Voluntary Principles on Security and Human Rights Implementation Guidance Tools (IGT)

Voluntary Principles on Security and Human Rights Implementation Guidance Tools (IGT) Training Course • Johannesburg, South Africa • October 2012 • Yadaira Orsini International Alert Barb Sweazey Stratos Inc.

With our thanks... Nineteen VPs Corporate Pillar Members jointly funded the development and delivery of three IGT Training Sessions in 2012: • AngloAmerican • AngloGold Ashanti • Barrick • BG Group • BP • Chevron • ConocoPhillips • ExxonMobil • Freeport-McMoRan • Hess • Inmet • Marathon • Newmont • Oxy • Rio Tinto • Shell • Statoil • Talisman • Total Workshop on Implementation Guidance Tools (IGT) - South Africa

Other supporting partners... The IGT Training Sessions for 2012 have been supported by in-kind contributions by these organizations: • IPIECA • ICMM • IFC Workshop on Implementation Guidance Tools (IGT) - South Africa

Training Objectives • Having participated in this 1-day workshop, you will be able to: • Describe the Voluntary Principles on Security and Human Rights (VPs); • Use the IGT and determine applications to your organization; • Test various IGT Modules against the types of situations and business environments in which you may find yourself; and • Use the IGT to develop insights that may be relevant for your company’s ongoing efforts around the VPs. Workshop on Implementation Guidance Tools (IGT) - South Africa

Roadmap for Today Workshop on Implementation Guidance Tools (IGT) - South Africa

Voluntary Principles • A tripartite international initiative with different levels of implementation • A set of practical guidelines • A safe space for dialogue between companies, governments and NGOs • A process for building best practice and knowledge on issues related to the intersection of Security and HR • An opportunity to raise international standards and improve Human Rights • A process of constant and continuous improvement • A framework for building capacity of various actors to address issues of Human Rights

Business Sustainability Sustainable Business Practices Community Development Environmental Protection Government (Public Security) Government (Local & National) Human Rights Security VPs Non-State Actors (Armed Groups) Civil Society Communities Other Actors Who Impact the Security and Human Rights Environment

The Three Pillars Government Companies NGOs • Undertake adequate risk assessments that include a focus on issues related to S&HR. • Mandate and audit as appropriate VPs adherence in contracts with PSPs • Encourage adherence to the VPs by public security forces • Report, remedy, and rectify credible HR&S incidents • Encourage greater participation by others in the VPs • Confidential dialogue with participants when allegations of VPs non-adherence occur. • Help companies and govt’s identify areas needing improvement related to S&HR. • Support the development and roll out of tools to improve VP implementation. • Encourage greater participation by others in the VPs • Home/host governments • Support dialogue with local government and public security • Use diplomatic resources to build incentives for national-level implementation • Demonstrate adherence to international codes and treaties • Ensure protection of citizens and company assets • Encourage greater participation by others in the VPs

Voluntary Principles Government Companies NGOs Amnesty International Fund for Peace Global Rights Human Rights First Human Rights Watch International Alert IKV Pax Christi Oxfam Pact Partnership Africa Canada Search for Common Ground Pearson Peacekeeping Centre Hess Corporation Inmet Mining Marathon Oil Newmont Mining Occidental Rio Tinto Shell Statoil Talisman Energy Total Canada Netherlands Colombia Norway Switzerland United Kingdom United States AngloGold Ashanti Anglo American Barrick Gold BG Group BHP Billiton BP Chevron ConocoPhilips ExxonMobil Freeport-McMoran DCAF International Council on Mining & Metals International Committee of the Red Cross International Petroleum Industry Environmental Conservation Agency +

What “VPs”? The Voluntary Principles on Security and Human Rights is an initiative that launched in December, 2000. Its participants include 7 governments (USA , UK, Norway, Netherlands, Canada, Switzerland, Colombia), 18 companies (oil & gas and mining) and 9 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. They cover 3 areas: 1 2 3 Risk Assessment Interaction with Public Security Providers Interaction with Private Security Providers Workshop on Implementation Guidance Tools (IGT) - South Africa

