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Journal of Cleaner Production 84 (2014) 256e270

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Journal of Cleaner Production


journal homepage: www.elsevier.com/locate/jclepro

An assessment of corporate social responsibility practices in the


mining and oil and gas industries
Emmanuel Raufet a, Luciano Barin Cruz b, *, Luc Bres c, d
a
HEC Montral, Qubec, Canada
b
HEC Montral, Management, 3000 Chemin de la cote-sainte-catherine, Montral, Qubec H3T2A7, Canada
c
Universit Laval, Canada
d
Universit Paris Dauphine, France

a r t i c l e i n f o a b s t r a c t

Article history: Companies in the mining and oil and gas (MOG) industries operate in diverse institutional contexts,
Received 8 July 2013 including developed and developing countries. The companies face signicant environmental and social
Received in revised form challenges ranging from pollution to community relation issues and must adhere to the requirements of
22 January 2014
several different national, international, and industry-wide institutional frameworks and standards. They
Accepted 23 January 2014
Available online 5 February 2014
have responded to these challenges by developing corporate social responsibility (CSR) practices.
Drawing on new institutional and management standards literature, we develop and explain the concept
of regulatory scripts, dened as the practices shared by a group of organizations in an industry in
Keywords:
Regulatory scripts
response to international frameworks and standards, which we call institutional expectations. We
Institutional expectations examine a data set of international CSR-leading MOG companies and a set of interviews with experts in
Mining these industries. Our study contributes to the existing body of literature in the eld by mapping and
Oil and gas identifying the main CSR institutional expectations in the MOG industries, identifying the regulatory
Corporate social responsibility scripts that appear in response to these institutional expectations across 20 rms in four areas and 29
sub-areas of CSR, and evaluating the managerial reach/scope and limits of these regulatory scripts.
2014 Elsevier Ltd. All rights reserved.

1. Introduction have developed frameworks for CSR (International Finance


Corporation, 2012; World Bank Group, 2007; World Bank, 2004).
The literature on corporate social responsibility (CSR) identies The third source of CSR initiatives originates from companies
three main complementary sources of initiatives for CSR that result themselves: in the absence of governmental or industrial associa-
in different types of CSR practices (Gond et al., 2011). The rst tion policies, companies may decide by themselves which are the
source stems from governments that may enforce complete and best practices and apply these practices according to company in-
specic formal policies regarding an issue and specically dene terests. In the two last cases, CSR projects are usually the result of
company requirements. When companies are motivated by strategic thinking, wherein companies seek to transform threats
governmental policy, CSR projects become similar in different into opportunities by creating a competitive advantage based on
companies because CSR is treated as a coercive practice (Husted socially and environmentally oriented projects (Husted and Salazar,
and Salazar, 2006). The second source stems from what has been 2006; Porter and Kramer, 2011).
referred to as the infrastructure for CSR (Waddock, 2008), which Overall, a hybrid regulatory regime has emerged from the
promotes voluntary, i.e., non-government-led, CSR initiatives and growing inter-connectedness of government-related, CSR-infra-
responses. In the absence of governmental policy, industrial asso- structure-related, and company-related CSR initiatives. CSR, as part
ciations, activists, responsible fund managers, and other actors may of this emerging hybrid regulation, is dened as a system of regu-
negotiate CSR frameworks and invite rms to follow them. In the lation involving business, civil society, and state actors (Levy and
case of developing countries, international nancial institutions Kaplan, 2008) and could be at the forefront of a renewed interna-
such as the World Bank and the International Finance Corporation tional governance (Crane et al., 2008; Scherer and Palazzo, 2011;
Scherer et al., 2009a). This view is based on the assumption that
until recently, government governance was designed and under-
stood as a system based on the national state, with the latter being
* Corresponding author. Tel.: 1 514 6299233.
sovereign in domestic affairs because it is the locus of power for
E-mail address: luciano.barin-cruz@hec.ca (L. Barin Cruz).

0959-6526/$ e see front matter 2014 Elsevier Ltd. All rights reserved.
http://dx.doi.org/10.1016/j.jclepro.2014.01.077
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 257

discussions on international regulations (Kobrin, 2009). However, Some activists fear that this proliferation also facilitates green-
the state-based governance regime has shown limitations. At a washing because Multinational Entreprises (MNEs) may pick and
local or national level, several statesdparticularly in developing choose standards that are convenient to them and unrelated to
countriesdhave a limited capacity to enact and to enforce regula- their true CSR issues (von Geibler, 2012; Waddock, 2008;
tions in their territories. At an international level, supra-state in- Ligteringen and Zadek, 2005; Reinecke et al., 2012). Second,
stitutions have often failed to resolve international governance when international CSR frameworks spread and are adopted by
issues. As a result, a hybrid form of regulation referred to as a post- organizations, how are these rules for the many (Brunsson et al.,
Westphalian governance (Scherer et al., 2009b) or regulatory 2012) turned into concrete local practices in an industry? Thus, on
capitalism (Levi-Faur, 2005) has emerged. These hybrid regula- the one hand, from a theoretical point of view, important questions
tions are characterized by the interplay of political actors such as remain unresolved regarding the adoption and spread of interna-
government agencies, social actors such as Non-Government Or- tional CSR standards; on the other hand, from an empirical
ganizations (NGOs), and economic actors such as companies and perspective, there is a lack of knowledge concerning the adoption
industry associations, in the development and enforcement of and spread of these international CSR standards in the MOG in-
regulation primarily through the creation of international stan- dustries. Based on this theoretical and empirical puzzle, this paper
dards (Waddock, 2008). investigates the following question: What CSR practices are
This hybrid regulation regime is particularly salient in the implemented by best-in-class companies in the MOG industries in
extractive industries, notably the MOG sectors, on several accounts. response to international CSR frameworks? We call these practices
First, extractive companies are strongly present in both developed regulatory scripts and these international frameworks institu-
and developing countries (Mining, Minerals and Sustainable tional expectations.
Development Project [MMSD], 2002). Management dilemmas By addressing this question, our study makes a threefold
arising from global CSR standards and the need to conform to local contribution to the literature on CSR standards and to the tradi-
regulations and adapt to local realities constitute a constant feature tion of research on CSR in the MOG industries. First, we map and
of this industry. Global companies in the extractive industry typi- identify a set of CSR institutional expectations for the MOG in-
cally operate in several countries, some of these with a limited dustry. Firms in the MOG industries are deemed to be particularly
capacity to build and sustain solid institutions (World Bank, 2004), internationalized actors whose operations have important politi-
in areas in which governments are unable to exercise effective roles cal impacts, particularly in developing countries with weak gov-
as regulators (MMSD, 2002). In those areas, hybrid regulation often ernments that sometimes displace national states as the main
represents the only possible form of regulation. Second, MOG rule-makers. These rms are under strong pressure to demon-
companies operate for extended periods of time in a given local strate their local CSR engagement at an international level and
context. For a long time, a legal license to operate, dened as the thus actively engage in the negotiation, diffusion, and adoption of
ofcial permit required to operate, was long considered as a suf- international CSR frameworks. We unveil 29 CSR institutional
cient condition. Although this legal license remains a necessary expectations in these industries, grouped in the following 4 main
condition today, the notion has been extended to include social areas: ethics and governance; environmental management;
requirements. The social license to operate, which implies con- community relations; and social, health, and operational security
stant efforts to adjust corporate activities and relations with local issues. Second, we draw on the notion of scripts (Jepperson, 1991)
communities, has become central in MOG circles (Zandvliet and from new institutional literature and propose the concept of
Anderson, 2009; Raufet et al., 2013; Socialicense.com, 2012; and regulatory scripts. The MOG industries are now in a leadership
for a review of the mining industrys CSR challenges in the Journal position regarding environmental and social disclosure (Azapagic,
of Cleaner Production, see Azapagic, 2004). Third, because several 2004; Jenkins and Yakovleva, 2006; MMSD, 2002). The concept of
rms in these two industries are inherently international, the rms regulatory scripts helps us to group CSR practices across com-
must respond to these local expectations while remaining panies and to compare rms CSR practices collectively against the
accountable to international actors and shareholders. These rms areas of expectation in international CSR frameworks. Conse-
turn to international CSR frameworks and standards to understand quently, we provide an evaluation of the rms practices that
these diverse international expectations and to determine how to respond to international CSR frameworks (institutional expecta-
disclose CSR information accordingly (Jenkins and Yakovleva, tions). This evaluation can thus be useful to governmental orga-
2006). For instance, MOG companies have to develop reporting nizations, activists, and other actors seeking to better monitor and
competencies (Peck and Sinding, 2003) and decide the type of regulate the behavior of rms in the extractive industry. Our study
media to use to communicate social and environmental informa- thereby substantiates the concept of regulatory scripts, assisting
tion (Lodhia, 2012; Pellegrino and Lodhia, 2012). Hence, rms in the scholars interested in the institutionalization process and in the
MOG sectors have developed CSR practices to respond to local diffusion of standards to better understand the process through
public pressure and scrutiny, and several MOG associations, inter- which international frameworks are turned into institutionalized
national nancial institutions, and other groups have promoted the practices within an industry. Third, the concept of regulatory
development and diffusion of numerous international CSR stan- scripts helps MNE practitioners to grasp CSR practices that are
dards such as the Global Reporting Initiative, ISO 26000 or the likely to become institutionalized in the near future. As such,
Global Compact in response to these environmental and social is- these managers may be at the forefront of mainstream, or even
sues (Business for Social Responsibility, 2003; International Council mandatory, practices. In other words, this paper provides a
on Mining and Metals ICMM (2003)). mapping of institutionalizing CSR practices in the extractive
In parallel, hybrid regulatory regimes have been one of the main industry.
focuses of the literature on standards in management. Although The remainder of this paper is organized into four sections. The
this stream of research has provided valuable insights into how second section discusses the production and institutionalization
international CSR frameworks spread and, to a certain extent, of accountability standards and norms. The third section in-
replace traditional national laws regarding CSR issues, two troduces the methodology and the data analyzed. The fourth
important issues remain. First, there is currently a proliferation of section maps the CSR scripts in the four identied areas. The
international CSR standards, to the point that it has become dif- paper concludes with a discussion and the conclusions drawn
cult for practitioners to decide which standards should be adopted. from these results.
258 E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270

