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The Security Assessment Guide is aimed to assist companies in evaluating the national and regional security contexts and identifying the different challenges that are likely to affect extractive operations. It provides the user with a comprehensive list of guiding questions that allow for a holistic overview of the security situation as well as a detailed analysis of all relevant actors.

This tool aims to support company representatives prepare for the first consultations with national security actors and establish a strategy for the engagement and communication with security sector representatives. Companies can draw on individual sections of the tool to fill gaps in their preparations for consultations or use the tool in its entirety to establish an engagement and communication strategy.

Le Guide propose des bonnes pratiques et des recommandations en guise de réponses aux défis liés à la sécurité et aux droits humains et tels que vécus sur le terrain par les entreprises. Il propose également des outils pratiques tels que des check-lists et des études de cas. Les bonnes pratiques et les recommandations ont été développées en coopération avec une large palette d’acteurs et s’appuient sur des ressources-clefs telles que les Principes Volontaires sur la Sécurité et les Droits de l’Homme, les Principes directeurs des Nations Unies relatifs aux entreprises et aux droits de l’Homme et l’ensemble des bonnes pratiques dans le domaine de la réforme du secteur de la sécurité.

La troisième édition du Guide de Bonnes Pratiques comporte quatre chapitres : 1) Travailler avec les gouvernements des États d’accueil, 2) Travailler avec les forces de sécurité publique, 3) Travailler avec les prestataires privés de services de sécurité, et 4) Travailler avec les communautés (développé en partenariat avec l’organisation CDA Collaborative Learning Projects).

This guide is a comprehen­sive guide for companies of all sizes, industries and locations. It is aimed to help company staff understand the key expectations of the UN Guiding Principles on Business and Human Rights: what to do – and what to avoid – in trying to ensure respect for human rights. Readers are provided with practical advice, examples of policies and practice from other companies, current discussion topics like the Sustainable Development Goals, and in-depth case stories with additional materials on an accompanying website. It is also easily navigated and beautifully illustrated. 

La Guía Práctica recoge recomendaciones y buenas prácticas sobre cómo afrontar desafíos reales en materia de seguridad y derechos humanos, complementadas por herramientas prácticas como listas de verificación y casos de estudio. Las recomendaciones y buenas prácticas se han desarrollado en colaboración con diversos actores y se fundamentan en recursos clave como son los Principios Voluntarios de Seguridad y Derechos Humanos, los Principios Rectores sobre las Empresas y los Derechos Humanos de las Naciones Unidas, y el conjunto de buenas prácticas para la reforma del sector de seguridad.

La tercera edición de la Guía Práctica contiene cuatro capítulos: 1) Trabajando con gobiernos de países anfitriones, 2) Trabajando con fuerzas de seguridad pública, 3) Trabajando con proveedores de seguridad privada, y 4) Trabajando con comunidades (desarrollado en colaboración con CDA Collaborative Learning Projects).

Drawing on lessons from the experience of the Peruvian VPs Working Group, this tool provides ten practical tips for the establishment of VPs Working Groups in different contexts. The individual steps include general recommendations illustrated with concrete examples from Peru.

This tool provides corporate clients of private security providers (PSPs) with recommendations, good practices, checklists and performance indicators to help ensure the process of selecting, hiring and working with a PSP effectively integrates all relevant human rights considerations. The tool is divided into five sections: I. Solicitation, notice and bidding process; II. Evaluation of potential contractors; III. Award and development of the contract; IV. Monitoring, enforcement, and accountability; and V. Termination of the contract. 

This Field Guide is aimed to help project managers working at the site level of a new mineral exploration project build strong and effective company-community relations. The Guide is divided into four phases: “Before You Leave”, “When You Arrive”, “While You Explore”, and “When you Leave”. Practical guidance, templates and communication tips are provided for each of the four phases. 

The VPs Initiative has adopted model clauses for use in security agreements between public security forces and extractive companies. The model clauses are aimed to help companies create a security framework that ensures respect for human rights related to public security forces. They are designed to be used together or individually.  

