Toolkit

ADDRESSING SECURITY AND HUMAN RIGHTS CHALLENGES IN COMPLEX ENVIRONMENTS

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A compendium of concrete good practices to security and human rights challenges aimed at companies, security providers, civil society, national regulators and other practitioners

4.4. Security impacts of operations on communities

a) The company’s operations may create unintended consequences, such as increased presence of armed groups, a rise in criminal activity, or greater security risks. As a result, communities, and in particular vulnerable populations, may be left without adequate protection or law enforcement provision.

Good Practices*

Analyse the context and assess risks and impacts regularly (See Challenge 2.1.b. and Challenge 4.1.a.)

Develop a risk and impact mitigation strategy in consultation with local communities and other relevant stakeholders

Prioritise the most serious risks and impacts. Where risks or potential impacts are high or extreme, do not start the project or activity until the risks have been reduced or mitigated. (PDAC-CDA: 18) “A company’s inability to operate in ways that do not, at a minimum, ‘avoid harm’ should prompt serious consideration of withdrawal from the context.”^[29]
Conduct a mapping of different security needs in the host communities, adopting a gendered perspective and taking into account the needs of groups that are particularly at high risk.

Gender Sensitive Tools

Corporate operations may cause gender-specific impacts related to the company’s activities, its security arrangements or the surrounding socio-economic realities. In order to identify and address these diverse security needs appropriately, companies must conduct a holistic security assessment.

This box identifies five documents containing gender-sensitive tools that together account for different gender dimensions of local security needs and offer a starting point for a comprehensive security arrangement.

1. A Women’s Guide to Security Sector Reform (Inclusive Security and DCAF, 2013)

While this guide is aimed to engage women from civil society in transforming the security sector in their communities and countries, company representatives can benefit from the document’s holistic approach to the security sector. The guide addresses a wide range of gender-sensitive security issues commonly overlooked by business and human rights publications and identifies concrete ways in which different stakeholders can get involved in and benefit from security sector reform processes. It further provides a wide range of tools, templates, action plans and examples companies can build on to address gender and security issues.

2. Gender Dimensions of Artisanal and Small-Scale Mining - A Rapid Assessment Toolkit (World Bank and Gender Action Plan, 2012)

This toolkit recognises that local security needs are also often related to artisanal and small-scale mining (ASM). The toolkit aims to highlight the importance and insecurities of ASM activities and provides gender-sensitive analytical frameworks and instructional models to address them.

3. Private Military and Security Companies and Gender – Tool 10 (DCAF, OSCE/ODIHR, UNINSTRAW, 2008)

This tool directly addresses the gender-specific issues companies should consider in relation to their operations’ security arrangements. The document provides principles, good practices, brief case studies, sample policies and codes of conduct to address gender issues when engaging private security companies (PSCs). The guidance includes a specific section on integrating gender into the practices of PSCs operating in complex environments.

4. Why Gender Matters - A Resource Guide for Integrating Gender Considerations into Communities Work at Rio Tinto (Rio Tinto, 2009)

This guide offers a unique company perspective on how gender principles can be integrated into a range of operational areas, such as community, safety and environment. Most importantly the guide includes ten case studies highlighting why gender considerations are essential to extractive operations and how they can be applied on the ground in various operational stages and contexts.

5. Women, Communities and Mining: The Gender Impacts of Mining and the Role of Gender Impact Assessment (Oxfam Australia, 2009)

This report by Oxfam Australia provides tools and good practices that companies can use to conduct a gender impact assessment. The report takes a broad approach identifying negative social and economic consequences for women in surrounding communities and provides recommendations to address them. While the tools and guidance are not directly related to companies’ security arrangements, the report highlights the significance of indirect consequences and how they can cause gender-specific insecurities.

Ensure the strategy is proportionate to the identified risks and impacts and tailored to the company's involvement in particular risks or impacts. That is, involvement that "causes or contributes to" a certain outcome necessitates a different response to involvement that is "indirectly linked to" the outcome.
Exercise due diligence to deal with negative legacies. Acknowledge poor practices in the past, apologise publicly for them on behalf of the industry, and seek, as far as possible, to remedy past damage (eg. revegetating damaged environments). (ICMM 2011: 34)
Be aware that” there are no quick fixes for (pre-existing) conflicts, and a company neither can, nor should, try to address them on its own.” (PDAC-CDA: 4)
Coordinate with competent authorities to strengthen their ability to respond to increased risks, ensuring that security measures adopted are appropriate to the risks.
Develop joint approaches with other companies in the region to address increases in crime, violence or presence of armed groups.
Support non-governmental actors in conducting programmes that prevent and address sexual exploitation and violence against women and children.
Work with key stakeholders through existing multi-stakeholder platforms or develop a multi-stakeholder security forum if none exists. (See Case Study: Monthly Security and Human Rights Meetings in Lubumbashi)
Where prevention and mitigation measures are insufficient, consider voluntary resettlement of communities to avoid them being exposed to negative security and safety impacts of operations. Explain the reasoning and justification behind the dislocation as well as providing information on the available options for the affected stakeholders. (OECD 2015: 92) Ensure that a thorough assessment is carried out with all relevant stakeholders to ensure that resettlement will improve the security and safety of affected communities.

