Human Rights & Business Roundtable

An Introduction

Human Rights and Business Roundtable

A Commitment to Dialogue by The Fund for Peace

The Fund for Peace is an independent, nonpartisan, 501(c)(3) non-profit

research and educational organization that works to prevent violent

conflict and promote sustainable security. We promote sustainable

security through research, training and education, engagement of civil

society, building bridges across diverse sectors, and developing

innovative technologies and tools for policy makers. A leader in the

conflict assessment and early warning field, the Fund for Peace focuses

on the problems of weak and failing states. Our objective is to create

practical tools and approaches for conflict mitigation that are useful to

decision-makers.

Copyright © 2011 The Fund for Peace.

All rights reserved.

This program description is proprietary to The Fund for Peace.

No part of this publication may be reproduced or transmitted in any form or by any means without

prior written consent from The Fund for Peace.

The Fund for Peace Sustainable Development, Sustainable Security

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Human Rights & Business Roundtable

Overview

Launched in 1997, the Human Rights

and Business Roundtable brings together

multinational businesses, human rights

organizations and other stakeholders to

discuss issues of common concern and

explore possible solutions to problems in

conflict zones in an atmosphere of mutual

respect, trust, and confidentiality.

Today, the Roundtable focuses exclusively on

the extractive industry, although the lessons

learned and case studies of the Roundtable

provide value to all sectors. The Roundtable is

an invaluable resource for corporations and

NGOs to work together to promote sustain-

able development, the rule of law and open

societies.

Guidelines

The overall goal of the Roundtable is to

promote the rule of law and open societies. To

do this we have a common set of principles

and have a sustained dialogue over issues of

common cause and common concern.

Members and guests of the Roundtable must

be able to speak openly, frankly and in

confidence in order to identify ways to work

cooperatively together in the future to

address issues concerning human rights. To

make this possible, the Roundtable is guided

by a few ground rules.

The Roundtable is based on confidentiality.

There is no attribution to individuals or their

organizations of what was said. If we do issue

a report, then only formal presenters will be

attributed and only with their expressed

permission.

Also, participants may have been invited

because of their position and affiliation, but

during the Roundtable views expressed by

participants represent only their personal

views and do not reflect upon their company

or organization, unless otherwise stated by

the individual.

Everything discussed at the Roundtable is

voluntary – for example any proposals

brought forth here are not mandatory in any

way. And, moreover, any issue that is in

litigation will not be discussed. No party to

litigation that involves the companies,

organizations and/or projects participate in

Roundtable Plenary Sessions that relate to

such litigation.

These guidelines will help us find ways to

work together in specific countries and

projects, as well as in general, to promote the

rule of law and open societies.

Introduction & Contents


What Makes the Roundtable Unique 4

Activities & Benefits 5

Participants 7

What People are Saying 8

Beyond the Roundtable 9

About The Fund for Peace 11

• Corruption

• Security Threats

• Forced Labor

The Roundtable is…

Confidential

Now in its fourteenth year, the Roundtable

continues to successfully execute off-the-

record dialogues between human rights,

business, development, and legal experts.

Collaborative

The Roundtable’s agenda is set by and for the

participants. Our activities will constantly

strive to reflect the current interests of our

participants. The Roundtable is an invaluable

resource for corporations and NGOs to work

together to promote sustainable develop-

ment.

Constructive

The Roundtable’s Joint Principles prohibits

“naming and shaming”, allowing our efforts to

focus on joint advocacy, education, and

action. This method builds the internal

corporate social responsibility capacity of

each individual member while providing the

opportunity to make a difference in the global

community.

Cost-efficient

From high profile lawsuits to shareholder

resolutions, companies have recognized that

the cost of inaction is greater than the cost of

action. The Roundtable gives corporate

members a competitive edge by reducing

liabilities, strengthening relationships to

stakeholders, and enhancing brand image.

Together, participants also strategize on how

to work collaboratively to address challenges

and risks associated with operating in

complex environments.

The Roundtable’s activities work to develop

solutions and anticipate future problems on

such issues as

• Revenue Sharing

• Forced Displacement

• Indigenous Rights



Why the Roundtable is Unique

Members have unfettered access to

Roundtable Plenary Meetings that bring a

wide network of companies, non-

governmental organizations, government

representatives and international finance

institutions together for education, problem

solving, and action. As stated in the Roundta-

ble’s Joint Statement of Principles, members

enjoy an atmosphere of mutual respect, trust

and confidentiality. The agenda is set by and

for its members in order to address the

concrete issues faced by participating

organizations. Plenary sessions take place

once every two months.