The Stakeholder Research Toolkit provides step-by-step guidelines for companies seeking to understand and measure their reputation among stakeholder groups (particularly local communities). The Toolkit helps users develop a survey instrument, use data for impact, and aggregate and compare data. The rationale is to anticipate “issues of concern before they escalate, and identify strategic opportunities for engagement as they emerge”. Survey templates are included. 

The Toolkit is a guidance document which addresses real-life security and human rights challenges indentified through engagement with many stakeholders. For each listed “Challenge”, the Toolkit outlines and summarises good practices and recommendations and provides practical tools such as checklists, templates and case studies. See section 2 on “Working with Public Security Forces”.

This book is one of the most comprehensive and detailed analyses of company-community relations in complex environments. Based on extensive site visits at over 25 company operations around the world, the authors gathered numerous case studies and practical examples that not only identify a large range of good engagement practices, but also allow for a detailed insight into the varied perceptions of companies and local communities. Given the extensive efforts and resources this publication required, it is currently not freely available and must be purchased at Greenleaf Publishing as an e-book or hardcover. 

This blueprint aims to support company representatives in driving the effort of embedding human rights across the departments of the organisation. The embedding process is broken down into six steps, explained through general principles and illustrated with practical examples of 18 interviewed companies (including Oil & Gas). 

This guide identifies common on-the-ground design and implementation challenges that companies face in trying to establish site-level grievance mechanisms, and advises on how to address these challenges. The document highlights the spectrum of response mechanisms and provides practical and granular site-level guidance, particularly for companies operating in complex environments.  

La Guía Práctica recoge recomendaciones y buenas prácticas sobre cómo afrontar desafíos reales en materia de seguridad y derechos humanos, complementadas por herramientas prácticas como listas de verificación y casos de estudio. Las recomendaciones y buenas prácticas se han desarrollado en colaboración con diversos actores y se fundamentan en recursos clave como son los Principios Voluntarios de Seguridad y Derechos Humanos, los Principios Rectores sobre las Empresas y los Derechos Humanos de las Naciones Unidas, y el conjunto de buenas prácticas para la reforma del sector de seguridad.

La tercera edición de la Guía Práctica contiene cuatro capítulos: 1) Trabajando con gobiernos de países anfitriones, 2) Trabajando con fuerzas de seguridad pública, 3) Trabajando con proveedores de seguridad privada, y 4) Trabajando con comunidades (desarrollado en colaboración con CDA Collaborative Learning Projects).

While this document is not focused on the security dimension of community engagement, its guidance on ‘local content’ can prove key to addressing security and human rights challenges proactively. ‘Local content’ is defined as the local resources a project or business utilises or develops, including direct and indirect employment of nationals, the procurement of local goods and services, the improvement of domestic skills capacity and the development of infrastructure. An inclusive and effective engagement with the ‘local content’ can create ‘shared value’ for all stakeholders and help prevent security issues caused by unaddressed impacts or unfulfilled commitments and community expectations. The guidance document offers good practices, templates and examples on the assessment, engagement and development of ‘local content’ as well as a small section on its role for operations in conflict-affected areas.  

This guidance is not focused on ‘how to’ execute stakeholder engagement activities and instead provides a due diligence framework to identify and address risks with regard to stakeholder engagement activities. Beyond a due diligence framework, the guidance includes recommendations for upper management and on-the-ground personnel as well as thematic guidance on engagement with indigenous peoples, women, workers and artisanal and small-scale miners.

This guidance document is aimed to support extractive and non-extractive companies perform audit activities to determine the degree to which the company has adopted the policies and is following the practices identified by the VPs initiative. The document builds on and supplements the VPs key performance indicators (KPIs) through practical examples and several cross-references to related principles, audit tests and guidance materials. 

This guidance document is aimed to support ground practitioners address challenges that arise before, throughout and after resettlement activities responsibly. The document is divided into 10 modules that consist of key challenges, lessons learned and good practices, identified in 41 projects from around the world. The modules ‘include insights into planning for resettlement, engaging with stakeholders, compensating for loss of land and restoring livelihoods, addressing the needs of vulnerable people, overseeing construction, ongoing community development interventions, and monitoring impacts’. 