2. The production and institutionalization of CSR standards and unchallenged practices in organizations (Oliver, 1991;
DiMaggio and Powell, 1991). What happens during the earlier
The existing literature on CSR and standardization has provided stages of the institutionalization process? Between negotiations at
insights regarding how the interplay between international CSR an international level and institutionalization in a population of
frameworks and rms practices may produce and institutionalize organizations, how do international CSR frameworks transform
new accountability norms and standards (Brown et al., 2009; into concrete organizational practices?
Brunsson et al., 2012; Gilbert et al., 2011; Mosee et al., 2013; We mobilize the concept of scripts proposed by new institu-
Waddock, 2008). Scholars in the eld suggest that environmental tionalism as an intermediary concept between institutions and
and social issues not directly addressed by governmental organiza- practice. A script is dened as a well-established social arrange-
tions lead non-governmental actors to generate an institutional ment, a deviation from which is counteracted by sanctions or is
infrastructure dened as a structure to ensure that corporations are costly in some ways (Jepperson, 1991, p. 12). In the literature, the
accountable, responsible, transparent, and ecologically sustainable, a concept of scripts has three main dimensions. First, scripts are well-
largely voluntary corporate responsibility infrastructure (Waddock, established practices that have the potential to become institutions
2008, p. 87), an infrastructure which is negotiated by actors from civil (Drori, 2008; Johnson et al., 2003) if they are not questioned or
society, business, and government (Crane et al., 2008). challenged in a eld (Barley and Tolbert, 1997). Second, scripts can
These negotiations often result in international CSR standards or also be understood as texts or narratives that shape organizations
institutional expectations, dened as voluntary predened rules behaviors (Czarniawska, 1997). Third, in terms of methodology,
and methods that systematically assess and communicate the social scripts are also useful analytic tools for studying organization-level
and environmental behavior and/or performance of rms (Gilbert institutions (Barley and Tolbert, 1997). Our article underscores the
et al., 2011, p. 24). Rasche (2009) proposes that international stan- importance of international texts and standards. Through the
dards are the privileged vehicles of the international CSR infra- description of CSR practices, it illustrates the diffusion of interna-
structure for three main reasons. First, over the two past decades, an tional standards, such as the Global Reporting Initiative (GRI), the
important part of the worlds industrial production has been relo- Extractive Industries Transparency Initiative (EITI), ISO 14001, and
cated to countries in which social and environmental laws are not the Carbon Disclosure Project (CDP). Institutional scholars have
properly enforced or simply do not exist. This question of weak local already underlined the importance of scripts for the diffusion of
institutions is particularly acute in the extractive industries (MMSD, international institutions (Drori, 2008) and have emphasized the
2002; Azapagic, 2004). Second, CSR issues are not easily tackled by need to revisit rms CSR initiatives and to conceive of such ini-
national laws. For example, the issue of climate change is an tiatives as an institutional form, script and/or model, with the po-
inherently global issue that cannot be resolved by national regula- tential of being globalized (Whelan, 2012, p. 710). To specify the
tions and thus requires international/global cooperation. The third notion of script and adapt it to our purpose, we propose the concept
reason concerns the imbalance in international regulations; the of a regulatory scripts, which is dened as a practice shared by a
promotion of market expansion has not been matched with any group of organizations in an industrial sector in response to an
corresponding production of regulations to mitigate its social and international framework and with the potential to institutionalize.
environmental side effects at a global level (Shamir, 2004). In the CSR standards literature, the idea of regulatory scripts has
To understand the diffusion of international standards in terms recently surfaced, although not explicitly. Despite the prolifera-
of rms practices, we mobilize the new institutional theory. Since tion of international CSR standards (Waddock, 2008; Ligteringen
the 1980s, scholars have sought to explain how institutional pres- and Zadek, 2005), research on fair-trade standards in the coffee
sures lead to the homogeneity of behavior in a population of or- industry has suggested a convergence in the content across inter-
ganizations (DiMaggio and Powell, 1991; Scott, 1995; Greenwood national CSR standards (von Geibler, 2012; Kolk, 2005). Authors
et al., 2008). In this view, rms are deemed to adopt international have described this process as meta-standardization, which
CSR frameworks (or institutional expectations) through three types means that convergence happens at the level of core criteria and
of pressures, namely, coercive isomorphism, mimetic isomorphism, overarching principles (rules of the game), whereas variety re-
and normative isomorphism (Brown et al., 2009; Brunsson et al., mains at the level of specialized attributes (Reinecke et al., 2012).
2012; DiMaggio and Powell, 1991; Mosee et al., 2013). First, co- In other words, despite their multiplicity, international CSR stan-
ercive isomorphism involves regulative pressure (DiMaggio and dards tend to converge, reect, and shape (Slager et al., 2012)
Powell, 1991). Although international CSR frameworks are pre- institutionalized expectations concerning CSR. However, conver-
sented as voluntary, these frameworks tend to harden over the gence in expectations and international texts does not mean ho-
time (Rasche, 2009). For example, the European Union now en- mogeneity in MNE practices. Another step must be taken to
dorses the ISO 14001 principles through its funding allocation understand how these rules for the many (Brunsson et al., 2012)
policies, and CSR reporting is mandatory for certain rms in are negotiated and turned into concrete practices in an industry
Denmark, the UK, and France. Second, mimetic isomorphism refers (Heras-Saizarbitoria and Boiral, 2013; Brunsson et al., 2012).
to situations of high uncertainty in which organizations will tend to Although both the geographical localization and the adaptation
imitate practices that appear socially legitimate. Because CSR issues of these global standards and frameworks have partially been
are sometimes complex with no clear solutions (Rasche, 2009), explored (for example, see Yin and Schmeidler, 2009), to the best of
international CSR standards can be adopted as purely ritualized our knowledge no research has examined how international CSR
answers to stakeholder expectations (Boiral, 2007). Third, norma- frameworks are turned into practices at an industry level. Insights
tive isomorphism appears when certain practices and behaviors from the coffee industry suggest that companies tend to develop
become legitimate and expected from an entire population of or- common practices at the industry level (Kolk, 2005); however,
ganizations. Some international standards become so well- additional research is needed, particularly in the extractive in-
established in some industries that the standards actually become dustry. This paper proposes to bridge this gap by examining one of
prerequisites to enter the sector Rasche (2009). Hence, whereas the industries that is most responsive to international CSR frame-
new institutionalism sheds light on how institutional pressures works: the extractive industry (Jenkins and Yakovleva, 2006). More
support the diffusion of international CSR frameworks, these ex- precisely, we determine the CSR practices displayed by best-in-
planations primarily relate to well-institutionalized international class companies in the MOG industries in response to interna-
frameworks that correspond to previously accepted, well-spread, tional CSR frameworks.
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 259