Topics for 2011 are currently being devel-

oped with participants and will likely address

stakeholder engagement, Voluntary Principles

on Security & Human Rights training, building

local capacity for community foundations,

project-level grievance mechanisms,

developing dialogues with public security

forces, and addressing challenges related to

health in isolated environments.

Sidebars

The Roundtable staff is always on call. We are

available to review policies and training

materials, discuss ideas, and help identify

partners. Upon request, special sessions may

be convened on an ad-hoc basis to solicit

input from key stakeholders or to work

through a pressing issue confidentially. The

experience, expertise, and diverse perspec-

tives of the Roundtable help organizations

work through the toughest challenges

presented by economic globalization. Each

corporate Roundtable member can request, at

no additional cost, one Sidebar per year.

Additional Sidebars can be requested for an

additional fee.

Globalization & Human Rights

The Globalization & Human Rights Series

covers issues related to the effects of

globalization that impact the lives of human

beings. Based on open-source research but

applicable to the themes of the Roundtable, it

seeks to inform a wider audience about the

issues discussed within the Roundtable

plenaries and in other similar fora. Currently

in the series are papers on, “Economic Reform

in Weak States: When Good Governance Goes

Bad,” “The Effect of the Kimberley Process on

Governance, Corruption, & Internal Conflict,”

and “The Global Impact of State-Led Energy

Pursuits by China and India.” The series is

available on our website.

Off-Site Expert Sourcing

In addressing human right challenges, the

Roundtable has the resources and networks

available to link its members to the most

relevant and credible experts. The Roundta-

ble’s experts help corporations better resolve

conflicts associated with post, current and

potential investments. Our expertise covers

such issues as governmental corruption,

human rights training, relationships to



Activities and Benefits

security forces, consultation and compensa-

tion to indigenous communities, identifying

local and international partners, environ-

mental preservation, and revenue sharing

schemes.

Replication of the Roundtable

The Roundtable has been replicated in

Indonesia, thanks to a partnership with the

Public Health Institute. Focusing on health,

which the Fund for Peace recognizes as an

underlying condition of conflict, the Health &

Business Roundtable Indonesia is already

forging new partnership to help provide

sustainable health to workers and communi-

ties in rural areas of Indonesia. The Roundta-

ble currently has over 100 organizations as

members. Meetings take place in Jakarta once

every three months, although we hope that

the number will increase as well as the ability

to have the Roundtable meetings in other

locations around Indonesia.

Based on this experience as well as our

increased work with local civil society on the

ground, the Fund for Peace is eager to explore

opportunities to create full Roundtables in

other countries on specific issues, such as

health, which can help build local civil society,

relationships between them and the private

sector, and build trust and understanding,

including with government as appropriate.

Corporate Citizen Training

Roundtable membership helps educate

corporations in the behavior and benefits of

being a good corporate citizen. Roundtable

membership allows corporations and human

rights groups to collaborate for preventative

action rather than clash on human rights

issues. The Roundtable can guide corpora-

tions on how to better communicate and work

with the NGO community. The long-lasting

partnerships fostered by the Roundtable

sustain the integrity and fiscal health of

corporations’ current and future investments

while promoting innovative approaches to

sustainable development.

Policy Drafting and Evaluation

The Roundtable works with its members in

developing internal and external policies that

are consistent with today’s expectations of a

socially responsible organization. The

Roundtable can assist in drafting human rights

and other policies as well as in the revision

and evaluation of an organization’s existing

codes. The cooperative participation of

human rights groups in the development of

corporate internal policies and vice versa

gives Roundtable members greater capacity

and credibility.


Activities and Benefits



Participants

American Petroleum Institute

Amnesty International

Barrick Gold Corporation

Center for Budget & Policy Priorities

Chevron

CHF International

Citizens for Global Solutions

Coalition for International Justice

ExxonMobil

Freeport-McMoran

Hess Corporation

Human Rights First

International Finance Corporation

Inmet Mining

International Labor Organization

Marathon Oil

National Democratic Institute

Newmont Mining

Pact, Inc.