This ICMM toolkit helps companies understand the factors that influence and shape community support and how to measure the extent to which these factors are present or absent at a particular operational site, among different stakeholder groups. Identifying the reasons why community support may be lacking at a project is the first step to developing targeted approaches for improving company-community relationships. The toolkit has been developed primarily for the management of site-level social performance and includes a range of practical examples, checklists and figures. 

This paper identifies the conceptual and practical common ground for Business and Human Rights (BHR) and Security Sector Reform (SSR) from which to address shared security and human rights challenges. Beyond a conceptual analysis of the relationship between the fields of SSR and BHR, the paper includes three extensive case studies (Guinea, Papua New Guinea and Colombia) that highlight how operational challenges in extractives can be related to broader challenges in the security sector, with serious consequences for communities and companies. Finally, the paper identifies ‘lessons learned’ and translates them into guidance in five focus areas: stakeholder engagement, risk assessment, training, monitoring, and oversight and accountability.

This guide is an online platform that offers a step-by-step process to support users analyzing the positive and negative human rights impacts of a foreign investment project. The guide is divided into six parts, including: A) Preparation, B) Legal Framework, C) Adapting the Guide, D) Investigation Process, E) Analysis and Report, and F) Engagement, Monitoring and Follow-Up. Each step includes reference documents, examples of research techniques and questions, references to various indicators, relevant websites, and details on where to find specific information. While the guide is primarily aimed at communities it can prove very useful to company-led processes that emphasize the participation of local communities. The guidance is available in English, French and Spanish and includes a ‘virtual library’ that compiles hundreds of useful resource materials. 

This Guidance Note is aimed to support stakeholders initiating a national-level process to implement the VPs. The document identifies the different levels of VPs implementation and the basic elements that need to be considered for a national-level implementation process. The practical guidance has been informed by existing in‐country processes (largely Colombia and Indonesia) and includes suggested steps and topics for the scoping process and national-level dialogues. 

This manual is aimed to help private companies successfully plan and conduct stakeholder dialogues with government representatives. Guidance is provided on how to prepare, conduct and monitor different forms of stakeholder dialogues. To this end, the manual includes good practices, diagrams, key questions and checklists for all phases of the dialogue.  

The Reporting Framework is a concise set of questions to help companies analyse and report on their responsibility to respect human rights in practice. The Framework “offers companies clear and straightforward guidance on how to answer these questions with relevant and meaningful information about their human rights policies, processes and performance.” The questions are designed to enable responses from any company, including small companies and those at an early stage in the process. The Reporting Framework is available as an online platform and as a PDF. 

The Toolkit has the form of an overall guidance document with references to a selection of the most relevant existing resources and tools. The Toolkit includes four chapters: 1) Working with host governments, 2) Working with public security forces, and 3) Working with private security providers, and 4) Working with communities. Chapter 4 was developed in collaboration with CDA Collaborative Learning Projects

The Toolkit is structured around challenges related to the issues of working with host governments, public security forces and private security providers. These challenges have been identified through desk and field research, and a review process. Good practices and recommendations are provided on how to address these challenges building on what the VPs, the IGTs, the UN Guiding Principles on Business and Human Rights and security sector reform good practice specifically say on those issues. These good practices are not meant to be prescriptive. It is up to the user to evaluate whether they could be feasible, useful and appropriate to the local context in a specific situation on the ground.

Together with these good practices, practical tools such as checklists, templates and case studies are provided. These are geared mostly towards supporting project-level implementation. The Toolkit has internal links, allowing easy navigation from one section to another.

The Toolkit is a living document. It will be regularly updated with new good practices, tools and case studies. Through the Comment function found at the bottom of the page, feedback and suggestions from users are strongly encouraged in order to ensure that the recommendations and tools provided in this Toolkit are effective in addressing challenges on the ground.

This report provides an overview of good practices drawn from the strategies business practitioners have found most effective when conducting human rights due diligence in conflict-affected and high-risk areas. The report covers internal processes within the company as well as external processes with stakeholders and provides a template of key diagnostic questions to identify risk factors. 

