Voluntary Principles on Security and Human Rights

The Fund for PeaceThe Fund for PeaceVers. 13-01A

Voluntary Principles onSecurity and Human Rights

Introduction and Implementation Responsibilities

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Training Objectives

To introduce the Voluntary Principles on Security and Human Rights (VPs) and examine implementation responsibilities and to discuss:

What are the VPs?Why are they

important for private security providers?

Security operations and human rights

challenges

Assessing security and human rights-

related issuesResponsibilities for

implementing the VPs Guard screening

Procedures and training

Equipment transfers and use

Use of force procedures

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Fundamentals of the VPs

• The Voluntary Principles on Security and Human Rights is an initiative that launched in December, 2000.

• Its participants include 7 governments, 21 companies (oil & gas and mining) and 11 NGOs.

• Members of the Voluntary Principles agree to interact with their private and public security providers in a manner that ensures respect for human rights.

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Reporting and InvestigatingReporting and investigating any allegations of abuses.+

Risk AssessmentsAssessing security and human rights risks, rule of law – risks to the company and to communities

Public SecurityInteracting with government security providers in a way that respects human rights

Private SecurityInteracting with outsourced security providers in a way that respects human rights.

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• Security is essential and difficult but can be carried out with respect for human rights

• Governments have primary responsibility for security, but corporations also have a role

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Private security providers:• Play an important role in maintaining

the safety and security of operations within an operating framework that ensure respect for human rights and fundamental freedoms (including freedom of association, assembly, and collective bargaining)

• Must adhere to local laws

• Promoting observance of sound law enforcement principles is good practice

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Human Rights:• Basic standards of treatment to

which all people are entitled, regardless of nationality, gender, race, economic status or religion.

• Includes: The proper treatment of employees and host communities, and interactions with key partners.

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What the VPs are not

• The VPs are not regulations or laws

• The VPs are not international treaties or protocols

• The VPs are not compliance documents issued by a government or external agency

• The VPs are not punitive standards

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Understanding Non-Governmental Organizations – “NGOs”

WatchdogResearch & Advocacy

ImplementerService Provider

Level of Collaboration with CompaniesNo Some Collaboration/ Vendor/

Collaboration Interaction Partner Contractor

Critical Revenue SourcesIndividual Foundation & Multiple Contracts

Donations Govt. Grants Funders

Not part of the government and are not conventional for-profit businesses

Types of NGOs:

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Understanding NGOs

– Not a hard-and-fast representation– We all have a part to play, just at different points of

the continuum

Raising Awareness

Taking Action, Setting Standards Implementation Operation-

alization

Watchdog NGOs Implementing NGOs

AdvocacyNGOs

Implementing NGOs

Governments Companies CompaniesCompanies

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Understanding NGOs

• Mistrust in both directions– NGOs towards companies– Companies towards NGOs

• We are all partners in this

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Private Security Providers and the VPs

The VPs state that:

“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, to carry weapons and to consider the defensive use of force.”

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Private Security Providers and the VPs

Private security providers should:• Observe the policies of the

contracting company regarding ethical conduct and human rights

• Maintain high levels of technical and professional proficiency

• Follow all local and national laws• Have in place policies regarding

governing the use of force, and reporting any allegations of abuse to the proper parties

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Benefits of the VPs for PSPs

The VPs may help you:• Improve your ability to protect people and the project site• Broaden your understanding of security and human rights

issues• Improve relations between public and private security forces

and communities • Improve the security environment through improved

professional standards • Build relations with third parties (e.g. local community groups)• VPs encourage third parties to engage with security providers

in a constructive way.

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Security Operations and Human Rights

Human Rights abuses can include:• Inappropriate use of force to seize land or evict trespassers• Harassment of community members, employees or

contractors• Improper searches of person or property• Acts of torture and cruel, inhuman or degrading treatment• Killings or disappearances• Infringing on the right to:• Participate in lawful and peaceful assemble• Exercise freedom of association

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Allegations of Abuse of Unlawful Acts

• Many abuses go unreported because victims or witnesses fear retribution

• Protecting identities of those involved is difficult and may complicate investigations

• It is important to establish a mechanism to allow alleged abuses to be reported:– In writing– Anonymously

― Verbally― In person

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Security Provider Responsibilities

• Security providers are expected to treat people with dignity and respect

• National or local laws must be respected, not abused

• The VPs outline key responsibilities for security providers to help prevent potential abuses

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Assessing Security and HR Issues

The VPs help go beyond a standard risk assessment by analyzing:• Possible human rights issues

associated with private security forces

• Specific scenarios for conflict and violence that can arise between private security forces and the local community or labor force.

