1 The Voluntary Principles on Security and Human Rights Lessons Learned & Future Challenges

2 What are the Voluntary Principles? The only guidelines specifically for security and human rights issues in the extractives sector Provide guidance on three issues: 1.Risk assessment 2.Engagement with public security forces 3.Relations with private security services

3 Differ from other standards in that they provide for a process of continued dialogue and cooperation. Deliberately drafted without identifying challenges in particular countries and to apply globally. What are the Voluntary Principles?

4 1.Risk Assessment with regard to Security and Human Rights Issues Review human rights records of public and private security forces. Evaluate the rule of law, capacity of prosecuting authority and judiciary. Conduct conflict analysis; root causes and nature. Examine equipment transfers

5 2.Interactions between companies and private and public security Screen human rights records of security personnel. Conduct human rights training programs for security. Consult stakeholders on their experiences with security forces.

6 2.Interactions between companies and private and public security Include the VPs in security contracts and agreements. Convey guidelines for use of force/force proportional to the threat. Record and report allegations of abuses.

7 Why Implement the VPs? 1.Improved Security Better understand and anticipate of risk; more effective monitoring of context, improved mitigation Improved community relations – good neighbours are the best security Attempts to improve standards in security forces; stabilizes operating environment

8 2.Reputational Risk Build relations with local and int’l NGOs Creates alliances with other companies to collectively address shared problems, spreads the risk of individual exposure Reduces the risk of being considered complicit in mercenary actions or military interventions Why Implement the VPs?

9 3.Respect for Rule of Law Help strengthen the rule of law by supporting judicial process Contributes to local governance Building capacity of public and private security forces Why Implement the VPs?

10 Official VPs Participants BHP Billiton Hydro Rio Tinto Talisman Energy

11 Role of Secretariat BSR and UK-based International Business Leaders Forum (IBLF) co-secretariat since 2004: Serve as neutral facilitators of the VPs process. Chair the Steering Committee, lead Working Groups. Support ‘in-country’ efforts to implement the VPs. Identify opportunities and conduct outreach to promote the VPs. Foster information sharing among participants. Help organize the Annual Plenary and other events.

12 Encourage host governments to permit making security arrangements transparent. Ensure equipment imports and exports comply with all applicable law and regulations. Take appropriate and lawful measures to mitigate any foreseeable negative consequences associated with equipment transfers. Expectations of Companies

13 Expectations of Companies Communicate policies regarding ethical conduct and human rights to public security providers Request security be provided in a manner consistent with those policies by personnel with adequate and effective training. Consult regularly with host governments and local communities about the impact of their security arrangements on those communities.

14 Expectations of Private Security Provide preventative and defensive services only Do not engage in any activity considered to the exclusive responsibility of state military or law enforcement authorities. Do not violate the rights of individuals.

15 Maintain high levels of technical and professional proficiency, particularly with regard to the local use of force and firearms. Exercise restraint and caution regarding the use of force. Use force only when strictly necessary and to an extent proportional to the threat. Expectations of Private Security

16 Do not employ individuals credibly implicated in human rights abuses to provide security services. Observe the policies of the contracting Company regarding ethical conduct and human rights Act in a lawful manner Designate services, technology and equipment capable of offensive and defensive purposes as being for defensive use only. Expectations of Private Security

17 Expectations of Public Security Primarily - maintain the rule of law, including safeguarding human rights and deterring acts that threaten company personnel and facilities. The type and number of public security forces deployed should be competent, appropriate and proportional to the threat. Where force is used, medical aid should be provided to injured persons, including to offenders.

18 Implementation Best Practices (1) Early CEO or senior level executive sponsorship –Elevates priority of VPs, ensures allocation of required resources –Facilitates internal company engagement and implementation. VPs embedded in private security contracts, agreements with host governments and local police, and risk assessments: –Formalizes commitment to implementation and ongoing engagement. –Establishes expectations and responsibilities –Training a critical component for management, public and private security forces

19 VPs integrated into company management of social issues –Embedded in company social policies –Often a trigger to develop specific human rights policies –Integrated into staff orientations, trainings and evaluation processes. VPs integrated into third party management of social issues –Referenced in International Finance Corporation (IFC) Performance Standards –Colombian Ministry of National Defense “Comprehensive Human Rights and IHL Policy Implementation Best Practices (2)

20 Clear internal guidelines for addressing alleged human rights abuses and sharing incident reviews with relevant agencies and stakeholders: –Anonymous “whistle blower” process for capturing concerns and grievances reinforces community trust –Establishing “open space” engagement allows concerns to be surfaced before they become grievances –Engage in human rights training with state forces through a third party, and in a transparent manner. Best practices, challenges and key learning on implementation shared with peer companies and other actors: –In Colombia, ACP leads a working group of companies, governments and NGOs to support more effective implementation and to facilitate dialogue on human rights. Implementation Best Practices (3)

21 Performance assessment, management and reporting: –NGOs and/or other third parties engaged in reviewing security arrangements and other human-rights-related conditions –Companies in Colombia have begun to pilot a set of performance indicators developed by London based NGO International Alert – this is part of an effort to develop a baseline regarding implementation by companies here. Implementation Best Practices (4)

22 Need for tools and guidelines for effective implementation. Sharing best practice and lessons learned can raise performance. Multi-stakeholder approach enhances process, but also presents its own challenges. Building multi-stakeholder dialogue easier at headquarters level than in area of operations: –The latter is crucial Lessons learned: Implementation (1)

23 Lessons learned: Implementation (2) Major challenges include: Developing a human rights culture throughout the company Securing commitment from other actors (public and private security forces, host governments) Building confidence of local communities

24 How to drive forward the establishment of in-country implementation processes? How to secure host government engagement? How to involve local civil society/NGOs without becoming enmeshed in politics? Future challenges: VPs at 10 Years Old

25 How to broaden participation…. ….without lowering standards? How to assess ‘suitability’ of potential new participants? How to deal with allegations that a participant has fallen below expected standard? Future challenges: VPs at 10 Years Old

26 Contact Information Doug Bannerman Senior Manager, Advisory Services Business for Social Responsibility (BSR) T: Birgit Errath Manager International Business Leaders Forum (IBLF) +44 (207)