3. Research methods information regarding CSR claimed practices in these industries.


Third, by contrasting the CSR practices to the institutional expec-
This study is based on a multi-case design (Yin, 1994). We tar- tations we could identify several regulatory scripts in this industry.
geted the MOG industries for specic reasons. First, rms in the We conducted a round of 3 interviews to validate this third step.
extractive industry have dramatic environmental and societal im-
pacts, are powerful and wealthy, and often operate in areas in 3.1.1. Data on international CSR standards: identifying institutional
which government is unable to exercise an effective role as regu- expectations
lator (MMSD, 2012; Zandvliet and Anderson, 2009; Raufet et al., Our purpose was to identify international CSR standards that
2013; Socialicense.com, 2012; for a review of the mining indus- were the most relevant to the MOG industry and the most repre-
trys CSR challenges in the Journal of Cleaner Production, see sentative of institutional CSR expectations for this industry. To
Azapagic, 2004). As a result, rms in this sector are compelled to accomplish this task, we conducted 7 interviews with experts from
participate in hybrid regulations and to develop and communicate the MOG industry between 2012 and 2013. We applied theoretical
CSR practices. Therefore, we argue that the MOG industries provide sampling (Glaser and Strauss, 1967) to select experts who were
extreme cases to demonstrate institutional expectations (formed both knowledgeable regarding MOG and international CSR stan-
from international CSR standards) and the impact on regulatory dards and representative of different stakeholders group. We
scripts (CSR practices within the frame of institutional expecta- interviewed the following experts: a spokesperson from one of the
tions) in the sense of Yin (1994). These cases demonstrate a main watchdog NGOs on mining in Qubec; a manager from a
particularly acute manifestation of the phenomenon and are likely socially responsible investment fund; a former director of sus-
to reveal how international CSR expectations interplay with in- tainability practices at Ernst & Young; the director of the Canadian
dustry practices to generate regulatory scripts. In fact, a recent Institute of Mining, Metallurgy and Petroleum; the director of the
study has shown that leading companies in this industry increas- Qubec Mining Association; the director of an audit and conformity
ingly follow international CSR standards such as the Global company specializing in environment and sustainable develop-
Reporting Initiative (GRI) because of public pressure and scrutiny ment; and an academic expert on CSR standards. We com-
(Fonseca et al., 2012). plemented these interviews with a literature review on
Second, regarding our objective in this study, we chose to focus international CSR standards. In addition, we used the guidelines of
on the CSR practices of companies in the extractive industry, and international CSR standards that have been described as major by
more specically, in the MOG industries. To assess CSR practices two or more experts and by two or more documents in our liter-
and regulatory scripts in these industries, we carefully selected ature review. From this broad consultation, we retained the
companies that were deemed to be particularly active and suc- following 7 international CSR frameworks (see Table 1): the Sus-
cessful in adopting international CSR standards. As such, these tainable Development Framework produced by the International
rms have likely been more responsive to the new institutional Council on Mining and Metals (ICMM) in 2001 (Sethi, 2005;
infrastructure for CSR (Waddock, 2008) and to an institutionali- Fonseca, 2010; Sagebien et al., 2011); the OECD Principles for
zation project that aims to turn CSR language, concepts and as- Corporate Governance released by the Organization for Economic
sumptions into granted practices among large multinational Cooperation and Development (OECD) in 1998 (Santner, 2012;
corporations (Brown et al., 2009; pp. 578e579) and are therefore Morgera, 2006; Liberti, 2012); the Global Compact issued by the
more likely to internalize CSR expectations and to develop and United Nations (UN) in 2000 (Rasche, 2009; Williams, 2004); the
display regulatory scripts in return. To validate our results, we Extractive Industry Transparency Initiative released by a coalition
conducted three additional interviews with leaders of the MOG of governments, companies and NGOs in 2002 (Hauer, 2010;
industries to conrm the nal interpretation of our ndings, Kolstad and Wiig, 2009); the Global Reporting Initiative (GRI)
particularly regarding the institutionalized expectations and released by GRI in 2000 (Dingwerth and Eichinger, 2010); and ISO
regulatory scripts. 14001 (Arimura et al., 2011; Curkovic and Sroufe, 2011; Heras-
Saizarbitoria and Boiral, 2013) and ISO 26000 (Henriques, 2012;
3.1. Data collection Brs, 2013), published by ISO in 1996 and 2010, respectively.

Our data set included 10 interviews with experts and practi-


tioners in the MOG industries (between 2012 and 2013), the 3.1.2. Data on mining companies: identifying regulatory scripts
guidelines of 7 international CSR standards, and the CSR reports The selection of companies in the mining industry was con-
published by the mining and the oil and gas industries in 2011. We ducted in three phases. First, we selected all of the companies
followed a three-step methodology. First, based on 7 interviews ranked A in the GRI by considering the GRI evaluation in 2011.
with experts and a literature review on international standards, we Based on this rst criterion, we found 38 companies. Second, we
identied the 6 prominent international CSR standards in the MOG identied the following additional excellence criteria in CSR pro-
industries, and by consequence, the institutional expectations vided by international organizations: subscribe to the principles of
proposed. Second, we followed the methodology adopted by pre- the UN Global Compact2; gure in the Dow Jones Sustainability
vious studies (Lozano and Huisingh, 2011; Mosee et al., 2013; Index3 (be a leader in the super-mining sector); subscribe to the
Lozano, 2013) to examine the claimed practices contained in principles and the audit of the ICMM; be a member of the directory
the CSR reports of several companies in the MOG industries rather of the Center for Excellence in CSR4; and participate in the portfolio
than the evaluated or observed practices on the ground. By of the Ethical Fund5 regarding responsible investment. From this
taking this approach, we focused on public and ofcial sources of second criterion, 17 companies that responded to more than one
data and ensured that we could cover the formal CSR practices
developed by these companies.1 Additionally, this methodological
2
choice allowed us to analyze and synthesize numerous systemati- http://www.unglobalcompact.org/participants/search?commitSearch&
keyword&joined_after&joined_before&business_type2&sector_id23&
cally ordered documents, providing an exhaustive source of listing_status_idall&cop_statusall&organization_type_id&commitSearch.
3
http://www.sustainability-indexes.com/review/supersector-leaders-2011.js.
4
http://web.cim.org/csr/MenuPage.cfm?sections126&menu127.
1 5
A representative list of the documents analyzed is available on request. http://www.ethicalfunds.com/neiles/PDFs/TopHoldings/ET64.pdf.
260 E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270

Table 1
International CSR frameworks.

