidelines brochures are distributed.

Estonia

• Investment promotion
• The Estonian Investment Agency has published a description of the Guidelines and added a link to the Estonian NCP website.

Finland

• Export credit guarantees and investment insurance
• Finland’s Export Credit Agency, Finnvera, calls the attention of guarantee applicants to the Guidelines through its web pages and CSR report.

France

• Export credits and investment guarantees
• Companies applying for export credits or for investment guarantees are systematically informed about the Guidelines. This information takes the form of a letter from the organisation in charge of managing such programmes (COFACE) as well as a letter for companies to sign acknowledging that they are aware of the Guidelines (“avoir pris connaissance des Principes directeurs”).

Germany

• Investment guarantees
• Companies applying for investment guarantees are referred to the Guidelines directly by the application form. In the application process, they have to confirm awareness of this reference by signature The reference also provides a link to further information on the Guidelines.

Greece

• Investment promotion
• The Guidelines are available on the portal www.mnec.gr as well as on the websites of the Ministry of Foreign Affairs (www.agora.gr), the Invest in Greece Agency (www.investingreece.gov.gr), the General Secretariat of Consumers Affairs (http://www.efpolis.gr), the and the Export Credit Insurance Organization (ECIO) (www.oaep.gr).

Hungary

• Investment promotion
• The site of Investment and Trade Development Agency has links to the Ministry for National Economy, EXIMBANK, MEHIB, and other ministries where important OECD documents on bribery, anti-corruption, and export credits are available. Cross links support the quick search for relevant OECD documents.

Israel

• "Invest in Israel"- Investment Promotion Center
• The site of Israel's Investment Promotion Centre has a direct link to the Israeli NCP web site where the OECD Guidelines are available electronically. The NCP works in close cooperation with the Investment Promotion Center

Italy

• Export credits
• The Italian NCP works closely with SACE (the Italian Agency in charge of insuring export credit) and contributes to its activities. SACE published the Guidelines on its website and introduced the acknowledgment declaration of companies on the Guidelines in its procedures. The Italian NCP also involved in its activities ICE (National Institute for the promotion of export. SIMEST (Financial Company for export support), and Invitalia (Inward Investment Agency). These organisations are disseminating the Guidelines among enterprises and publishing them on their websites. Together with the Guidelines they are promoting the risk-awareness tool in conflict areas.

Japan

• Trade-investment promotion
• The Guidelines (basic texts and Japanese translation) are available on the websites of the Ministry of Foreign Affairs (MOFA); Ministry of Health, Labour and Welfare (MHLW); and the Ministry of Economy, Trade and Industry (METI). The Japan External Trade Organization (JETRO) website, the ASEAN-Japan Centre website and the Nippon Export and Investment Insurance (NEXI) website are also linked to the summary, full texts of the Guidelines, introduction of the Japanese NCP activity including its procedures and promotion.

Korea

• Trade-investment promotion
• OECD Guidelines can be found at the MKE (Ministry of Knowledge Economy) website (www.mke.go.kr). MKE promotes trade and investment.

Lithuania

• Investment promotion
• “Invest Lithuania” Agency (http://www.businesslithuania.com) operates in the Republic of Lithuania and provides information on the Lithuanian business environment to foreign investors. It has prepared an information package that is passed to all foreign investors considering investing within the territory of Lithuania. The Lithuanian NCP (at the Ministry of Economy) co-operates closely with the “Invest Lithuania” Agency. Investment Promotion Programme for the period of 2008-2013 was adopted by the Government on 19th of December 2007. The goal of the programme is to improve investment environment in Lithuania in general and to establish an efficient system for the promotion of direct investment, focusing on long term development of economy and the prosperity of the society. Whole text of the Investment promotion Programme can be found at the web page of the Ministry of Economy

Mexico

• Investment Promotion
• The Mexican NCP is located within the Directorate General for Foreign Investment in the Ministry of Economy, which is responsible for Mexico’s participation in the Investment Committee as well as in different international organisations, among other activities. The guidelines can be found on the website. Mexico’s investment promotion agency - PROMEXICO - works in close co-operation with this Department.

Netherlands

• Export credits and investment guarantees
• Applicants for these programmes or facilities receive copies of the Guidelines. In order to qualify, companies must state that they are aware of the Guidelines and that they will endeavour to comply with them to the best of their ability. Applicants for the PSI programme have to prepare a CSR policy plan based on the OECD Guidelines.

