The Governments of the United States and the United Kingdom, companies
in the extractive and energy sectors ("Companies"), and
non-governmental organizations, all with an interest in human rights
and corporate social responsibility, have engaged in a dialogue on
security and human rights.
The participants recognize the importance of the promotion and
protection of human rights throughout the world and the constructive
role business and civil society -- including non-governmental
organizations, labor/trade unions, and local communities -- can play in
advancing these goals. Through this dialogue, the participants have
developed the following set of voluntary principles to guide Companies
in maintaining the safety and security of their operations within an
operating framework that ensures respect for human rights and
fundamental freedoms. Mindful of these goals, the participants agree to
the importance of continuing this dialogue and keeping under review
these principles to ensure their continuing relevance and efficacy.
Acknowledging that security is a fundamental need, shared by
individuals, communities, businesses, and governments alike, and
acknowledging the difficult security issues faced by Companies
operating globally, we recognize that security and respect for human
rights can and should be consistent;
Understanding that governments have the primary responsibility
to promote and protect human rights and that all parties to a conflict
are obliged to observe applicable international humanitarian law, we
recognize that we share the common goal of promoting respect for human
rights, particularly those set forth in the Universal Declaration of
Human Rights, and international humanitarian law;
Emphasizing the importance of safeguarding the integrity of
company personnel and property, Companies recognize a commitment to act
in a manner consistent with the laws of the countries within which they
are present, to be mindful of the highest applicable international
standards, and to promote the observance of applicable international
law enforcement principles (e.g., the UN Code of Conduct for Law
Enforcement Officials and the UN Basic Principles on the Use of Force
and Firearms by Law Enforcement Officials), particularly with regard to
the use of force;
Taking note of the effect that Companies' activities may have on
local communities, we recognize the value of engaging with civil
society and host and home governments to contribute to the welfare of
the local community while mitigating any potential for conflict where
possible;
Understanding that useful, credible information is a vital
component of security and human rights, we recognize the importance of
sharing and understanding our respective experiences regarding, inter alia,
best security practices and procedures, country human rights
situations, and public and private security, subject to confidentiality
constraints;
Acknowledging that home governments and multilateral
institutions may, on occasion, assist host governments with security
sector reform, developing institutional capacities and strengthening
the rule of law, we recognize the important role Companies and civil
society can play in supporting these efforts;
We hereby express our support for the following voluntary
principles regarding security and human rights in the extractive
sector, which fall into three categories, risk assessment, relations
with public security, and relations with private security:
RISK ASSESSMENT
The ability to assess accurately risks present in a Company's
operating environment is critical to the security of personnel, local
communities and assets; the success of the Company's short and
long-term operations; and to the promotion and protection of human
rights. In some circumstances, this is relatively simple; in others, it
is important to obtain extensive background information from different
sources; monitoring and adapting to changing, complex political,
economic, law enforcement, military and social situations; and
maintaining productive relations with local communities and government
officials.
The quality of complicated risk assessments is largely
dependent on the assembling of regularly updated, credible information
from a broad range of perspectives -- local and national governments,
security firms, other companies, home governments, multilateral
institutions, and civil society knowledgeable about local conditions.
This information may be most effective when shared to the fullest
extent possible (bearing in mind confidentiality considerations)
between Companies, concerned civil society, and governments.
Bearing in mind these general principles, we recognize that accurate,
effective risk assessments should consider the following factors:
- Identification of security risks. Security risks can result
from political, economic, civil or social factors. Moreover, certain
personnel and assets may be at greater risk than others. Identification
of security risks allows a Company to take measures to minimize risk
and to assess whether Company actions may heighten risk.
- Potential for violence. Depending on the
environment, violence can be widespread or limited to particular
regions, and it can develop with little or no warning. Civil society,
home and host government representatives, and other sources should be
consulted to identify risks presented by the potential for violence.
Risk assessments should examine patterns of violence in areas of
Company operations for educational, predictive, and preventative
purposes.
- Human rights records. Risk assessments should
consider the available human rights records of public security forces,
paramilitaries, local and national law enforcement, as well as the
reputation of private security. Awareness of past abuses and
allegations can help Companies to avoid recurrences as well as to
promote accountability. Also, identification of the capability of the
above entities to respond to situations of violence in a lawful manner
(i.e., consistent with applicable international standards) allows
Companies to develop appropriate measures in operating environments.