Partners for Democratic Change

Partnership Africa Canada

International Stability Operations Association

Public Health Institute

Search for Common Ground

Shell Oil

Transparency International

U.S. Agency for International Development

U.S. Department of Defense

U.S. Department of State

World Bank

International Alert

Groupe OCP

Current Participants

“We look forward to continuing to

develop the relationships and trust we have

established through the Roundtable, and

enthusiastically encourage others to join this

groundbreaking and useful forum.”

Archie W. Dunham

Chairman, President, and CEO, Conoco, Inc.

“The Roundtable provides an opportunity to

get a window into the decision-making

process. We hear about how business

representatives struggle within their own

organizations to raise these kinds of issues;

where the various points of leverage and

power are, as well as the motivations behind

working on these issues. This information is

valuable for both sides to understand each

other better.”

Elisa Massimino

President and CEO, Human Rights First

“The Fund for Peace Human Rights and

Business Roundtable is the only regular

meeting place for corporations, human rights

organizations, and scholars in the U.S.”

Andrés Peñate

Director of International and NGO Affairs, BP

“At this time there is a gap between govern-

ment abuses and human rights efforts to

bridge this gap…and the only way to cross

that bridge is to bring in the corporate

community. I think your Roundtable has

tremendous potential.”

Jimmy Carter,

Fmr. President of the United States

“While we can meet with many of the

Roundtable participants individually -- and

often do -- the unique format of a trusted

environment where ALL of the parties come

together under one roof for candid exchanges

is extremely valuable to this company. The

Roundtable's place in carefully balancing the

views, perspectives, and indeed, agendas of

the various players should not be underesti-

mated or undervalued.”

Stephen Burns

Manager, Corporate Responsibility, Chevron

“The Roundtable has been useful because it

has allowed the participants to set the agenda

rather than coming in with a strong agenda of

its own.”

Mort Winston

Chair, Amnesty International USA

“The Roundtable is a truly significant

endeavor…It has rendered a tremendous

service …many of the Roundtable’s objectives

are fundamental to American foreign policy”.

Paula Dobriansky

Former U.S. Undersecretary of State

for Global Affairs



What People Are Saying

The Fund for Peace has long

recognized that companies are an essential

part of creating sustainable societies.

Companies provide infrastructure develop-

ment beyond their immediate operations and

support local economies beyond direct

employment opportunities. When operating

in tense social and political environments,

however, companies can easily be seen as

part of the problem instead of part of the

solution. To operate effectively in areas

lacking strong government institutions and a

respect for the rule of law, companies need

partners.

We have spent more than a decade analyzing

the best practices and lessons learned from

companies and their partners through their

efforts to increase a company’s ability to

operate with the highest standards despite

local obstacles.

Combining that experience, our extensive

global networks, and proprietary software

based on our conflict assessment framework

(CAST), FFP has developed a suite of tools to

help companies operate in the most sensitive

environments. Our tools can assist companies

to navigate through complex situations. By

turning challenges into opportunities,

companies can become known as a good

neighbor in the communities where they

operate and a preferred investor or supplier.

FFP frequently supports companies in their

development of the following activities:

• Human Rights & Security Polices

• Conflict and Human Rights Assessments

• Community Relations and Stakeholder

Engagement

• Monitoring and Reporting Mechanisms

The work of FFP places a heavy emphasis on

implementation. We aim to not only pursue

policy research and dialogue, but to also

follow through with implementation in the

field.

Voluntary Principles on

Security and Human Rights

Initially conceived at a Fund for Peace Human

Rights & Business Roundtable meeting, FFP is

an active participant in the Voluntary

Principles on Security & Human Rights. The

Fund for Peace is proud to be serving on the


Sustainable Development & Security

Beyond the Roundtable

Steering Committee of the Voluntary

Principles for the 2011-12 term.

Through partnerships, we support Voluntary

Principles implementation by companies.

Working with both oil/gas and mining

companies, we have helped draft human

rights policies, created assessment capabili-

ties related to security and human rights,

undertaken conflict and human rights

assessments, and developed human rights

and Voluntary Principles training materials.

In Indonesia, working with local institutions

we have helped develop one of the most

active national working groups to encourage

adoption of the Voluntary Principles in

Indonesia by companies and the Indonesian

government.

In 2010, we produced with our partner,

International Alert, a Guidance Note on

Implementation of the VPs at the National

Level, which is being applied in Indonesia,

Iraq and D.R. Congo.

Health & Business Roundtable

With our partner Public Health Institute, we

have replicated the Roundtable model in

Indonesia to support partnership develop-

ment to increase availability of resources to

improve health. Over 80 companies and NGOs

have joined the Roundtable in Indonesia.

