VOLUNTARY PRINCIPLES ON SECURITY & HUMAN RIGHTS

What are the Voluntary Principles? Tripartite, multi-stakeholder initiative Initiated in 2000 by UK Foreign Office and

US State Department Guidelines for security arrangements

between Extractive / energy companies Public or private security providers

Monitoring and enforcement provisions Apply to participants, increasingly to host

countries Model for individual agreements Creates no legally binding obligations

Premises

States are to protect and promote human rights

Companies have human rights responsibilities

Companies need security Companies can have significant

influence on host country governments, economies, civil society

Participants

Governments Companies

Energy Extractive

Non-governmental organizations (NGOs)

New Participants

Applicants must be approved by consensus

Steering Committee hears appeals of denials

Corporate applicants need not be based in a participating country

Participation Criteria

Publicly promote Voluntary Principles Proactively implement, assist in

implementation Attend plenary, other meetings Report annually on efforts, publicly and

to Steering Committee Dialogue with other participants Respond to requests for information by

other participants

Part I – Risk Assessment

Identify security risks arising from political, social, economic factors

Examine relevant human rights records Assess potential for violence & responsiveness

of local authorities Identify & understand root causes of local

conflicts Take special care in providing equipment

Feasible measures to prevent foreseeable problems

Prevent misapprehension and diversion

Part II – Companies & Public Security Companies must train on human rights,

“express desire” that forces comply Encourage host governments to create

transparency re: security arrangements Ensure that past violators are not hired Ensure necessary, proportionate, and

responsible use of force Respect individual rights, including

offenders’

Part II – Companies & Public Security Regular, structured meetings with security Consult with other companies, home and

host governments, civil society Address concerns collectively with other

companies operating in the region Promote host country compliance,

accountability, training and education Monitor investigations, promote due

process and proper resolution

Part III – Companies & Private Security Sometimes private security is necessary to

supplement public Same obligations as Part II Private forces should have their own rules

of conduct, disciplinary measures Must be open to monitoring by local

authorities Only preventive and defensive acts – stay

out of military and law enforcement activities

Part III – Companies & Private Security Companies must draft contracts in

accordance with Principles, monitor compliance

When possible, hire security providers that are representative of local population

Run background check before contracting Open exchange of information on past

abuses between companies, home and host governments, civil society

Enforcement

Direct dialogue Raise concerns to Steering Committee for

investigation Well founded concerns are referred to

Secretariat, which attempts to broker a deal

If no deal, plenary is called to make recommendation

Failure to implement recommendation renders participant inactive