1. VOLUNTARY PRINCIPLES ON SECURITY & HUMAN RIGHTS

2. 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

3. 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

4. Participants Governments Companies Energy Extractive Non-governmental organizations (NGOs)

5. New Participants Applicants must be approved by consensus Steering Committee hears appeals of denials Corporate applicants need not be based in a participating country

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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