International Organization, date of creation Bibliography


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 ICMM website. 2012
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Basingstoke: Palgrave Macmillan.
OECD Principles Organization for Economic  Santner. 2012. A soft law mechanism for corporate responsibility: how the update OECD guidelines for
for Corporate Co-operation and multinational enterprises promote business for the future, The Geo. Wash. Intl L. Rev., Vol.43
Governance Development (OECD), 1998  Morgera. 2006.An environmental outlook of the OECD guidelines for multinational enterprises: comparative
advantage, legitimacy, and outstanding questions in the lead up to the 2006 review, Georgetown International
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 Liberti. 2012.OECD 50th anniversary: the updated OECD guidelines, Business Law International, Vol.13, n 1
 http://www.international.gc.ca/trade-agreements-accords-commerciaux/ncp-pcn/index.aspx?langfra&viewd
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 http://www.oecd.org/department/0,3355,fr_2649_34889_1_1_1_1_1,00.html
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additional criterion were selected. Third, from this sample, Excellence in CSR,9 participation in the portfolio of the Ethical
considering the signicant amount of data available for all of these Fund,10 and information from Fortune Magazine.11 From this phase,
companies, we chose to restrict our sample to the 10 leading we retained 8 companies.12 Third, after consulting some of the
companies in the industry and to retain these companies for the interviewed experts and considering the experience of Nexen and
study.6 Total in terms of CSR practices, we decided to add these two
companies to our sample and to consider the same nal number of
3.1.3. Data on oil and gas companies: identifying regulatory scripts companies as in the mining industry.
For the oil and gas industry, company selection was conducted
in three phases. First, we selected all of the companies evaluated as
A in the GRI in 2011. This phase provided a primary list of 26 3.2. Data analysis
enterprises. Second, we examined lists provided by international
organizations, sector associations, and responsible or ethical in- We conducted our data analysis in two main steps. First, a round
vestors. We analyzed their subscription to the 10 principles of the of analysis helped us to identify institutional CSR expectations for
UN Global Compact,7 the Dow Jones Sustainability Index8 (super- the MOG industry (see Table 2). We conducted a content analysis of
sector leader), membership in the directory of the Center for the seven standards selected based on our interviews (seven initial
interviews) and extracted institutional CSR expectations that cut

6
See on Table 2.
7 9
http://www.unglobalcompact.org/participants/search? http://web.cim.org/csr/MenuPage.cfm?sections126&menu127.
10
commitSearch&keyword&joined_after&joined_before&business_ http://www.ethicalfunds.com/neiles/PDFs/TopHoldings/ET64.pdf.
11
type2&sector_id23&listing_status_idall&cop_statusall&organization_type_ http://money.cnn.com/magazines/fortune/mostadmired/2011/best_worst/
id&commitSearch. best4.html.
8 12
http://www.sustainability-indexes.com/review/supersector-leaders-2011.jsp. See on Table 3.
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 261

Table 2 conrms prior research (Reinecke et al., 2012; Kolk, 2005) and
CSR institutional expectations. species institutional CSR expectations for the MOG industry.
Area CSR institutional expectations in the MOG industries Second, to analyze the amount of data gathered in the CSR re-
Ethics and 1. Articulated vision and values consistently diffused
ports, we undertook a within-case analysis followed by a cross-case
governance throughout all documents and communication pattern search analysis (Eisenhardt, 1989). First, we analyzed the
2. Committees CSR practices of each company in each industry. Once we had a
3. Business ethics (includes whistle-blowing, the complete list and description of the CSR practices of each company
management of complaints, and crisis management)
(see Table 3), we proceeded to a cross-case analysis.
4. CSR disclosure (CSR report, website) per site
5. CSR disclosure (CSR report, website) at company level Using the framework of institutional CSR expectations for the
6. Taking into account the precautionary principle MOG industry as our reference, we contrasted CSR practices across
7. Responsible production and consumption: criteria companies and industries. Based on an inductive process (Miles
and CSR programs in purchasing contracts and
and Huberman, 1994) followed by an exhaustive description of
subcontracting
8. Relations with governments
CSR projects, we were able to complement our framework of
Environment 9. Environmental protection: management and institutional expectations with the most common CSR practices
reduction of raw materials and waste adopted by the sampled companies and, as such, to dene the
10. Energy management regulatory scripts. For each company we could score the presence
11. CO2 emission reduction and climate change
(1) or the absence (0) of these regulatory scripts (see Tables 4 and 5
12. Water management (consumption and gray-water
management) for an illustration of this procedure).13 For instance, when analyzing
13. Respect of ecosystem support capacities: local the dimension vision, strategy, commitments, goals and CSR
impacts and biodiversity management system, we adopted the following criteria: if the
14. Transportation management in and around sites vision, mission and organizational values were not clearly dened
15. Taking into account the polluter pays principle:
site remediation after operation, leaks, and spills
in terms of sustainability (ethical aspects and the social concerns of
Community 16. Participation and engagement with communities at stakeholders) we coded a company as 0; conversely, if the vision,
relations every stage of the project (exploration, development, mission, and values of the organization were integrated with the
operation, closure) principles of sustainable development, if these principles were
17. Human rights policy
constantly repeated in other documents (the code of ethics, orga-
18. Subsidiarity
19. Access to knowledge nizational policies) and there was a clear demonstration in these
20. Protection of cultural heritage documents that the company reected on the interests and con-
21. Contribution to local economic development cerns of its stakeholders, we coded a company as 1. We followed
(employment, purchase of local goods and services) this criteria for each dimension analyzed. This analysis allowed us
22. Benet sharing with the community: compensation
(relocation, pollution) and other forms of support
to synthesize the results in the form of tables to better compare the
23. Health and quality of life (health and safety of CSR practices across industries.
surrounding communities)
Social, health, 24. Health, quality of life, and safety of employees
4. Regulatory scripts in the MOG industries: contrasting CSR
and safety 25. Prevention and accident information
issues 26. Skills development, training employees in practices with institutional expectations
community relationship building
27. Respect for labor rights and labor relations In this section we present the most common institutional ex-
28. Working conditions pectations by analyzing data on international CSR standards and
29. Social equity and solidarity
the most common CSR regulatory scripts adopted by companies in
Source: Sustainable Development Framework (ICMM, 2003), OECD Principles for the MOG industries (based on data from CSR reports). Particularly
Corporate Governance (OECD, 2004), Global Compact of the United Nations, Global
with regard to the regulatory scripts, we obtained these results by
Reporting Initiative (GRI), ISO 26000, ISO 14001.
calculating a score for the level of adoption of CSR practices in each
of the following areas of institutional expectations: ethics and
across all of the different standards. We then triangulated the re- governance; environmental management; community relations;
sults with our conrmatory interviews to ensure that our ndings and social, health, and operational security issues. The company
were consistent with experts views. We call these CSR expectations scored 1 when it clearly presented a project related to the item
institutional expectations because they are well-anchored in in- analyzed, or 0 when it had no project in the area. For each of these
ternational CSR standards that reect international organizations, four areas of institutional expectations, we comment and evaluate
expert opinions (Ward, 2010; Acquier and Aggeri, 2008) and the the reach/scope of the CSR practices. We present below a summary
opinion of the majority of our interviewees. This rst analysis of the main practices in the four areas of CSR.
provided us with a vocabulary to identify, group and compare the
CSR practices that we found at the company level. We could dene
4.1. Ethics and governance
29 CSR institutional expectations in relation to the extractive in-
dustry grouped into the following four main areas: ethics and
The area of ethics and governance (institutional expectation)
governance; environmental management; community relations;
concerns CSR strategy statements, the codes of ethics, mechanisms
and social, health, and safety issues. This approach allowed both
for disclosing third-party audited information, and HR mechanisms
inter-case comparisons and comparisons against broader institu-
that support the realization of CSR-related objectives for managers.
tionalized expectations for the industry. Notably, the ethical and
Table 6 summarizes the results. Overall, the large majority of
governance dimensions focus on the transparency and integrity of
companies examined have established explicit business practices in
the company in its relations with different stakeholders. The
ethics and governance (Matten and Moon, 2008). Particularly in the
environmental dimension targets pollution, waste and natural
degradation. It is interesting to note that community relations are
not considered a sub-division of the social dimension because of 13
The presentation of the criteria adopted for each dimension would require
the importance of social acceptability in the industries examined in many pages. For the sake of simplicity, we present just an illustration in Table 5. The
this study. This convergence of international CSR standards full tables are available on request.
262 E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270

Table 3
Sample of best-in-class companies from the MOG industries.