Why an IGT? Language of VPs “ambiguous” Complexities and challenges of VPs implementation are growing Sufficient good practice exists Implementation remains a challenge Align with the Ruggie “Protect, Respect and Remedy” Framework and Guiding Principles Workshop on Implementation Guidance Tools (IGT) - South Africa

The Process to Create the IGT Final IGT presented to the VPS’s Plenary IGT formally launched Detailed Outline and Structure 1st Draft IGT Consultations July 2010 Dec 2010 March 2011 Sep 2011 Nov 2010 Steering Group and Working Group 2009: IGT Scoping 60+ individuals representing 15+ companies, 5 governments and 12+ other organizations were consulted Workshop on Implementation Guidance Tools (IGT) - South Africa

Introducing… “The IGT” What Who How When Workshop on Implementation Guidance Tools (IGT) - South Africa

The IGT is meant to flexible Find the tools according to what you need to do Workshop on Implementation Guidance Tools (IGT) - South Africa

The IGT is meant to flexible (cont’d) Select a particular module you want to focus on Workshop on Implementation Guidance Tools (IGT) - South Africa

The IGT is meant to flexible (cont’d) Find a specific tool or annex, as it relates to a module or a task Workshop on Implementation Guidance Tools (IGT) - South Africa

Pop Quiz! Question: “I know that there is an environmental group in the community close to our asset that has serious concerns about our operations.” What Module, Tools and/or Annexes of the IGT should I use to help our company work with this group? Workshop on Implementation Guidance Tools (IGT) - South Africa

The IGT is modular for ease of use Workshop on Implementation Guidance Tools (IGT) - South Africa

Types of Tools Workshop on Implementation Guidance Tools (IGT) - South Africa

The Way the Tools Work Sections presented in RED are provided so that users can record their own insights and answers. Sections that are shaded in GREY will be typically be questions or considerations presented for reflection. Workshop on Implementation Guidance Tools (IGT) - South Africa

Pop Quiz! • Task: • Find an example of one type of tool from a different module. Then, tell us: • The Module and Tool number • The type of tool it is • How it could be used by your company • Something that surprised you about this tool Workshop on Implementation Guidance Tools (IGT) - South Africa

Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 1 – Stakeholder Engagement Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 1 – Sample Action Planning Tool Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 1 – Stakeholder Engagement • Purpose • Practice using the tools in Module 1 to understand how to identify and interact with stakeholders using the IGTs. • Timing • Breakout Group Discussion (40 minutes) • Reporting to Plenary (20 minutes) Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 1 – Stakeholder Engagement • Case Study Activities • Review Case Study • Complete Tool 1.1 • Complete Tool 1.5 • Discuss IGT applications • Report Back key findings Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 2 – Risk Assessment Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 2 – Sample Reference Tool in Annex Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 2 – Sample Tool Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 2 – Risk Assessment • Purpose • Practice using the tools in Module 2 to understand how to identify and manage risks to projects, using the IGTs. • Time • Breakout Group Discussion (60 minutes) • Reporting to Plenary (30 minutes) Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 2 – Risk Assessment • Case Study Activities • Review Case Study • Complete Tool 2.3 (only for one or two risks) • Complete Heat Map (Step 2.4) • Complete Tool 2.5 (create only one or two measures) • Discuss IGT applications • Report Back key findings Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Sample Self-Assessment Tool Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Sample “Tips” Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers • Purpose • Practice using the tools in Module 3 to understand how to manage public security matters, as they apply to human rights, using the IGTs. • Timing • Mini-Scenario discussions (30 minutes) • Create your own scenario and conduct related discussions with a partner group (30 min) • Reflection question (10 minutes) • Plenary discussion (5 minutes) Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers • Mini-Scenario Activities • Review each mini-scenario • In small groups, answer the following question for each mini-scenario: • What Tool from Module 3 would you use for this scenario? Why? Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers Question: What Tool from Module 3 would you use for this scenario? Why? Mini-Scenario #1 A mining company is currently facing an illegal gathering of workers demanding better health and safety standards as well as higher salaries. The company’s security department informed the local Police and soon after several units arrived in the area and immediately begin to disperse the crowds. A total of 28 people were arrested and, out of those, more than half claim being beaten while in Police custody. In addition, there were a number of accusations where people allege they were taken from their homes in the middle of the night and arrested by Police. Some of these cases were extensively documented in a report published by an international human rights NGO that was circulated heavily through social media. Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers Question: What Tool from Module 3 would you use for this scenario? Why? Mini-Scenario #2 Your company recently signed a MoU with the National Police in order to provide security to a highly conflictive oil site. As part of the agreement, the company introduced a human rights training clause as a way to prevent abuses by Police officers when addressing conflict situations, as had occurred in the past. The training was identified by the company as a measure to improve the ability of the Police to handle conflict situations where human rights are a concern, and more particularly to help ensure the Police’s ability to deliver on the implementation of the VPs. However, the Police commander stated that they didn’t need any training on human rights and instead, he suggested the company should reallocate the training resources to support acquiring more equipment for intelligence operations. Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers Question: What Tool from Module 3 would you use for this scenario? Why? Mini-Scenario #3 Your company is operating in an area surrounded by illegal mining. One day, during routine rounds, private security personnel encountered a group of approximately 20 people conducting illegal mining activities on the company’s property. The private security providers attempted to escort them out, but the group refused to leave. After futile attempts to get them to leave the premises, the security company was forced to arrest them. Soon after, the company’s private security contractor called the local Police to have the illegal miners moved into their custody. The illegal miners were released the following day and were seen with bruises and other signs of abuse. An investigation is being carried out in order to determine the participation of Police officers and the company’s private security in the event. Your company will be asked by the judicial authorities to provide information for the process. The company is fearful of what the media might say or publish. Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 3 – Working with Public Security Providers Question: What Tool from Module 3 would you use for this scenario? Why? Mini-Scenario #4 Your company is developing an oil field in an African country, where long-running organised criminal groups are active in the area of operations. The country’s armed forces are providing security to the project. However, a community leader approached the company’s community relations supervisor to warn the company about past abuses committed by the armed forces in the area. The company had conducted a brief background check on the human rights record of the armed forces and in doing so they detected a level of resistance from the unit commander. This was the second time the company had heard such a complaint from communities in the area of operations. Workshop on Implementation Guidance Tools (IGT) - South Africa

