This presentation by the Geneva Academy was made at the expert learning session on conflict-affected and high-risk areas during the 7th Multi-Stakeholder Forum on Responsible Mineral Supply Chains held on 26-28 May 2014 in Paris. Find out more at: http://mneguidelines.oecd.org/icglr-oecd-un-forum-paris-may-2014.htm

1. Conflict-Affected and High-Risk Areas
and Due Diligence
7th meeting of the ICGLR-OECD-UN GoE Joint
Forum on Responsible Mineral Supply Chains
Paris, 26 May 2014

2. OECD Due Diligence Guidance
I
‘conflict-affected areas’ and ‘high-risk areas’
trigger heightened need for due diligence
OECD Due Diligence Guidance is risk-based due
diligence, i.e. obligation to identify, prevent, and
mitigate risk
 Risk: potentially adverse impact of companies’
operations or activities when minerals/gold are
sourced from or transit through a CAA or HRA

3. Criteria and Indicators
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Risk assessment – context (factual circumstances of
sourcing, operations, trading, etc. and relationships
with third parties) evaluated against international
standards, including human rights and international
humanitarian law (if applicable)
Indicators are means to identify risk factors: origin or
manifestation of the risk

4. Armed Conflict and International Crimes as
defined under International Law
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International (e.g. between two or more states)
Non-international (e.g. between state and organized
non-state armed group)
War crimes may only be committed in connection
with an armed conflict as defined under international
law.
Genocide and crimes against humanity may be
committed within or outside an armed conflict.

5. Indicators of Conflict-Affected Area: Armed
Conflicts as defined under International Law
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 One or more states attack another state’s territory or armed forces
with armed, naval, or air forces (IAC)
 One or more states occupy another state’s territory without the
latter’s consent (IAC)
 Armed groups conducting regular military style operations against the
national army or police, or another armed group (NIAC)
 An organized armed group controls part of the territory of a state
(NIAC)
 The existence of an armed conflict is determined on the facts.
Sometimes, the UN Security Council or the ICRC give their view that
international humanitarian law is applicable.

6. Indicators of Conflict-Affected Area: Areas affected by
armed conflicts
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 Displaced or refugee camps for people fleeing fighting
 Spill-over violence from an armed conflict in a nearby area
 State is transitioning out of armed conflict
 Remnants of armed groups are involved in criminal activity
(drug-trafficking and/or mineral and gold smuggling)
 Occasional armed clashes between remnants of armed groups
and security forces
 Impunity for war crimes and serious human rights abuses

7. Examples of risk factors
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Risk of fuelling armed conflict: direct/indirect support to
armed groups, or public or private security forces illegally
controlling mine sites, transportation routes or trading
centres or extort money and/or minerals at such locations
Risk of complicity in war crimes (including pillage) or
other international crimes (e.g. using private or public
security forces with a history of violating HR or IHL).
Risk of trading in violation of international law
(sanctions regime against country and/or armed groups and
their affiliates)
Risk of smuggling and illegal trade

8. Indicators of High-Risk Area
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 Public security forces accused of committing serious human rights
violations with impunity
 Public security forces arresting large numbers of people without
apparent good reason
 Judiciary does not enforce law impartially
 State is unable to deliver basic social services (health, electricity,
education)
 Police or security forces cannot safely enter and patrol certain areas
 Areas with high levels of sexual violence and sexual exploitation
(human trafficking)

9. Indicators of High-Risk Area
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People forced to join armed forces and/or forced by public
security forces to work
Children are engaged in dangerous forms of labour
Criminal networks act with apparent impunity
Disenfranchised communities with grievances
Peaceful protests dispersed by public security forces using
grossly excessive force
History of unorganized and spontaneous violence

10. Examples of risk factors
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Risk of trafficking of people and/or using forced labour
Risk of illicit payments, including to criminal networks
(bribes, unofficial “commissions” or ‘taxes’)
Risk of exacerbating social conflict and local grievances
Risk of contributing to or benefitting from forced
displacement
Risk of complicity in human rights abuses by engaging
public or private security forces

11. Academy tools for industry
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 Conflict-affected and high-risk areas
worldwide map and database and explanatory
Briefing Paper
 War Report

12. Academy tools for industry: RULAC
11

13. 12

14. Geneva Academy of International Humanitarian
Law and Human Rights

Rue de Lausanne 120B – CP 67 – 1211 Genève 21 – Switzerland
Tel: + 41 (0) 22 908 44 88; Fax: + (0) 22 908 44 99
info@geneva-academy.ch
www.geneva-academy.ch