Company Operations GRI UN GC DJSI CAPP API CSUR Center for Ethical Innovest Fortune ICMM
excellence fund strategy magazine
in CSR

Oil and gas BP O&G (Oil and gas), tar sands A (self-disclosed) X X X
industry Nexen O&G, tar sands, shale gas B (self-disclosed) X X X
Petrobras Petrochemicals, natural gas, A (self-disclosed) X
biofuels, electricity
Repsol O&G A (GRI audited) X X X
Sasol O&G, coal, petrochemicals, A (third party checked) X
shale gas
Shell O&G, petrochemicals, A (GRI audited) X X X X X
shale gas
Statoil O&G, tar sands, shale gas A (third party checked) X X X #1
Suncor O&G, tar sands A (GRI audited) X X X X X X
Talisman O&G, shale gas, tar sands A (GRI audited) X X X X
Total O&G, tar sands, B (self-disclosed) X X X #7
petrochemicals, shale gas
Mining ARM (African Platinum, iron, copper A (third-party-checked) X X
industry Rainbow and coal
Minerals)
Barrick Gold Gold, silver, copper A (third-party-checked) X X X
BHP-Billiton Energy coal, metallurgical A (third-party-checked) X X
coal, manganese, aluminum,
base metals (including
uranium), diamonds and
specialty products,
petroleum and oil, stainless
steel materials, and iron ore
Goldcorp Gold A (third-party-checked) X X X
Newmont Gold, copper A (third-party-checked) X X
Mining
Corporation
Osisko Canada e signicant
experience in mining
extraction in densely
populated areas
Rio Tinto Aluminum, copper, A (third-party-checked) X X
diamonds, iron ore, borates,
titanium dioxide, iron, metal
powder, zircons, rutile,
uranium, coal, coking.
Teck Cocal, copper, zinc A (third-party-checked) X X X X
Resources
Vale Nickel, iron ore A (third-party-checked) X X
Xstrata Copper, coking coal, thermal A (third-party-checked) X X X X
coal, ferrochrome, nickel,
vanadium and zinc, with a
platinum group metals
business, gold, cobalt, lead
and silver, recycling facilities
and global technology
products; Spain; South Africa;
Tanzania; United Kingdom
and United States

three sub-areas of CSR practices related to ethics and governance advisory group of independent external member experts in sus-
(vision and strategy, business ethics, and disclosure), all of the tainable development whose role is to generate recommendations
companies have implemented well-developed practices. regarding advanced exploration avenues.
The 20 companies studied possess a corporate vision regarding With regard to business ethics procedures, all of the companies
CSR. Examples of these scripts include efforts to implement this have a code of business ethics and a system for handling host
CSR vision in the form of codes and programs of ethics or roadmaps, communities complaints. Examples include the establishment of
as well as corporate CSR policies, alongside news on their websites systems to prevent the risk of corruption through ethics training,
and sustainability reports. internal audits, external audits, the risk analysis of fraud and cor-
In terms of governance structure, 80% of the companies appoint ruption, and the provision of an independent, anonymous, and
one or more CSR-specialized senior executives who report directly condential 24 h a day, 7 days a week divulgation systems via a
to their board. Examples include the participation of one or more telephone line or an ombudsman.
independent members on the board of directors or an advisory With respect to information disclosure, all of the companies
committee, the appointment of a CSR administrator by production disclose an annual report of their CSR and sustainability perfor-
site and at the national level, and the remuneration of managers mances; the majority of these reports are audited by a third party
who integrate sustainability criteria in the assessment of opera- (application level A or B of the GRI). Because the GRI A
tional performances. For instance, Nexen has established an membership was a condition in selecting the sample, this nding
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 263

Table 4
Illustration of weighting procedure: ethics and governance.a

Ethics and governance

Score 0 1

Vision, strategy, commitments, goals Vision, mission, and organizational values are not clearly - The vision, mission, and values of the organization
and CSR management system dened in terms of sustainability (ethical aspects and are integrated with the principles of sustainable
social concerns of stakeholders). development.
- The organization ensures that these principles
are repeated in other organizational documents
of an ethical content (code of ethics, organizational
policies, and sustainable development report).
- The organization began a reection on the interests
and concerns of stakeholders related to the
organization.
CSR governance structure - Information on the composition and procedures in the - The organization adopts best practice governance
appointment of members to the governing bodies and initiatives that go beyond the requirements
are lacking. contained in the codes of conduct. It has a board
- The organization has no independent members on (of directors or advisory) consisting of one or
its board (of directors or advisory). independent members.
- Generally, decisions are made within a limited and - CSR issues are supervised by an appointee to the
limiting consultative process. VP council.
- The organization advocates transparency and
demonstrates a genuine desire to reconcile the
interests of all stakeholders in the decision
making process.
Business ethics (including whistle-blowing, The organization has no document describing its - The organization has a code of conduct and dened
complaints management, crisis organizational ethics (e.g., code of ethics, code of conduct) organizational ethics which together are designed
management) or has not yet started thinking in this regard. to stimulate all members of the organization to
adopt more ethical behaviors (management issues
of conict of interest, corruption).
- The organization is in compliance with international
commitments and treaties (Universal Declaration
of Human Rights, the principle of the ILO, the
United Nations Global Compact, etc.).
CSR disclosure (CSR report, website), per No CSR report, little or no relevant information on the The company publishes a CSR report.
site and at company level CSR website.
Taking into account the precautionary principle No information on this subject. Taking into account the precautionary principle in
the operational and strategic risk management
Responsible production and consumption: No information on the inclusion criteria of CSR among - The company has developed a specic approach
Criteria and CSR programs in procurement suppliers and subcontractors or statement of intent. for subcontractors and suppliers to ensure
contracts and subcontracts compliance with the CSR criteria in the supply chain.
- The process may involve the signing of a code of
ethics by suppliers, training provided on CSR issues,
evaluations via specic CSR audits.
Relationship with governments (lobbying): No information. - The company is a member of the EITI.
partnership and intergovernmental - It publishes transparent information on its relations
cooperation with governments (royalties and donationsdif a
member of EITI).
a
Tables for the other 3 areas can be provided under request.

was expected. Examples of practices include a comparison impact studies rather than on the corporate level as a whole. The
(benchmarking) of the companys CSR performance with those of fact that the principle is not included in CSR reports is a limitation
other companies in the same sector, transparency on non- because it is neither supported by a governance mechanism nor by
compliance and any nes paid, the disclosure of CSR information a penalty system.
at each industrial site, the publication of stakeholder comments The sub-area responsible production is the second least-
(panel) on the activities, and sustainability reports. For instance, mentioned aspect with only 60% of companies communicating
Totals CSR report is developed by answering eight questions that about this practice. This relatively limited mention may be based on
different specialists asked of various stakeholders. several factors. The rst explanation concerns the fact that in the
Regarding areas for improvement, we observed that very few MOG industries, the CSR aspects of the supply chain represent a
companies refer to the precautionary principle, which is one of the lower priority than local aspects and possibly represent issues that
principles of sustainable development, in their reporting and are more difcult to manage. The second factor concerns the high
communication. This nding may be the result of several factors. costs and challenges related to the implementation of local value
First, the precautionary principle is not included in the present chainsdparticularly in developing areas in which local capacity-
versions of the GRI and the ICMM sustainability frameworks. Sec- building and the networks of small and medium enterprises
ond, although the precautionary principle is a signicant principle (SMEs) are limiteddas well as the difculties in measuring and
of sustainable development as stated by the UN Sustainable auditing achievements in this aspect. This scenario may change in
Development Declaration (1992), it has not actually been decreed the near future because responsible production and consumption
or enforced in many countries or jurisdictions. A third factor to and CSR programs for purchasing contracts and subcontracting
explain this absence is related to the level of analysis. The pre- were recently included in the newer 2013 version of the GRI
cautionary principle is most often embedded in project-specic framework (GRI 4).
264 E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270

Table 5
Scores for the mining and the oil and gas industries.