- Rule of law. Risk assessments should consider the
local prosecuting authority and judiciary's capacity to hold
accountable those responsible for human rights abuses and for those
responsible for violations of international humanitarian law in a
manner that respects the rights of the accused.
- Conflict analysis. Identification of and
understanding the root causes and nature of local conflicts, as well as
the level of adherence to human rights and international humanitarian
law standards by key actors, can be instructive for the development of
strategies for managing relations between the Company, local
communities, Company employees and their unions, and host governments.
Risk assessments should also consider the potential for future
conflicts.
- Equipment transfers. Where Companies provide
equipment (including lethal and non-lethal equipment) to public or
private security, they should consider the risk of such transfers, any
relevant export licensing requirements, and the feasibility of measures
to mitigate foreseeable negative consequences, including adequate
controls to prevent misappropriation or diversion of equipment which
may lead to human rights abuses. In making risk assessments, companies
should consider any relevant past incidents involving previous
equipment transfers.
INTERACTIONS BETWEEN COMPANIES AND PUBLIC SECURITY
Although governments have the primary role of maintaining law
and order, security and respect for human rights, Companies have an
interest in ensuring that actions taken by governments, particularly
the actions of public security providers, are consistent with the
protection and promotion of human rights. In cases where there is a
need to supplement security provided by host governments, Companies may
be required or expected to contribute to, or otherwise reimburse, the
costs of protecting Company facilities and personnel borne by public
security. While public security is expected to act in a manner
consistent with local and national laws as well as with human rights
standards and international humanitarian law, within this context
abuses may nevertheless occur.
In an effort to reduce the risk of such abuses and to promote
respect for human rights generally, we have identified the following
voluntary principles to guide relationships between Companies and
public security regarding security provided to Companies:
Security Arrangements
- Companies should consult regularly with host governments and local
communities about the impact of their security arrangements on those
communities.
- Companies should communicate their policies regarding
ethical conduct and human rights to public security providers, and
express their desire that security be provided in a manner consistent
with those policies by personnel with adequate and effective training.
- Companies should encourage host governments to permit
making security arrangements transparent and accessible to the public,
subject to any overriding safety and security concerns.
Deployment and Conduct
- The primary role of public security should be to 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.
- Equipment imports and exports should comply with all
applicable law and regulations. Companies that provide equipment to
public security should take all appropriate and lawful measures to
mitigate any foreseeable negative consequences, including human rights
abuses and violations of international humanitarian law.
- Companies should use their influence to promote the
following principles with public security: (a) individuals credibly
implicated in human rights abuses should not provide security services
for Companies; (b) force should be used only when strictly necessary
and to an extent proportional to the threat; and (c) the rights of
individuals should not be violated while exercising the right to
exercise freedom of association and peaceful assembly, the right to
engage in collective bargaining, or other related rights of Company
employees as recognized by the Universal Declaration of Human Rights
and the ILO Declaration on Fundamental Principles and Rights at Work.
- In cases where physical force is used by public security,
such incidents should be reported to the appropriate authorities and to
the Company. Where force is used, medical aid should be provided to
injured persons, including to offenders.
Consultation and Advice
- Companies should hold structured meetings with public security on a
regular basis to discuss security, human rights and related work-place
safety issues. Companies should also consult regularly with other
Companies, host and home governments, and civil society to discuss
security and human rights. Where Companies operating in the same region
have common concerns, they should consider collectively raising those
concerns with the host and home governments.
- In their consultations with host governments, Companies
should take all appropriate measures to promote observance of
applicable international law enforcement principles, particularly those
reflected in the UN Code of Conduct for Law Enforcement Officials and
the UN Basic Principles on the Use of Force and Firearms.
- Companies should support efforts by governments, civil
society and multilateral institutions to provide human rights training
and education for public security as well as their efforts to
strengthen state institutions to ensure accountability and respect for
human rights.
Responses to Human Rights Abuses
-
Companies should record and report any credible allegations of human
rights abuses by public security in their areas of operation to
appropriate host government authorities. Where appropriate, Companies
should urge investigation and that action be taken to prevent any
recurrence.
- Companies should actively monitor the status of investigations and press for their proper resolution.
- Companies should, to the extent reasonable, monitor the
use of equipment provided by the Company and to investigate properly
situations in which such equipment is used in an inappropriate manner.