Private Security and

Human Rights

Private contractors, though an important

component of various governments’ defense

and foreign affairs strategies, can negatively

affect local communities, undermine nation-

building and thus national security goals. It is

therefore important that contractors be

properly accountable and overseen.

The purpose of the Private Security and

Human Rights program is to promote better

oversight and accountability of private

security contractors in contingency opera-

tions. By engaging with government, NGOs,

the private sector, and local communities, the

program seeks to better facilitate understand-

ing of and adherence to the International

Code of Conduct for Private Security among

all stakeholders.


Sustainable Development and Sustainable Security

About

The Fund for Peace

The Fund for Peace is

an independent, nonpartisan,

501(c)(3) non-profit research

and educational organization

that works to prevent violent conflict and

promote sustainable security.

We promote sustainable security through

research, training and education, engagement

of civil society, building bridges across

diverse sectors, and developing innovative

technologies and tools for policy makers.

A leader in the conflict assessment and early

warning field, the Fund for Peace focuses on

the problems of weak and failing states. Our

objective is to create practical tools and

approaches for conflict mitigation that are

useful to decision-makers.

The Fund for Peace adopts a holistic approach

to the issues stemming from weak and failing

states. We work at both the

grassroots level with civil

society actors and at policy

levels with key decision

makers. We have worked in over 50 countries

with a wide range of partners in all sectors:

governments, international organizations, the

military, NGOs, academics, journalists, civil

society networks, and the private sector.

The Fund for Peace offers a wide range of

initiatives focused on our central objective: to

promote sustainable security and the ability

of a state to solve its own problems

peacefully without an external military or

administrative presence. Our programs fall

into three primary thematic areas:

• Conflict Early Warning and Assessment;

• Transnational Threats; and

• Sustainable Development, Sustainable

Security.

Conflict Early Warning and Assessment

Transnational Threats

Sustainable Development, Sustainable Security



The Fund for Peace Sustainable Development, Sustainable Security

FFP : SHRTP1118


Principles

1. The participants from both the

business community and the human rights

community commit themselves to work

together to promote global respect for and

observance of the rights and freedoms set

forth in the Universal Declaration of Human

Rights.

2. There is a shared recognition that the goals of

the human rights community -- to secure

respect for human rights and to achieve

sustainable development -- and the goals of

the business community – to maximize

shareholder returns and improve the quality

of life through the free market mechanism –

can be complementary and can be mutually

supportive. The protection of human rights

contributes to political stability and reduces

the risk of social unrest, conditions which are

essential to a favorable investment climate. By

the same token, thriving markets are a

precondition for the creation of jobs and

improvement of living standards, and can

contribute to an environment which is

conducive to improved social and political

conditions.

3. The participants from both the business

community and the human rights community

commit themselves to the promotion of the

Rule of Law -- a system of laws applied by an

independent judiciary in a non-arbitrary and

non-discriminatory manner consistent with

international norms and standards. From the

perspective of the business community, the

Rule of Law is essential to the protection of

property, the enforcement of contracts, the

elimination of corruption and the maintenance

of a stable and productive work force. From

the standpoint of the human rights commu-

nity, the Rule of Law is the very foundation

upon which the protection of all human rights

rests.

4. The participants from the two communities

also commit themselves to the promotion of

open societies worldwide and to free access

by all members of the world community to one

another, conditions under which the goals of

each community are most likely to be

advanced.

5. The two communities recognize the growing

economic interdependence among nations.

This interdependence underscores the critical

importance of providing an appropriate level

of resources and authority to the United

Nations and other multilateral institutions

which play a central role in advancing human

rights. Likewise, the role of these institutions

in promoting peace and development

contributes importantly to a favorable

investment climate. These relationships were

recently recognized in the Joint Statement on

Common Interests by the Secretary-General of

the United Nations and International Chamber

of Commerce:

“Efforts by the international community to

promote appropriate policies and good

governance, to strengthen institutions and

infrastructures, to eradicate poverty and to

develop human resources are critical to the

creation of a business-friendly environment …

Business is well aware that it must be a

responsible partner in the social order in which

it operates.”


Joint Statement

6. The participants from the corporate commu-

nity and the participants from the human

rights community commit themselves to the

continuance of dialogue, to the continued

search for common interests, to work together

to advance those goals and principles which

are the subject of this Joint Statement and to

work to explore the possibilities for develop-

ment of a mutually supportive relationship.