This report summarises several grievance mechanisms designed to address business and human rights disputes. It includes company, industry, multi-industry, and national, regional, and international level mechanisms. For each mechanism the report maps “the standards applied, the means of access, the agents involved, the process (including the level of transparency), the types of outcomes, and any available enforcement mechanism.”

This brochure aims to assist companies when considering to engage or withdraw from operations in complex or conflict environments. It provides a decision map identifying guiding principles and illustrates each stage of the decision-making process, as well as the resulting decision, with examples and indicators.

This recently published paper offers an overview of the numerous international principles and guidelines that outline how businesses should operate in complex environments, with a particular focus on their usefulness to civil society organisations. The paper includes detailed summaries of 1) Principles and guidelines of multilateral institutions, 2) Sectoral  and country-specific initiatives, and 3) NGO tools for doing business in conflict-affected areas.

This manual ‘provides a practical step-by-step guide to planning and implementing operational-level community grievance mechanisms (CMGs) and/or designing and managing corporate CMG frameworks.’ The document includes numerous tools for the planning, designing and implementation phases of a CMG and further illustrates them through practical examples. The tools and good practices are informed by the experiences of seven pilot operational-level CMGs conducted by IPIECA member companies. The manual is also available in Spanish here.

 

 

This guidance document is aimed to help companies develop and implement a good human rights policy. It outlines why companies should respect human rights, what the key ingredients of a human rights policy are and provides practical steps and examples to develop and implement one.  

This case study in Cameroon illustrates how Kosmos Energy and the The Fund for Peace jointly created a human rights training for public security that was consistent with universal human rights standards while resonating with the reality of the local context. It identifies five key elements that can assist human rights training create a sense of local ownership and turn global principles into local practice.

The Sarajevo Client Guidelines are, together with the Sarajevo Code of Conduct, the product of the Sarajevo Process, which was aimed to enhance the conduct and regulation of the private security industry across South Eastern Europe. The Client Guidelines outline a three-stage voluntary procedure for application by clients when contracting providers of private security services, regardless of origin or location. The Guidelines cover important factors such as standards of internal governance, quality of service, levels of training and adherence to national legislation.

This guide is aimed to illustrate the relevance of the UN Declaration on the Rights of Indigenous Peoples to business activities and to support meaningful and positive interaction between business and indigenous peoples. The Guide includes a description of each right in the UN Declaration and “suggests practical actions that business can take to respect and support each right, and examples to help illustrate those suggested actions”. See particularly the practical suggestions on Article 7 “Life, liberty and security”.

This guidance document aims to support the implementation and evaluation of the ten ‘Principles for responsible contracts: integrating the management of human rights risks into State-investor contract negotiations: guidance for negotiators’ (UN, 2011), one of which states that physical security must be provided in a manner consistent with human rights principles and standards. The guidance includes checklists with human rights relevant questions to ensure that the roles and responsibilities of the host-State and the company are clearly understood and articulated. Furthermore it provides a human rights compliance assessment module based on the mentioned ‘Principles for Responsible Contracts’.

“This report informs mining company staff of the potential gender impacts of mining projects and introduces some tools and approaches that they can use to conduct a gender impact assessment of these projects.” It includes background information, provides a detailed gender impact assessment framework and identifies other gender analysis tools companies may want consider in their specific situation or context.

This brochure highlights the principles and rules of human rights and humanitarian law applicable to the law enforcement function and their practical implications for law enforcement work. The document provides an overview of the relevant rules and standards of international law and how they can be incorporated into professional law enforcement procedures. A more detailed analysis is available in the ICRC manual entitled “To serve and protect: Human rights and humanitarian law for police and security forces".

This scenario-based training tool provides interactive guidance for responsible businesses in conflict-affected countries. The training tool includes background information, policy recommendations and case studies to illustrate security and human rights challenges companies may face. Most importantly it provides a detailed and real-world scenario exercise based on a company’s dilemma situation with the host government in a post-conflict situation.