Mining sector ARM Barrick Gold BHP Goldcorp Newmont Osisko Rio Tinto Teck Vale XStrata Total

Ethical business practices and governance


Vision, strategy, agreements, objectives, and 1 1 1 1 1 1 1 1 1 1 100%
CSR management systems
CSR governance structure 1 0 0 1 1 1 1 1 1 1 80%
Business ethics (whistle-blowing, complaints 1 1 1 1 1 1 1 1 1 1 100%
management, crisis management)
CSR communication (CSR reports, website) 1 1 1 1 1 1 1 1 1 1 100%
by site and at enterprise level
Precautionary approach 0 0 0 0 0 0 1 0 0 1 20%
Responsible production and consumption: CSR 1 1 1 0 0 0 0 0 1 1 50%
criteria and programs in supplier contracts
and outsourcing
Government relations (lobbying): partnerships 1 1 1 1 1 1 1 1 0 1 90%
and inter-governmental cooperation
Environment
Environmental protection: raw materials and 1 1 0 1 1 1 1 1 1 1 90%
waste management as well as reduction
Energy efciency 1 1 1 1 1 0 1 1 1 1 90%
CO2 gas emission reduction and climate change 1 1 1 1 1 1 1 1 1 1 100%
Water management (consumption and 1 1 1 1 1 1 1 1 1 1 100%
gray-water management)
Respect for ecosystem carrying capacity: local 1 1 1 1 1 1 1 1 1 1 100%
impacts, biodiversity
Transport management in and around sites 0 0 0 0 0 0 0 1 0 0 10%
Polluter-payer accountability: post-exploitation 1 1 1 1 1 1 1 1 1 1 100%
site rehabilitation, accidental spills, etc.
Community relations
Participation and community involvement during 1 1 1 1 1 1 1 1 1 1 100%
every step of the project (exploration, development,
exploitation, closing)
Human rights 0 1 1 1 1 0 1 0 0 1 60%
Community relations: subsidiarity 1 1 1 1 1 1 1 1 0 1 90%
Access to knowledge 1 1 1 1 1 1 1 1 1 1 100%
Protection of cultural heritage 1 1 1 1 0 1 1 1 1 0 80%
Contribution to local economic development 1 1 1 1 1 1 1 1 1 1 100%
(employment, local product and services sourcing)
Fair share re-distribution with the community: 1 1 1 1 1 1 1 1 1 1 100%
compensations, (delocalization, nuisances) and
other forms of support
Health and quality of life: health and safety of 1 1 1 1 1 1 1 1 0 1 90%
neighboring communities
Social issues, health, and operational security
Health, quality of life, and employee security 1 1 1 1 1 1 1 1 1 1 100%
Accident prevention and information 1 1 1 1 1 1 1 1 1 1 100%
Skills development, employee training regarding 1 0 1 1 1 1 1 1 1 1 90%
working with communities
Respect of labor laws and working relations 0 1 1 1 1 0 0 1 1 1 70%
Working conditions 0 0 1 1 1 1 1 1 1 1 80%
Equity and social solidarity 0 0 1 1 1 1 1 1 1 1 80%

4.2. Environmental management programs for waste management in the form of closed-loop sys-
tems and ISO 14001-certied environmental management systems.
The area of environmental management (institutional expecta- For instance, Suncor has a system of waste management known as
tion) refers to policies, commitments, and mechanisms for the tailings reduction operations management (TROTM) system,
following up on greenhouse gas (GHG) emissions, water use, the which rapidly converts liquid waste into solids to allow for the
protection of the environment, and biodiversity. rehabilitation and restoration of the landscape after exploitation.
The large majority of companies integrate environmental Regarding energy management, 95% of the companies maintain
management practices and activity impact reductions as part of measures of energy efciency levels and publish quantitative in-
their CSR initiatives. The only least-considered aspect by companies dicators pertaining to their energy consumption. Examples of
concerns transportation, a generally outsourced activity; only 20% effective CSR practices include eco-design, the lifecycle analysis of
of companies integrate this aspect in their environmental policies products and processes, consumer education toward the more
and actions. Table 7 summarizes the results. efcient use of energy, green technology research, and process
In this area, at least ve items appear to be at the top of com- optimization for improved eco-efciency. In addition, the reduction
panies list of preferences. Of the companies studied, 90% reported of GHG emissions also appears to be a common theme for these
on the implementation of programs to reduce the volume of waste companies. We found that 100% of the companies publish a
and raw materials used. Examples of effective environmental quantitative inventory of their GHG emissions. This fact results
practices commonly adopted include partnerships with non- largely from the adoption of the CDP, which obliges listed com-
governmental organizations (NGOs), which allow the company to panies to disclose public information on their energy consumption
acquire expertise, and joint initiatives to gain credibility, as well as and greenhouse gas emissions in the annual surveys. Examples of
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 265

Table 6
Emerging scripts pertaining to ethics and governance.

Institutionalized expectations Regulatory scripts Diffusion

Mining Oil & gas

Vision, strategy, commitments, objectives, The vision, mission, and values of the organization integrate the principles of 100% 100%
and CSR management systems sustainable development. The organization ensures that these principles are
repeated in other organizational documents of ethical content (code of ethics,
organizational policies, and sustainable development report). The organization
began a reection on the interests and concerns of stakeholders related to the
organization.
CSR governance structures The organization adopts best practice governance and initiatives that go beyond 80% 80%
the requirements contained in the codes of conduct. It has a board (of directors
or advisory) consisting of one or independent members. CSR issues are supervised
by an appointee to the VP Council. The organization advocates transparency and
demonstrates a genuine desire to reconcile the interests of all stakeholders in the
decision-making process.
Business ethics (includes whistle-blowing, The organization has a code of conduct and dened organizational ethics, which 100% 100%
the management of complaints, and together are designed to stimulate all members of the organization to adopt more
crisis management) ethical behavior (management issues of conict of interest, corruption). The
organization is in compliance with international commitments and treaties
(Universal Declaration of Human Rights, the principle of the ILO, the United
Nations Global Compact, etc.).
CSR disclosure (CSR report, website) The company publishes a CSR report. 100% 100%
Taking into account the precautionary Taking into account the precautionary principle in the operational and strategic 20% 0%
principle risk management.
Responsible production and consumption: The company has developed a specic approach for subcontractors and suppliers 50% 70%
criteria and CSR programs in purchasing to ensure compliance with CSR criteria in the supply chain. The process may
contracts and subcontracting involve the signing of a code of ethics by suppliers, training provided on CSR
issues, and evaluations via specic CSR audits.
Company-government relations The company is a member of the Extractive Industry Transparency Initiative (EITI). 90% 90%
It publishes transparent information on its relations with governments (royalties
and donationsdif a member of the EITI).

CSR practices commonly adopted by the companies include management and publish statistical indicators regarding their
measuring, monitoring, and publishing the emissions from direct water consumption. Examples of the companies common CSR
and indirect sources of GHG, participating in the CDP, and estab- practices include the water balance of all services, the adaptation
lishing quantitative targets for reducing GHG emissions. For of processes to reduce water use, the disposal of all source points,
instance, Teck Resources uses weather stations to better under- the diffusion of soil and groundwater contamination, the use of
stand the links between their activities and the levels of airborne recycled water for the companies water activities, the imple-
dust generated by the company. mentation of closed circuits for industrial water consumption, and
Water management is also at the top of the list. Our data shows participation in the CDP33 Water Disclosure for listed companies.
that 95% of the companies use a program for effective water Amongst the notable examples is Nexen, which invests in R&D to

Table 7
Emerging scripts pertaining to environmental management.

Institutionalized expectations Regulatory scripts Diffusion

Mining Oil & gas

Environmental protection: management The company applies a Reduction. Recycling. Reuse. waste management program. 90% 90%
and reduction of raw materials It develops or funds a program to reduce the use of raw materials (eco-design, lifecycle
and waste analysis of products and services). These programs can be integrated into a certied
(or not) environmental management system.
Energy management The organization maintains a plan for energy-efciency measures and publishes 90% 80%
quantitative indicators on its energy consumption. Energy management is part of the
continuous improvement process (eco-efciency, research and development, eco-design).
The eco-design approaches are part of the development plan for its facilities and its
products and services. Amongst others, it promotes energy-efcient technologies or
renewable energy sources or other alternatives.
CO2 emission reduction and climate The organization publishes a quantitative inventory of GHG emissions (direct sources and 100% 100%
change some indirect). It has targeted a GHG-emissions reduction project associated with its
activities.
Water management (consumption The organization has an effective water management program: water evaluation of all 100% 90%
and gray-water management) services (water intake, water use, water consumption, and leakage), adaptation of
processes to reduce water usage, elimination of all polluting sources as well as contamination
of the soil and on the organizations territory. It publishes quantitative indicators of its
water consumption.
Respect for ecosystem support capacities: The organization subscribes to the logic of compensation. It listens and encourages 100% 100%
local impacts and biodiversity. partnerships with the local community to protect the environment and biodiversity.
Transportation management in and The organization implements practical actions to minimize pollution resulting from 10% 30%
around sites transport around sites.
Taking into account the polluter pays The organization is within the logic of compensation and rehabilitation of sites after 100% 80%
principle: site remediation after operations. It has a policy of transparently monitoring and reporting leaks and spills.
operation, leaks, and spills
266 E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270

