Questionnaire

What did we ask companies?

We approached companies with this survey to better understand the current approach banks and investment firms take to assessing their clients in the extractive industries with respect to human rights issues. Human rights issues in the sector include the rights to land, access to clean water, livelihood, fair and safe working conditions, and consultation about the use of land and other natural resources. They also include respect for indigenous land rights and adherence to the process of securing free, prior and informed consent. 

1. What policies and procedures does your institution have to undertake human rights due diligence regarding the companies and projects it finances, beyond what is publicly available on your website?

2. Do you require new clients or new projects in the extractives sector to have undertaken human rights due diligence prior to providing financing?

3. Which human rights issues are included in your risk assessment process for extractive projects?

4. Does your institution adapt its human rights policies and procedures for the specific sector of investment in order to account for the varied risks across sectors? If so, do you have specific policies on the mining sector?

5. Does your institution adapt its human rights policies and procedures for the specific country of investment in order to account for the varied risks across nations? If so, do you have specific policies for any countries or areas in Southern Africa?

6. Who assesses human rights risks at your bank (departments, positions, internal/external, etc.)?

7. Do you require companies to have grievance mechanisms in place for each extractive project and if so, what do you see as essential in an effective grievance mechanism?

8. Have you ever taken any steps to require or support a client in remediating a human rights impact?

9. Have you ever withheld loans or other financial services as a result of a human rights assessment or allegation?

10. Do you undertake any form of on the ground assessment of conditions at project sites?

View the Survey [PDF]