This Good Practice Note is aimed to assist companies develop and implement grievance mechanisms. The document outlines general principles of a good grievance mechanism and provides practical examples of implementation in different sectors (including the oil & gas and mining sector). Five key steps for grievance management are identified, which are all illustrated with tables, models and monitoring parameters. Lastly, the Good Practice Note outlines other relevant resources on project-level grievance mechanisms.

This guide provides 12 case studies of Rio Tinto operations in different parts of the world. The focus of the case studies lies on the company’s communities and social performance work and aims to provide real-life examples on how to comply with human rights standards in challenging situations. Case studies address, among other topics, security and impact assessments, human rights training programmes and dispute and grievance resolutions. Importantly, the case studies include practical tools, templates and checklists to support the work of communities and social performance practitioners.

This case study, by BP and Safestainable, outlines the development and implementation of a Training Assistance Program (TAP) for the Iraqi Oil Police Force (OPF) aimed at facilitating the practical implementation of the Voluntary Principles on Security and Human Rights (VPs). The case study illustrates the logic and design of a Train the Trainers approach and includes an overview of the TAP course content. Furthermore, the case study provides policy lessons learned and good implementation practices to overcome key challenges when engaging public security forces on the VPs.

The Initiative for Responsible Mining Assurance (IRMA) Standard aims to specify “best practice performance requirements that are applicable to all kinds of industrial mining worldwide, that are designed to be independently auditable at the mining site level, and that are supported by leading companies as well as civil society organizations.” The Standard is divided into 28 separate chapters organised within five broader sections: 1) Business Integrity, 2) Social Responsibility, 3) Environmental Responsibility, 4) Reclamation and Closure and 5) Management Systems. This first draft of the Standard is currently open to public comment, consultation and input to inform and refine up-coming versions. Once finalised, the IRMA Standard will be a key part of a global mining assurance system.

This book provides various perspectives on company-led grievance mechanisms, including the perspectives of affected communities themselves. The book firstly offers background information on grievance mechanism and highlights key drivers, standards and guidance for their design and use. Afterwards, the majority of the book consists of case studies in the oil and gas, forestry, and mining sectors. The case studies identify challenges companies and communities have faced and provide examples of positive and effective grievance mechanisms. The book also includes “a number of specific recommendations on how grievance mechanisms can be designed and implemented to better meet the needs of communities and to avoid the risk and costs of community disputes for business.”

The International Stability Operations Association (ISOA) is a trade association of the stability operations industry, which includes private military and security companies. The ISOA’s aim is to promote high operational and ethical standards of private sector operations in conflict and post-conflict environments. Therefore the “ISOA Code of Conduct seeks to establish consistent ethical standards for members of International Stability Operations Association operating in complex environments so that they may contribute their valuable services for the benefit of international peace and human security.”

This Draft Good Practice Handbook is aimed to support extractive companies in the early stages of project development and stakeholder engagement. While the Handbook is specifically targeted at junior companies with limited resources and experience, the good practices and tools identified are likely to be useful to senior companies as well. The Handbook provides an overview of the different stages of early strategic stakeholder engagement and highlights key differences between company and community perspectives and expectations. In order to bridge these differences and assist a productive stakeholder engagement, the Handbook outlines key principles and performance standards and provides good practice approaches and tools focused on the early project planning stages.

This tool is part of the Gender & Security Sector Reform Toolkit (DCAF, OSCE/ODIHR, UN-INSTRAW, 2008). The tool addresses gender aspects relevant to security sector reform (SSR) processes involving Private Security Companies (PSCs) and Private Military Companies (PMCs). Through its focus on gender issues in international and national regulation of PSCs and PMCs, the tool highlights general issues concerning the privatisation of security such as the possible exacerbation of existing social tensions and the reinforcement of oppressive practices and structures. The document analyses PSCs/PMCs both as providers and subjects of SSR and illustrates how gender initiatives can be practically implemented in SSR operations involving PSCs and PMCs.