Creating a Unique Scenario – Private Security • In your small group, develop a unique scenario and consider which Tool from Module 3 would be used to address the public security challenges of that scenario. • Designate a spokesperson (an Ambassador) to present your group’s scenario to a neighbouring group for their reactions and input. • In plenary discuss: • “When you think about the tools in Module 3 and how you could use them in your company, what do you notice? • Are there tools that are similar to tools you already have? • Are there tools that you could introduce? Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 4 – Working with Private Security Providers Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 4 – Sample Action Planning Tool Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 4 – Sample Annex Reference Tools Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 4 - Working with Private Security Providers Purpose • Practice using the tools in Module 4 to understand how to manage private security matters, as they apply to human rights, using the IGTs. Timing • Individual exercise (10 minutes) • Partner discussion (15 minutes) • Plenary discussion (5 minutes Workshop on Implementation Guidance Tools (IGT) - South Africa

Module 4 - Working with Private Security Providers • Activities • Review the “Suggested Action Items” for Tasks 3 and 4 in Tool 4.2 (See also Page 16 in Participants Program). • As individuals, identify similarities and gaps within your own company’s due diligence and selection/contracting a private security provider. (10 min) • In partners, discuss the following questions: (15 min) • Consider your experience in due diligence and selection/contracting a private security provider. • What lessons have you learned from your experience that you can share with others? What observations can you make about the tools in Module 4 of the IGT? • In plenary, be prepared to share lessons learned from your experience in this area that others could benefit from in plenary. (5 min) Workshop on Implementation Guidance Tools (IGT) - South Africa

Wrap up Activity • Activities • Task 1: Once you are in a group with colleagues from your company, discuss the following questions: • What new things did you learn today about the VPs, the IGT, and /or the topic of human rights and security? • What are three action items that we can take as a company, to incorporate the IGT (and/or the VPs) into our company’s approach to human rights and security? • What are the challenges we may encounter in taking these actions? How can we address these challenges? • Task 2: Report back to the group on one action item or one challenge and solution. Workshop on Implementation Guidance Tools (IGT) - South Africa

Voluntary Principles on Security and Human Rights Implementation Guidance Tools (IGT)