Phase 1: Planning and scoping
VIDEO: Overview of the planning and scoping phase
Good planning and scoping will go a long way to ensuring that a HRIA is effectively conducted and that it achieves the desired results.
The purpose of scoping is to define the parameters for the assessment by considering:
- The type of business project or activities
- The human rights context
- Who the relevant stakeholders are
This information is then used to inform the development of the terms of reference (TOR), a written document that presents the scope and purpose of the HRIA. A well-constructed TOR can be critical for ensuring that the subsequent assessment is conducted according to the expected standards and principles.
The company and practitioners then build the HRIA team, which should be independent from the company in order to ensure legitimacy.
Scoping and TOR should always provide some flexibility to allow increased time and attention to topics and issues that are most relevant, as well as inclusion of unanticipated human rights impacts. While in the scoping phase most information is collected through desktop research, a short and targeted scoping trip by the assessment team to the assessment site(s) to gain an initial on-the-ground overview can be extremely beneficial. It should be included if appropriate based on the complexity of the HRIA context and the scale of the assessment.
Stakeholder engagement in Phase 1
Stakeholder engagement needs to be at the core of a HRIA, and participation of rights-holders is crucial at all stages of the assessment process.
During Phase 1, HRIA practitioners should identify relevant stakeholders to consult throughout the HRIA.Some preliminary interviews with stakeholders may also take place.
Section B.2 of the stakeholder engagement guidance provides help with identifying relevant stakeholders.
Section 1.4 of the stakeholder engagement practitioner supplement features tools for stakeholder identification and mapping.
Terms of Reference Practitioner Supplement:
- checklist of elements practitioners should consider when drafting the TOR
The Scoping Practitioner Supplement:
- example sources and questions for scoping the human rights context and the business project or activities
VIDEO: Phase 1 case study – Community Insights Group. Using maps in human rights impact assessment. The case studies demonstrate practical experiences and dilemmas from HRIA practitioners and companies that have used this toolbox.
Disclaimer: The case studies are from external organisations and do not necessarily reflect the views of the DIHR. The DIHR is an independent, national human rights institution, established under the Paris Principles. Parties relying on any information contained within the case studies do so at their own discretion.