- Every effort should be made to ensure that information
used as the basis for allegations of human rights abuses is credible
and based on reliable evidence. The security and safety of sources
should be protected. Additional or more accurate information that may
alter previous allegations should be made available as appropriate to
concerned parties.
INTERACTIONS BETWEEN COMPANIES AND PRIVATE SECURITY
Where host governments are unable or unwilling to provide adequate
security to protect a Company's personnel or assets, it may be
necessary to engage private security providers as a complement to
public security. In this context, private security may have to
coordinate with state forces, (law enforcement, in particular) to carry
weapons and to consider the defensive local use of force. Given the
risks associated with such activities, we recognize the following
voluntary principles to guide private security conduct:
- Private security should observe the policies of the contracting
Company regarding ethical conduct and human rights; the law and
professional standards of the country in which they operate; emerging
best practices developed by industry, civil society, and governments;
and promote the observance of international humanitarian law.
- Private security should maintain high levels of technical
and professional proficiency, particularly with regard to the local use
of force and firearms.
- Private security should act in a lawful manner. They
should exercise restraint and caution in a manner consistent with
applicable international guidelines regarding the local use of force,
including the UN Principles on the Use of Force and Firearms by Law
Enforcement Officials and the UN Code of Conduct for Law Enforcement
Officials, as well as with emerging best practices developed by
Companies, civil society, and governments.
- Private security should have policies regarding
appropriate conduct and the local use of force (e.g., rules of
engagement). Practice under these policies should be capable of being
monitored by Companies or, where appropriate, by independent third
parties. Such monitoring should encompass detailed investigations into
allegations of abusive or unlawful acts; the availability of
disciplinary measures sufficient to prevent and deter; and procedures
for reporting allegations to relevant local law enforcement authorities
when appropriate.
- All allegations of human rights abuses by private security
should be recorded. Credible allegations should be properly
investigated. In those cases where allegations against private security
providers are forwarded to the relevant law enforcement authorities,
Companies should actively monitor the status of investigations and
press for their proper resolution.
- Consistent with their function, private security should
provide only preventative and defensive services and should not engage
in activities exclusively the responsibility of state military or law
enforcement authorities. Companies should designate services,
technology and equipment capable of offensive and defensive purposes as
being for defensive use only.
- Private security should (a) not employ individuals
credibly implicated in human rights abuses to provide security
services; (b) use force only when strictly necessary and to an extent
proportional to the threat; and (c) not violate the rights of
individuals while exercising the right to exercise freedom of
association and peaceful assembly, to engage in collective bargaining,
or other related rights of Company employees as recognized by the
Universal Declaration of Human Rights and the ILO Declaration on
Fundamental Principles and Rights at Work.
- In cases where physical force is used, private security
should properly investigate and report the incident to the Company.
Private security should refer the matter to local authorities and/or
take disciplinary action where appropriate. Where force is used,
medical aid should be provided to injured persons, including to
offenders.
- Private security should maintain the confidentiality of
information obtained as a result of its position as security provider,
except where to do so would jeopardize the principles contained herein.
To minimize the risk that private security exceed their
authority as providers of security, and to promote respect for human
rights generally, we have developed the following additional voluntary
principles and guidelines:
- Where appropriate, Companies should include the principles outlined
above as contractual provisions in agreements with private security
providers and ensure that private security personnel are adequately
trained to respect the rights of employees and the local community. To
the extent practicable, agreements between Companies and private
security should require investigation of unlawful or abusive behavior
and appropriate disciplinary action. Agreements should also permit
termination of the relationship by Companies where there is credible
evidence of unlawful or abusive behavior by private security personnel.
- Companies should consult and monitor private security
providers to ensure they fulfil their obligation to provide security in
a manner consistent with the principles outlined above. Where
appropriate, Companies should seek to employ private security providers
that are representative of the local population.
- Companies should review the background of private security
they intend to employ, particularly with regard to the use of excessive
force. Such reviews should include an assessment of previous services
provided to the host government and whether these services raise
concern about the private security firm's dual role as a private
security provider and government contractor.
- Companies should consult with other Companies, home
country officials, host country officials, and civil society regarding
experiences with private security. Where appropriate and lawful,
Companies should facilitate the exchange of information about unlawful
activity and abuses committed by private security providers.
[end of document]
DRL Official Texts | Democracy, Human Rights, and Labor | Economic and Business Affairs | Department of State
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