replace as much used freshwater as possible with saline following ve aspects of CSR are considered by more than 75% of
groundwater. the companies: 1) the participation or involvement of commu-
The fth item of high interest for the companies in these in- nities; 2) access to knowledge; 3) the protection of cultural heri-
dustries is respect for the ecosystems carrying capacity. We found tage; 4) economic development assistance; and 5) the health and
that 90% of the organizations abide by prevention and/or quality of community life. The aspect considered least in the CSR
compensation for environmental and biodiversity impacts within communication of the studied companies pertains to human rights.
the context of partnerships and agreements with local commu- Only 35% of the companies recognize and take into account the
nities. Examples include projects and programs for the exploration, principle of the free, prior, and informed consent (FPIC) of com-
monitoring, and conservation of biodiversity in partnership with munities. Table 8 summarizes the results.
various stakeholders such as NGOs and universities, or the place- Whereas participation and commitment in communities ap-
ment of barriers for the protection of wildlife. Notably, Rio Tinto has pears to be a priority for the mining industry, this element is less
developed and deployed globally a procedure to minimize the important for the oil and gas industry. Taken together, 85% of the
impact on biodiversity on all of its sites. In addition, before the start companies have developed a policy or charter dening their CSR
of operations, Barrick Gold collects regional plants and herbs that practices in the eld of community relations. Such a publicly
will be affected. These plants and herbs are grown in local nurseries available document outlines the specic commitments of the or-
and are then replicated throughout the mines lifecycle for the ganization vis--vis the community and the principles to which it is
environmental rehabilitation of the site. committed to for dialogue implementation. Notably, 100% of the
Areas for improvement also exist. The main limitation of these mining companies take into account the participation of the com-
scripts concerns transportation management in and around sites. In munities within their CSR practices. Examples include the
all of the leading companies studied transportation management in following: the establishment and operation of a site-specic advi-
and around sites remains an issue that is largely unaddressed for sory council with community representatives; information ses-
several reasons. First, this issue is covered or addressed partially sions; company site visits; open days for the community; the
through other areas (EHS, mitigation impacts, GHG). Second, training of managers in the process of dialogue with communities;
because integrated transportation management requires coopera- and internal and external audits on the quality of relationships
tion between mining companies and participants in their value between sites and communities. For instance, Newmont Mining
chain, companies have not yet reached an overall view and un- Corporation consulted 75 women regarding the relocation of in-
derstanding of the entire value chain including transportation- dividuals from displaced homes through the creation of a female
related issues. The disclosure of transportation management per- advisory committee from the local community. The women on the
formance in and around the sitesdparticularly of GHG and CO2dis committee receive funding and training and can establish their
still a relatively new issue, and measurement is therefore not yet own businesses. Rio Tinto funds an external expert, selected by the
institutionalized. community, who provides the community with independent
advice. The company is committed to the fact that no discussion
4.3. Community relations with communities is performed without this independent expert
being present.
Corporate-community relations (institutional expectation) are Providing access to knowledge is another practice undertaken
concerned with the policies and processes of participation and by the majority of the companies analyzed. We found that 85% of
engagement with local communities and with practices aimed at the companies promote education and the dissemination of infor-
maximizing local economic development. The results for the CSR mation to the general public and local government through their
practices related to community relations are rather mixed. The programs. They often organize activities to raise awareness about

Table 8
Emerging scripts pertaining to community relations.

Institutionalized expectations Regulatory scripts Diffusion

Mining Oil & gas

Participation and engagement with communities The organization has developed a policy or charter specic to community 100% 70%
at every stage of the project (exploration, relationships. It is a public document and species the specic commitments
development, operation, closure) of the organization vis--vis the communities.
Human rights policy The organization recognizes and respects the principle of free, prior, and 60% 10%
informed consent (FPIC) of communities.
Community relations: subsidiarity The organization signs agreements with the communities where it operates. 90% 30%
Access to knowledge The organization develops specic actions to spread clear and transparent 100% 70%
information about their practices and industrial activities and also promotes
educational programs. It also raises awareness about health and safety issues
related to the community (e.g., Fracfocus, malaria, deforestation).
Protection of cultural heritage The organization initiates global planning and cultural development of the 80% 70%
territory in the development of cultural and heritage programs in which
they participate.
Contribution to local economic development The organization promotes the development of the socioeconomic sector or 100% 100%
(employment, purchase of local goods that of reinsertion initiatives. It promotes and facilitates the physical participation
and services) of employees in the community life of the area (cultural, sports, insertion, etc.).
The organization integrates and gives priority to local providers.
Benet sharing with the community: The organization regularly donates to some local agencies (or provides 100% 30%
compensation (relocation, pollution) and sponsorships) or participates within the framework of a locally coordinated
other forms of support approach.
Health and quality of life (health and safety The organization tracks and monitors the quality of life and the health of 90% 60%
of surrounding communities) communities through, for example, baseline analysis and monitoring of water
and air quality around its operational sites.
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 267

health and safety issues pertinent to the communities. Examples lies in the relatively recent integration of human rights as a CSR
include the establishment of training programs and information issue. Human rights issues previously were addressed domestically
sessions for communities. by national states (Ruggie, 2004) until recent scandals and polemics
Contributions to economic development appear to top the list triggered the United Nations initiative led by John Ruggie to pro-
for both of the industries. We found that 100% of the organizations mote human rights in the business community. This initiative
favor the development of social and economic reintegration and resulted in the publication of the 2008 UN Framework on Business
reinsertion efforts. By adopting this approach, the companies and Human Rights and the 2011 UN Guiding Principles on Business
integrate and prioritize local suppliers. Examples include the and Human Rights. It also culminated in the integration of human
following: training and employing local labor; forming contractual rights in international CSR frameworks, such as ISO 26000 and the
relationships with suppliers and subcontractors; offering scholar- GRI, over the course of the past decade. Nonetheless, because this
ships and internships to members of the community; creating integration occurred relatively recently, additional time may be
funds to promote the integration of young people or people seeking needed for human rights to be turned into regulatory scripts. In all,
employment; and establishing programs to encourage employee the issue of human rights is relatively new for the majority of
participation in the community life of the area (culture, sports, mining companies; although companies are working on it, few
insertion, etc.). have actually dened a policy to address the issue. Second, the
Finally, a difference exists in the perception of the relevance of relevance of human rights varies in the function of the degree of
local input in CSR concerns between the mining and the oil and gas consolidation of national institutions. Companies operating pri-
industries. This difference is illustrated by two sub-areas, namely, marily in OECD countries in which national institutions are
local benet-sharing and the principle of subsidiarity. Whereas consolidated will have less pressure and need to elaborate a human
local benet-sharing appears to be a well-deployed practice in the rights policy than companies operating primarily in countries with
mining industry, it is less evident in the oil and gas industry: 100% less consolidated institutions.
of companies in the mining sector but only 30% of companies in the
oil and gas sector have a local benet-sharing scheme. Subsidiarity, 4.4. Social, health, and safety issues
a principle of sustainable development proposed in the 1992 Rio
Declaration, is mentioned by 90% of the mining companiesdin the The CSR practices of the companies are relatively well-
form of company-community agreementsdas opposed to only 30% developed in terms of social issues and the health and safety of
for oil and gas companies. This signicant difference in the operations and employees (institutional expectation). The majority
perception of the relevance of local input may stem from two main of the companies have implemented preventative mechanisms
reasons. The rst reason is related to the fact that oil activities occur with regard to health, safety, and accident prevention. The least-
on a larger scale than those of mining operations; most frequently, mentioned aspects in the communication of companies CSR
negotiations between companies and governments are in effect for practices are related to labor laws and employee relations. Table 9
the oil sector, whereas mining companies work locally to a greater summarizes the results.
extent and on a smaller scale, for which a local license is required to Social, health, and safety issues involve established and explicit
operate. The second reason is related to the rst: mining companies programs regarding the environmental health and safety (EHS) of
operate more on aboriginal lands than oil and gas companies do. employees. The companies publish performance indicators with
Mining companies have developed experience in crafting impact regard to health and safety. Concerning health and the quality of
benet agreements (IBAs) with rst nations in major mining lands life, 100% of the companies have implemented mechanisms to
such as Australia and Canada. The IBA practice has been supported prevent occupational injuries or diseases and to reduce their
and encouraged by mining industry associations. For a review of occurrence and impact. Examples include the following: the
IBAs, see http://www.impactandbenet.com/). establishment of committees for health and wellness; prevention
Areas for improvement also exist. Only 35% of the investigated committees; health programs; emergency teams; and program
rms had a human rights policy. One potential explanation for this suggestions from employees and health and safety contractors. For
gap between international CSR frameworks and observed practices instance, Total selects a safety star from among its employees and

Table 9
Emerging scripts pertaining to social, health, and safety issues.