This report builds on the previously published “Guidance on Responsible Business in Conflict-Affected and High-Risk Areas: A Resource for Companies and Investors” (UN Global Compact and PRI, 2010), which outlines key ‘challenges’ for companies in high-risk areas and identifies directly related ‘guidance points’ to help them improve their responsible conduct. The report highlights the practical value of these ‘guiding points’ by presenting numerous case studies of how companies, investors and Global Compact Local Networks have used and implemented them. The case studies include examples from various industries (see pages 20, 42, 50 and 54 for extractive companies) and address different issues in the four areas of the initial Guidance: Core Business, Government relations, Local Stakeholder Engagement, and Strategic Social Investment.

The Training Tool enables oil and gas companies to instruct and inform their staff, suppliers and contractors about the companies’ responsibility to ensure respect for human rights in their operations. This 3rd edition includes training modules on labour issues, provision of security, and community engagement.

This guidance tool identifies overarching Principles for companies and their local stakeholders to jointly design effective rights-compatible grievance mechanisms and couples them with detailed and practical Guidance Points. These Guidance Points include detailed explanatory texts, lessons learned and key performance indicators.

This Guidebook attempts to facilitate constructive engagement and relationships between extractive companies and indigenous communities. The guide includes checklists, short questionnaires, good practices, mapping tools and case studies.

This Good Practice Survey summarizes the key insights and concepts of the literature on community grievance mechanism most relevant to oil and gas companies. The survey includes “the criteria for effective grievance handling, basic procedural steps, elements of good practice and integration with existing management systems.” 

This guidance document identifies the sustainability standards, guidelines, frameworks and toolkits proven most important to managers and mining professionals and distills them into an easy-to-understand format. The document furthermore provides a complete list of all the identified sustainability resources for EDSP companies as well as a number of topic-specific Best Practices Quick Sheets (e.g. ‘Stakeholder Engagement’, ‘Grievance Mechanisms’).

This report outlines the outcomes and conclusions drawn from a pilot project testing the benefits of grievance mechanisms that are aligned with the ‘Guiding Principles on Business and Human Rights’. Two of the pilot projects involved companies in the extractive industries: 1. Cerrejon Coal (mining sector, Colombia) and 2. Sakhalin II (oil and gas sector, Russia). The report highlights the key challenges, findings and lessons learned by the companies testing the principles of effective grievance mechanisms.

This Good Practice Guide is aimed to assist responsible mining companies in their efforts to establish constructive and positive relationships with Indigenous Peoples. The Guide offers practical user-friendly tools and case-studies covering each step of the project-cycle.

This academy briefing reviews the International Code of Conduct for Private Security Providers (ICoC) to inform government officials, officials working for international organisations, non-governmental organisations (NGOs), and legal practitioners, about the Code’s legal implications. The Briefing provides an overview of the origin and context of the ICoC initiative as well as an analysis of all its sections.

This report is a summary of the May 2013 Shift/CSRI Business Learning Program workshop aimed at establishing guidance for companies on what it means in practice to bring a human rights lens to stakeholder engagement. The report is divided into seven sections covering the design and implementation of stakeholder engagement approaches and provides guidance on: 1) Engaging the Right Stakeholders, 2) Engaging the Right Issues, 3) Engaging in the Right Way, 4) Engaging at the Right Time, 5) Engaging at the Policy Level, 6) Internal Engagement, and 7) Engaging Neutrals.

This self-assessment tool was established by the UN Global Compact initiative to assist companies in evaluating their policies' and operations’ compliance with social and environmental standards. The online tool includes the following five sections of assessment: 1) Management; 2) Human rights; 3) Labour; 4) Environment; and 5) Anti-corruption.

This publication aims to provide managers of business enterprises with a basic understanding of situations, where business operations may either benefit from the protections afforded by international humanitarian law or be constrained by its rules. It may also serve as a reference for financial, insurance and trading companies which are not directly operating in zones of armed conflict themselves but may do so indirectly through their clients and suppliers.

This publication “consists of guidance on doing business in societies at risk of conflict for field managers working across a range of business activities, as well as headquarters staff in political risk, security, external relations and social performance departments." See section 4 (Flashpoint 1) on Stakeholder engagement.

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