New Zealand

• Export Credit promotion
• New Zealand’s Export Credit Office (ECO) mentions the OECD MNE Guidelines on its website. The ECO also provides a link to both the OECD Guidelines and the New Zealand NCP’s website. Norway Guarantee Institute for Export Credits (GIEK) GIEK has developed its own social responsibility policy which is posted on its website.

Peru

• Investment Promotion
• The Peruvian NCP is located in the Investment Promotion Agency- PROINVERSION, which provides information and guidance services to foreign investors on the Peruvian business environment including information of the OECD Guidelines and the NCP tasks.

Poland

• Investment promotion
• The Polish NCP is located in the investment promotion agency (PAIiIZ). The Polish Information and Foreign Investment Agency helps investors to enter the Polish market and find the best ways to utilise the possibilities available to them. It guides investors through all the essential administrative and legal procedures that involve a project; it also supports firms that are already active in Poland. PAIiIZ provides rapid access to the complex information relating to legal and business matters regarding investments, helps in finding the appropriate partners and suppliers, together with new locations.

Portugal

• Exports and Investment Promotion
• AICEP – Portugal Global is a Business Development Agency responsible for the promotion of exports, the internationalisation of Portuguese companies, especially SMEs and for inbound foreign investment. The Guidelines are part of the information given to all companies.

Romania

• Romanian Agency for Foreign Investments (ARIS)
• The Romanian NCP is located within the Romanian Agency for Foreign Investments (ARIS). The RNCP’s webpage was developed starting from the Romanian Agency for Foreign Investment central site. The Guidelines (basic texts) are available electronically on the sites of the MFAand the Romanian Agency for Foreign Investments (ARIS). The Guidelines and the relevant decisions of the OECD Council have been translated in the Romanian language. Other useful documents posted on the RNCP’s web page include:
  • Policy framework for Investment;
  • OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones.
• Romanian Agency for Foreign Investment edited, among other specific promotional materials, the brochure entitled “Frequently Asked Questions - An Overview”, including a separate chapter on Romanian National Contact Point and OECD Guidelines for Multinational Enterprises.

Slovenia

• Promotion and awareness of OECD Guidelines
• The Slovenian NCP is established within the Ministry of Economy of the Republic of Slovenia. The promotion and use of the OECD Guidelines for Multinational Enterprises is already a part of Slovenian policies Slovenia NCP promoted the OECD Guidelines through preparation of speeches. Foreign investors which apply for public tender declare that the recipient of the co-financing will abide by the OECD Guidelines for Multinational Enterprises and the principles laid down in the Declaration on International Investments and Multinational Enterprise.

Slovak Republic

• Investment promotion
• NCP is established at the Ministry of Economy of the Slovak Republic. The Guidelines are promoted in Slovak language at Ministry´s webpage. The Ministry of Economy is funding and supervising an agency for investment and trade development (SARIO) that promotes both business environment and investment opportunities. The investors entering the Slovak republic who had been awarded with governmental incentives are to commit themselves to keep the Guidelines (part of the awarding decision).

Spain

• Investment guarantees
• CESCE (Export Credit Agency) that manages investment guarantees, COFIDES (Corporation for Development Finance) provide Guidelines brochures to applicants for support and investment guarantees.

Sweden

• Export credits
• The Swedish Export Credits Guarantee Board provides all its customers with information on the rules on environment, the rules on bribery, the OECD Guidelines for MNE´s and the Swedish Partnership for Global Responsibility.

Switzerland

• Export credits insurance
• The Swiss Export Risk Insurance (SERV) promotes corporate responsibility principles. On its website, it provides information regarding the Guidelines and their implementation mechanism.

Turkey

• FDI
• The Turkish NCP is located within the General Directorate of Foreign Investment (Treasury) which is the authorised body for investment policy making. The Treasury’s website provides information on the Guidelines.

United Kingdom

• Export credits and investment insurance
• The Export Credits Guarantee Department's (ECGD) website contains links to the website of the UK National Contact Point.

United States

• Export and import credits and investment guarantees
• The Export-Import Bank of the Untied States provides information on the Guidelines to applicants for their programmes in support of U.S. business activities abroad.