Each recognizes that such a relationship will

require a better understanding of the other

community and is likely to require changes in

behavior and in tactics.

(a) The participants from the human rights

community recognize that cooperation with

industry can be an effective means to address

areas of common concern. The participants

from the human rights community also

recognize that there are often limits to a

corporation’s ability to exert political and

social influence and on their authority to do

so; and that corporate management has a

fiduciary obligation to its shareholders to seek

to earn a fair profit. Going forward, the

participants from the human rights community

commit themselves:

(i) To make themselves available to representa-

tives of the business community for dialogue

in respect of the human rights dimensions of

their investments – both actual and potential;

and

(ii) To make information available to representa-

tives of the business community to facilitate

informed decision making where human rights

considerations are present subject to

considerations of confidentiality and the

necessity of protecting sensitive sources.

(b) By the same token, the participants from the

corporate community recognize that there are

fundamental international human rights

standards to which their companies must

adhere to be good international corporate

citizens. They are:

(i) To avoid complicity in governmental human

rights abuses in the countries in which they

operate.

(ii) To uphold and respect human rights in the

corporation’s own practices and sphere of

influence. This includes avoidance of the use

of child or forced labor; promotion of equal

opportunity for employees at all levels

without regard to color, race, gender, age,

ethnicity, religion or national origin; respect

for employee freedom of association and right

to collective bargaining; and provision of a

safe and healthy workplace.

(iii) To make measurable progress toward the

goal of a wage level for all workers which will

provide them and their families with basic

human needs.

(iv) To develop explicit company policies and

procedures to ensure that security arrange-

ments do not contravene international human

rights standards.

(v) To actively engage with the leadership and

voluntary organizations of the communities in

which they operate regarding the impact or

potential impact of company operations on

the enjoyment of universal human rights; and

to use their influence with host governments

to cause the local community to share

appropriately in the benefits realized by the

host government from company operations.

(vi) To afford transparency with respect to

compliance with these standards.

Adopted April, 2001


Principles


ABB, Inc.

AFL-CIO

Akin Gump

American University

Amnesty International

American Petroleum Institute

Asia Foundation

Ashoka

Asia Society

Baruch College/CUNY

BHP Billiton

Boeing Company

BP

Brookings Institution

Business and Conflict Ltd.

Business for Social

Responsibility

Carnegie Endowment for

International Peace

Carter Center

Catholic Relief Services

Center for Budget and Policy

Priorities

Chevron

Coalition for International

Justice

Columbia University

Congressional Executive

Commission on China

ConocoPhillips

Council on Foreign Relations

Development Alternatives Inc.

Embassy of the Republic of Chad

Environmental Defense Fund

ExxonMobil

Fair Labor Association

First Peoples Worldwide

Foley Hoag LLP

Freedom House

Freeport McMoRan

George Washington University

Georgetown University Law

Global Alliance for Worker’s and

Communities

Global Witness

Harvard University

Hess Corporation

Human and Civil Rights

Organizations of America

Human Rights Watch

IFC

Inmet Mining

International Center for

Corporate Accountability

International Human Rights Law

Group

International Peace Academy

International Labor Rights Fund

Jacob Blaustein Institute

Johns Hopkins University

Bloomberg School of Public

Health

Lawyers Committee for Human

Rights

Mattel

Minnesota Advocates for Human

Rights

Missionary Oblates of Mary

Immaculate

Motorola

The National Academy of

Sciences

Newmont Mining

Nike

Occidental Petroleum

Open Society Institute

Oxfam

Pact

Partners for Democratic Change

Phelps Dodge Corporation

Placer Dome

Political and Economic Link

Consulting

Proctor & Gamble

Public Health Institute

Publish What You Pay

Research and Policy Reform

Center

Revenue Watch

Robert F. Kennedy Memorial

Center for Human Rights

Salomon Smith Barney

Shell Oil

Sisterhood is Global

Transparency International

Tufts University, Fletcher School

of Law and Diplomacy

University of Maryland

Unocal

United Nations Development

Program

US AID

United States Environmental

Protection Agency

Uplift International

US-China Business Council

U.S. State Department Bureau of

Democracy, Human Rights and

Labor

United States Institute of Peace

Wofford Consulting

World Bank

World Monitors

Past & Present Participants

Participants

Documents

Human Rights & Business Roundtable