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Human Rights Risks in Mining. a Baseline Study

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Human Rights Risks in Mining. a Baseline Study Human Rights Risks in Mining A Baseline Study Prepared by Commissioned by 2 | Human Rights Risks in Mining. A Baseline Study Acknowledgements The research leading to the present study has been carried out as part of the research project “Human Rights Risks in Mining” by the German Federal Institute for Geosciences and Natural Resources (BGR) and the Max-Planck-Foundation for International Peace and the Rule of Law (MPFPR). This publication was produced on behalf of and financed by the German Federal Ministry for Economic Cooperation and Decvelopment (BMZ). Author Dr. Maximilian Spohr, MPFPR With contributions by Prof. Dr. Rüdiger Wolfrum of MPFPR and Åsa Borssén, Johannes Danz and Dr. Sven Renner of BGR. With thanks to Dr. Michael Priester, Viola Bölscher, Uwe Näher, Ludwig Feldhaus, Dr. Rolf Muff, Dr. Lothar Winkelmann, Dr. Rudolf Mauer, Peter Weis and Anna von Harnier Photo credits Title photo: © Mr. Tsvangirayi Mukwazhi Disclaimer The views expressed in this publication are the sole responsibility of the author/s and do not necessari- ly reflect the views of the German Federal Institute for Geosciences and Natural Resources. The cases de- scribed solely serve as examples of possible human rights risks in certain scenarios and do not express any final legal opinion. Geographical Maps. The geographical maps in this publication are for informational purposes only and do not constitute recognition of international boundaries or regions; BGR and MPFPR makes no claims con- cerning the validity, accuracy or completeness of the maps nor assumes any liability resulting from the use of the information therein. Manuscript completed in January 2016. This document is available online at: www.bmz.de/rue © 2016 Bundesanstalt für Geowissenschaften und Rohstoffe Human Rights Risks in Mining – A Baseline Study All rights reserved. For permission to reproduce please contact: [email protected] Human Rights Risks in Mining A Baseline Study Prepared by Commissioned by 4 | Human Rights Risks in Mining. A Baseline Study Abbreviations and Acronyms AMD ........................ Acid Mine Drainage ICCPR ..................... International Covenant on Civil and Political Rights ASM .......................... Artisanal and Small-Scale Mining ICERD .................... International Convention on the Elimination CAT ........................... Convention against Torture and Other Cruel, of All Forms of Racial Discrimination Inhuman or Degrading Treatment or Punish- ment ICESCR ................. International Covenant on Economic, Social and Cultural Rights CEACR ................... Committee of Experts on the Application of Conventions and Recommendations ICJ ������������������������������ International Court of Justice CEDAW ................. Convention on the Elimination of All Forms of ICMW ..................... International Convention on the Protection Discrimination against Women of the Rights of All Migrant Workers and Members of Their Families CPED ����������������������� International Convention for the Protection of All Persons from Enforced Disappearance IIED �������������������������� International Institute for Environment and Development CRC ��������������������������� Convention on the Rights of the Child ILO ���������������������������� International Labour Organization CRPD ���������������������� Convention on the Rights of Persons with Disabilities IPEC ......................... International Programme on the Elimination of Child Labour DRC �������������������������� Democratic Republic of the Congo LSM �������������������������� Industrial and Large-Scale Mining ECHR ...................... European Convention on Human Rights MMSD ................... Mining, Minerals and Sustainable Develop- ECPMM ................ Environmental Code of Practice for Metal ment Mines OHCHR ................ Office of the High Commissioner for Human ECtHR .................... European Court for Human Rights Rights EMGAC ................. Exploration and Mining Guide for Aboriginal UNEP ...................... United Nations Environmental Programme Communities UNIDO ................. United Nations Industrial Development HRC .......................... Human Rights Committee Organization HRW ........................ Human Rights Watch VDLT ........................ Vienna Declaration of the Law of Treaties IACHR ................... Inter-American Court of Human Rights | 5 Contents Chapter 1: Introduction ...................................................................................................................................................................................... 6 Chapter 2: International Human Rights Law ........................................................................................................................................... 8 A. Substantive Basis of the Study .................................................................................................................................................................................................................................................... 9 I. International Human Rights Treaties .......................................................................................................................................................................................................................... 9 II. International Labor Rights ................................................................................................................................................................................................................................................... 10 III. Rights of Indigenous Peoples ............................................................................................................................................................................................................................................ 11 B. State Obligations under International Human Rights Law ................................................................................................................................................................................. 13 I. Legal basis of the State Obligations ............................................................................................................................................................................................................................. 13 1. Duty to Respect ...................................................................................................................................................................................................................................................................... 14 2. Duty to Protect ....................................................................................................................................................................................................................................................................... 15 3. Duty to Fulfill ........................................................................................................................................................................................................................................................................... 15 II. Territorial Scope of Application ....................................................................................................................................................................................................................................... 16 C. Human Rights Obligations of Business Enterprises and Transnational Corporations ................................................................................................................... 17 D. Scope of the Legal Analysis ........................................................................................................................................................................................................................................................... 18 I. Interpretation of International Human Rights Norms ................................................................................................................................................................................. 18 II. Absolute and Limited Human Rights .......................................................................................................................................................................................................................... 19 Chapter 3: Human Rights Risk Areas in the Context of Industrial and Large-Scale Mining .......................................... 21 A. Licensing & Exploration .................................................................................................................................................................................................................................................................... 22 I. Description of the Mining Phase ..................................................................................................................................................................................................................................... 22 II. Risk Areas and Human Rights Analysis ...................................................................................................................................................................................................................... 23 1. Indigenous Peoples – Right to Free, Prior and Informed Consent ..............................................................................................................................................
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