VOLUNTARY PRINCIPLES

GROUP-4

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

Monitoring and enforcement provisions Apply to participants, increasingly to

Extractive / energy companies Public or private security providers

host countries Model for individual agreements Creates no legally binding obligations

Premises
States

rights Companies have human rights responsibilities Companies need security Companies can have significant influence on host country governments, economies, civil society

are to protect and promote human

Participants
Governments

(7) Companies (20)

Energy Extractive

Non-governmental

(NGOs)(10)

organizations

New Participants
Applicants

consensus Steering Committee hears appeals of denials Corporate applicants need not be based in a participating country

must be approved by

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 misappropriation and diversion

Part II Companies & Public Security

Security arrangements:

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

Deployment and conduct:

Part II Companies & Public Security

Consultation and advice: 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

Responses to human right abuses: Record and report any credible allegations of human rights abuses by public security Monitor investigations, promote due process and proper resolution

Part III Companies & Private Security

Sometimes private security is necessary to supplement public Same obligations as of Public security Private forces should observe the policies of the contracting company regarding ethical conduct and human rights 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 deal If no deal, plenary is called to make recommendation Failure to implement recommendation renders participant inactive