Monitor carefully the company’s business relations, transactions and flows of funds

“Do not enter into or condone protection arrangements with any illegitimate armed actors, particularly in conflict areas or regions with poor human rights records.” (HRT: 12)
Carefully analyse whether the company’s operations, supply chain, social investments, local community engagement, etc. might benefit and facilitate the activities of armed groups.
Regularly discuss the company’s expectations and contractual standards with suppliers and contractors. (UNGC: 15) Include clauses in contracts prohibiting human rights violations and illicit payments. (See Challenge 4.3.c.)
“Develop a rigorous supply chain management system to assess and monitor if and how (…) suppliers obtain resources and raw materials in conflict-affected and high-risk areas.” (UNGC: 14)

Establish an effective grievance mechanism (See Challenge 4.1.e.)

b) In-migration to an area as a result of new job and business opportunities created by the presence of a company may create tensions with and within local communities and result in negative impacts.

Good Practices*

Conduct a risk and impact assessment and update them regularly in consultation with local communities (See Challenge 4.1.a.)

Develop a risk and impact mitigation strategy that is adapted to the local context (See Challenge 4.4.a.)

Develop a local content strategy

“Define ‘local’. Agree with local communities on the definition of who should be considered local and who are outsiders” and ensure this information is publicly available. (GIR: 79)
Maximise short-term employment opportunities for local people
Establish a minimum quota of local staff for the company, as well as for its contractors and security providers.
Be clear about the number and type of jobs available in the company.
Be transparent about hiring criteria and “publicly commit to hiring local community members for all jobs for which they are qualified.” (GIR: 79)
Support training of local population to increase their long-term job opportunities
At early stages of operations perform a survey of the trades industry within the region to determine where gaps exist in vocational skills and potential partner organisations with which to collaborate in the development of skills training.
Begin vocational skills training at an early stage of investment.
“Help local people get officially certified” for their existing skills and training. (GIR: 80)
Provide scholarships and apprenticeships for relevant fields to youth. (GIR: 80)
Develop or support programmes to “help local people take advantage of business opportunities.” This could include establishing business development centres, setting up microcredit programmes, or serving as guarantors with local banks to help local entrepreneurs get access to cash. (GIR: 81)
Consider establishing programmes where company representatives teach some specific skills (such as business administration, accounting, business development plans, human resources management, etc.) to emerging small local businesses.

Institute an in-migration management plan at an early stage of investment (GIR: 54)

Involve representatives of all stakeholder groups, such as representatives of the national, regional and local authorities, local communities, and civil society organisations, in the development of the in-migration management plan.
“Develop programmes and support discussions that help communities anticipate and prepare mentally for the changes they will experience from the influx of outsiders and money.” (GIR: 54)
Avoid practices that may attract excessive numbers of people to the area of operations (e.g. avoid hiring people at the company gate). (GIR: 54)
Mitigate the impact of non-local jobseekers on the host community, by, for example, ensuring local infrastructure is strengthened as part of the in-migration management plan. (GIR: 54)
Support non-governmental actors in conducting programmes that prevent and address sexual exploitation and violence against women and children.
On the basis of the risk and impact assessment, look for appropriate ways to strengthen and support community security mechanisms, whether that is in collaboration with the police or other community-based entities.

c) Company safety and security measures and protocols may be perceived by communities as a deliberate barrier to engagement and a signal that the company sees communities as a security threat.

Good Practices*

Ensure that security arrangements convey openness and accessibility (GIR: 45)

“Keep protection and symbols of protection to a minimum” (e.g. avoid cars with blackened windows, or convoys, that drive fast through populated areas, never stopping). (GIR: 45)
Explore all possible ways to lessen the impact of security measures (e.g. build a safe pathway across the company site if the usual pathway has been closed due to operations).
Before contracting with private security providers, determine whether there are cultural or ethnic sensitivities associated with their deployment in the area of operations. (IGTs 50) (See Challenge 3.1.a. and Challenge 3.2.a.)
Where possible, employ women as security guards to facilitate women’s access to the company, as well as people from the local communities that speak the local language.
Ensure that all company staff, including contractors and private security providers, are trained in human rights (and international humanitarian law in situations of armed conflict), as well as in aspects regarding the culture, traditions and values of the local community. (See Section 3.6.)
Consider inviting community members to see a training session for public or private security.
Encourage security personnel to attend community meetings to gain a better understanding of community issues (provided this does not deter community members from attending).