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It is important to have a method to examine potential security and human rights issues in the communityThis function may not be done by your employer, but may be done by a responsible company.

It will help security providers understand:– How human rights issues in the community relate to the security

environment– How to identify human rights-related issues that could be

relevant to the security environment– How to manage human rights-related issues that could be

relevant to the security environment

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Community Grievances Local Violence and Conflict

Conduct & Training of Security Forces Equipment Use/Transfer


Diverse human rights-related issues in a community can be relevant to the security environment:

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Screening for Dangerous or Unauthorized Material

Normally performed at access control points on entry

ResponseContaining and resolving incidents in a non-aggressive manner

Asset ProtectionIncludes perimeter and interior screening of people, vehicles, and materials as well as exit searches and physical security checks.

Role of Private Security in Site Security

• The Voluntary Principles (VPs) point out that the appropriate role for private security is preventative and defensive services

• Private security should not engage in activities exclusively the responsibility of state military or law enforcement authorities

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Role of Private Security in Site Security

Private security services may include:

Access Control Screening for Dangerous or Unauthorized Material

Asset Protection Response

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Responsibilities to Respect HR

Key focus areas to avoid human rights issues by private security forces include:• Careful screening of guard candidates• Procedures and training• Equipment transfer/use• Use of force procedures• Proper supervision and incident

reporting• Understanding client’s expectations

and policies

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Screening of Guards and Employees

• Security providers must conduct pre-employment screening for all guards and security staff that identifies history of human rights abuse or other wrongdoing

• Ideally, background checks are performed prior to employment, and updated regularly during employment

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Screening of Guards and Employees

• Information sources and their usefulness vary by country, but may include:– Local and national police arrest records– Local court records– National intelligence files for subversion– Security association records– Home country embassies– National human rights organizations– Religious organizations and

international human rights organizations

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Procedures and Training

Private security providers should ensure that private security personnel are adequately trained to respect the rights of employees and the local community with:

Human rights training Weapons training

Use of force training Terms of engagement training

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Equipment Transfers

• Security providers must acquire and maintain authorizations for the possession and use of any weapons and ammunition required by applicable law

• Unless specific written authorization exists from the client, no weapons or less-than-lethal items or materials shall be provided to or used by any private security providers

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Equipment Transfers

Best practices for managing weapons and ammunition include:

– Secure storage– Controls over who receives

weapons/ammunition– Record regarding to whom/when

weapons are issued– Identification and accounting of

all ammunition– Verifiable and proper disposal

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Managing Use of Force Issues

• Lack of adequate training can lead to serious issues during incidents that require application of force

• Because of this, it is important that private security forces are trained in two key areas:– Use of firearms and other less-than-

lethal weapons that they may be authorized to employ

– Use-of-force procedures and local rules of engagement

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Managing Use of Force Issues

• Private security providers should:– Maintain written policies on the

conduct and use of force– Report and investigate

allegations of unlawful or abusive behavior and all use-of-force incidents, followed by disciplinary action as appropriate

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Scenario 1: Human Rights Abuses

A private security company is alleged to have abused contracted community workers who were peacefully protesting the company's refusal to raise their wages. The workers claim that the protest was violently broken up by private security guards hired by a company to protect the project site. They also allege that the security guards detained them for several days without food and water and subjected them to physical abuse before turning them over to local authorities. The private security company has issued a statement that it was responding appropriately to what it perceived as a threat to company personnel and assets.

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Scenario 2: Managing Equipment Use

A private security company requires different equipment to carry out its daily security activities, including weapons, ammunition, vehicles and fuel. The company says that all of its employees are trustworthy when it comes to managing the use of company equipment. Recently, however, there was an incident in a nearby village where a child was hit by a company-owned vehicle and badly injured. When asked to investigate, the company had no reliable way of identifying which vehicle it was and who was driving it at the time of the incident.

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Further Reading

For further guidance,we recommend consulting the

Voluntary Principles Implementation Guidance Tools

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Documents

Voluntary Principles on Security and Human Rights