The Voluntary Principles on Security
and Human Rights
Lessons Learned & Future Challenges
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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
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What are the Voluntary Principles?
• 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.
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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
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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.
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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.
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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
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Why Implement the VPs?
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
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Why Implement the VPs?
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
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Official VPs Participants
Hydro
BHP Billiton
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Talisman Energy
Rio Tinto
Role of Secretariat
• BSR and UK-based International Business
Leaders Forum (IBLF) co-secretariat since 2004:
•
•
•
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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.
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Expectations of Companies
• 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.
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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.
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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.
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Expectations of Private Security
• 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.
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Expectations of Private Security
• 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.
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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.
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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
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Implementation Best Practices (2)
• 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
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Implementation Best Practices (3)
• 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.
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Implementation Best Practices (4)
• 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.
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Lessons learned: Implementation (1)
• 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
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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
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Future challenges:
VPs at 10 Years Old
• 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?
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Future challenges:
VPs at 10 Years Old
• 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?
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Contact Information
Doug Bannerman
Senior Manager, Advisory Services
Business for Social Responsibility (BSR)
T: 415 984 3210
dbannerman@bsr.org
Birgit Errath
Manager
International Business Leaders Forum (IBLF)
+44 (207) 467-3639
birgit.errath@iblf.org
www.voluntaryprinciples.org
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