Institutionalized expectations Regulatory scripts Diffusion

Mining Oil & gas

Health, quality of life, and safety of employees The organization has in place mechanisms to prevent occupational injuries 100% 100%
or diseases (e.g., health & wellness committee, prevention committee, health
program) in order to reduce the impact of occupational diseases. It publishes
indicators on health and safety performances, and integrates the health and
safety of its subcontractors employees in its policies.
Prevention and accident information The organization has conducted risk analyses of its industrial processes and 100% 100%
activities.
Skills development, training of employees in The organization uses a dynamic and comprehensive training plan that is consistent 90% 60%
community relationship building with the development strategy of the organization. Employees are trained in
CSR, and the bonuses of managers and executives are linked to the CSR
performance of the organization.
Respect for labor rights and labor relations The organization possesses well-identied and structured mechanisms for 70% 60%
consultation.
Working conditions The organization has a report that frames their working conditions (labor 80% 80%
agreement, manual, or otherwise). Working conditions are comparable to
those prevailing in the industry (benets, insurance, and compensation).
Social equity and solidarity The organization has a recruitment management system and applies strict measures 80% 90%
that comply with the Employment Equity Act wage (see Appendix G). It is
transparent and fair with respect to salary scales and promotion criteria.
268 E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270

suppliers to encourage individuals to engage in health and safety 5. Discussion and conclusions
activities. Statoil has established a telemedicine network, which
aims to assist employees in the event of disasters through remote In this article, we have examined CSR practices as stated by best-
24 h a day, 7 days week assistance. in-class companies in the MOG industries on a global level. Using
In terms of prevention, 100% of the organizations have con- new-institutionalism and management standards literature we
ducted risk analyses of industrial processes and activities. Examples have developed an original method to grasp, group, compare, and
include mock rst-aid interventions, safety training, and the or- evaluate CSR practices with regards to international CSR standards.
ganization of a day of security. Regarding working conditions, 80% This research yielded three main contributions.
of the organizations have developed documents to regulate work- First, because regulatory scripts are a response to international
ing conditions. Examples include the study of the psychosocial frameworks (institutional expectations), our study allows an eval-
environment (workload, health, and safety), ergonomics, and well- uation of these practices that is particularly useful for external
being at work. Employees are supported via a condentiality tele- stakeholders such as regulators and NGOs. By and large, we found
phone line program (employee assistance program), which is that the rms studied in this paper were very responsive to insti-
available 24 h a day, 7 days a week, as well as through excellence tutional CSR expectations. The rms have explicit organizational
awards to reward the best employees. For instance, Vale has practices regarding the majority of the areas identied in the in-
established the following programs: prevention campaigns against ternational frameworks. As shown in Table 10, environmental
diabetes and cancer for employees families; support groups for the management and social, health, and safety issues are particularly
family members of employees who have diabetes, high blood well covered, primarily because these areas address older issues
pressure, and the risk of heart disease; prevention campaigns and thus have been more institutionalized. For instance, environ-
against malaria and HIV/AIDS; and workshops on drugs and their mental regulatory agencies were created in the majority of devel-
negative effects. oped countries during the 1970s following the establishment of the
Finally, 85% of the companies include the principles of fairness Environmental Protection Agency (EPA) in the U.S. in 1970 and the
in their recruitment process and wage policies. Examples include 1972 United Nations Stockholm Conference on the Environment
transparency and fairness in pay scales and promotion criteria, (Maguire and Hardy, 2006). In addition, these areas are frequently
working with people with disabilities, and leadership programs for enforced locally by laws. Conversely, precautionary principles,
women in management positions. For instance, Rio Tinto has transportation management around sites, and human rights pol-
developed a guide (Why Gender Matters) for all employees of the icies have been poorly addressed by the rms in our sample. These
company to encourage womens involvement in community site sub-areas require further attention from actors interested in CSR,
activities and community decision-making with respect to their including rms, activists, and most importantly, regulators. As
relations with people at exploitation sites. In all, EHS is widely highlighted by John Ruggie, because the extractive industry has a
recognized as an issue in which substantial progress has been strong impact on local communities (Connor, 2011), the gap in
achieved over the past 20 years in both industries through the joint these areas should warn regulators against the pick and choose
actions of companies, industry associations, and mining and oil approach, namely, the idea that rms in the extractive industry
graduate education (see the Mining Institute of Canada, http://web. might perform exemplarily in CSR issues that are of minor impor-
cim.org/safety/). EHS represents a salient issue whose progress and tance to their local stakeholders while neglecting issues that are the
advancement could exemplify the road ahead for the other sets of most socially damaging. Conversely, the distinction between
issues that must be addressed by both industries. motivation and openness to disclose, namely the soft dimension,

Table 10
CSR scripts diffusion in our sample.

Ethics and governance Mining O&G Environment Mining O&G Community relations Mining O&G Social, health, and safety Mining O&G
issues

Vision, strategy, 100% 100% Environmental 90% 90% Participation and 100% 70% Health, quality of life, 100% 100%
commitments protection engagement with and safety of employees
communities at every
stage of the project
CSR governance 80% 80% Energy management 90% 80% Human rights policy 60% 10% Prevention and accident 100% 100%
structures information
Business ethics 100% 100% CO2 emission reduction 100% 100% Community relations: 90% 30% Skills development, 90% 60%
(whistle-blowing, and climate change subsidiarity training employees in
the management community relationship
of complaints and building
crises)
CSR disclosure 100% 100% Water management 100% 90% Access to knowledge 100% 70% Respect for labor rights 70% 60%
and labor relations
Taking into account 20% 0% Respect for ecosystem 100% 100% Protection of cultural 80% 70% Working conditions 80% 80%
the precautionary support capacities heritage
principle
Responsible production 50% 70% Transportation 10% 30% Contribution to local 100% 100% Social equity and 80% 90%
and consumption management in and economic development solidarity
around sites
Relations with 90% 90% Taking into account the 100% 80% Benet sharing with the 100% 30%
governments polluter pays principle community
Health and quality of 90% 60%
life of surrounding
communities
E. Raufet et al. / Journal of Cleaner Production 84 (2014) 256e270 269

and data richness and reporting ability, namely the hard dimen- from our study by developing innovative internal practices and
sion (Perk and Sinding, 2003) may be taken into account. While external initiatives that have the potential to transform the entire
information may be available, transparency may not be a priority in industry.
some circumstances. Future research should systematically inves- Notably, this study relied on public reports published by the
tigate why MOG rms are responsive to hybrid regulations in selected companies. Although it was not our objective to under-
certain areas and less in others and identify actions to make hybrid stand some of the voluntary CSR practices undertaken by the
regulation more effective in those areas. We also require additional companies in the industries under analysis, we acknowledge that
issue-specic studies to better understand why certain contexts this type of data is limited to the information that companies pro-
prevent CSR expectations from being accepted and turned into vide. Additionally, our data are cross-sectional and reect a specic
practices. An additional line of inquiry may be the understanding of point in time. We believe that future studies that aim to unveil how
whether the different types of media may inuence the disclosure regulatory scripts are produced and reproduced in this eld could
of social and environmental information in the extractive industry. adopt a longitudinal approach and use a historical perspective.
Although recent studies have investigated this question in the
mining sector in Australia (Lodhia, 2012; Pellegrino and Lodhia,
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