Ensure alignment between the company’s stakeholder engagement strategy and security policies and practices

Educate personnel across all company departments on the stakeholder engagement strategy. (See Challenge 4.1.b.)
- Ensure communities are not treated as a threat, but as partners.
- Make all company staff understand that the company is hosted by the communities and that they should be treated respectfully at all times.
Develop coordination procedures between the community relations and the security departments within the company, with the community relations department as the focal point for any interactions with local communities. (See Challenge 4.3.b.)

Discuss security measures regularly with local communities and work together to address any related impacts (See Challenge 4.2.c. and Challenge 4.4.a.)

Share information in a timely manner, in a language that communities are able to understand and in a format that makes sense to the local population.
Assure people that the information they provide will be treated confidentially to protect their privacy, unless they want it to be shared publically. (OECD 2015: 53)

d) Local communities often have the perception that public security forces work for the benefit of the company rather than the community, in particular where the presence of public security forces increases with the arrival of the company.

Good Practices*

Key factors that will feed perceptions

Physical location of public security barracks/station (i.e. where these are very close to a project site)
MoU/Security agreement or regular interaction with public security forces (i.e. an agreement or close relationship between the company and public security may create misunderstandings regarding the mandate of public security)
Resource allocation (i.e. logistical, financial and/or in-kind support provided by the company to public security forces)

Ensure public security forces understand their mandate (See Challenge 2.2.a.)

In community areas where there is insufficient public security presence, work with public security management to strengthen law enforcement

Agree with public security on security measures that are appropriate to respond to local risks. (IGTs: 38) Take into account that “security measures that are viewed as ‘heavy-handed’ may end up creating, rather than reducing security risks by endangering parallel efforts to develop community trust.” (IGTs: 20)
Encourage public security forces to appoint their own community liaison.

Publicly condemn violence against civilians in the region where the company operates (Swisspeace: 33)

Discuss security arrangements with communities (See Challenge 4.2.c. and Challenge 4.4.c.)

Explain the purpose of security arrangements to communities and engage communities in discussions about how to improve security practices.
Encourage the participation of a representative of public security forces in community consultations. (IGTs: 41)
Encourage social interaction between public security, company staff and local communities, such as regular fairs or sports tournaments, development of joint exercises, etc.
Work with key stakeholders through existing multi-stakeholder platforms or develop a multi-stakeholder security forum if none exists. (See Case Study: Monthly Security and Human Rights Meetings in Lubumbashi)

Monitor stakeholder perceptions regarding the project

Use “an annual or semi-annual ‘perception’ survey, independently administered, which uses the same set of questions over time to achieve continuity.” (IFC: 108) (See Challenge 4.1.a.)
Use the grievance mechanism to address concerns before they escalate. (See Challenge 4.1.e.)
Consult with credible and knowledgeable third parties to gain insights into communities’ concerns.
Where perceptions have become more negative, open a dialogue with stakeholders as to why, and how this can be addressed.

e) Company operations may threaten or render illegal the livelihood of local communities (e.g. artisanal mining, hunting, fishing, farming) as a result of restricted access to land or environmental changes. This creates tensions and conflict between the company and the community.

Good Practices*

Before commencing new projects, conduct a baseline assessment (See Challenge 4.1.a.)

Ensure the study reflects seasonal activities that may vary throughout the year.

Conduct a stakeholder mapping exercise in the area of operations (See Challenge 4.1.b.)

Conduct an impact assessment and update it regularly (See Challenge 4.1.a.)

Consider developing the following measures in collaboration with affected stakeholders to address impacts on livelihoods

Engage with the host government to ensure community interests and needs are taken into account when developing a resettlement action plan for affected stakeholders. This should include finding alternative hunting, fishing and/or farming areas nearby to minimise the impact on livelihoods.
Establish an alternative livelihoods programme, including scholarships or training, that facilitates access to other employment opportunities. Initiate the process of developing the programme at early stages of investment, in consultation with development agencies, government agencies, NGOs, and civil society organisations.
Employ affected stakeholders that qualify for jobs at the company (e.g. artisanal miners).
Procure goods and services locally and help local companies qualify for tenders.
Cooperate with efforts to formalise the artisanal and small-scale mining (ASM) sector.
Support any efforts by the host government to professionalise and formalise the artisanal mining sector, through the establishment of cooperatives, associations or other membership structures.
Engage with ASM associations and explore the possibility of reserving an area of the company’s concession for artisanal mining, whereby portions of the concession are subleased to small scale miners who operate as subcontractors to the company.
Engage with other companies operating in the area to develop an impact mitigation plan that addresses the loss of livelihoods.

Ensure that public and private security are trained on how to deal with the unauthorised presence of community members in the company’s concession (See Section 2.5. and Section 3.6.)