United States
The National Action Plan
Leading by Example
Outcome 1.1: Promoting RBC Globally [page 8-9]
New Actions
OECD Guidelines for Multinational Enterprises: For the first time, in 2016 the U.S. National Contact Point (USNCP) for the OECD Guidelines published an annual report and in 2017 will develop an outreach plan to continue its efforts to broaden understanding and implementation of the OECD Guidelines among business. The USNCP will help organise two workshops related to the OECD’s work. Implementing Agency or Department: State
UN Guiding Principles on Business and Human Rights: In addition to funding efforts that promote awareness and implementation of the UN Guiding Principles, the U.S. government, through State, will continue to disseminate the UN Guiding Principles through our bilateral, multilateral, and public diplomacy efforts. State will continue to participate in and host discussions with companies, civil society groups, and others on these Guiding Principles, including through its on-going UN Guiding Principles Workshop Series. The most recent workshop in the series focused on the relevance of human rights and the application of the UN Guiding Principles framework to the selection of sites, preparations for, and activities related to large-scale, global sporting events. Implementing Agency or Department: State
Corruption Consortium: An important deliverable from the International Anti-Corruption Summit held in the United Kingdom in May 2016, State and the U.S. Agency for International Development (USAID) will launch the Global Anti-Corruption Consortium (GACC), a new initiative to support international efforts to expose corruption, raise public awareness, and facilitate action by government, law enforcement, and multilateral organisations. GACC will expand the quality and scope of civil society investigations and reporting by mentoring investigative journalists and facilitating collaboration among anticorruption civil society actors. The initiative will improve civil society’s ability to pursue action by government and international bodies to combat corruption. Implementing Agency or Department: State, USAID
Outcome 1.2 Utilise US Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards
Ongoing commitments and initiatives
Robust and Consistent Enforcement of U.S. Laws and Regulations: The U.S. government will protect the integrity of our financial system and combat money laundering and financial crimes by continuing to enforce its laws in order to protect human, labor, and civil rights. Laws whose enforcement advances key priorities relevant to RBC include those listed in Annex II. Implementing Department or Agency: DOJ, Treasury
Executive Orders and Regulations that Set Global Standards: DOL will continue to vigorously enforce new and existing protections for job applicants and workers of federal contractors, including those who are based outside of the United States. See Annex II for policies promoted by E.O.s that impact the responsible conduct of foreign companies that do business with the U.S. government. Implementing Department or Agency: DOJ, State
International Anti-corruption and Good Governance Act (IAGGA): The U.S. government will continue its commitment to implement the IAGGA. Implementing Department or Agency: State, USAID, Commerce
Federal Funding Accountability and Transparency Act of 2006 (as amended): Under this law’s implementing regulations, federal awardees currently report a variety of data on their first tier sub- awardees. The Department of the Treasury (Treasury) will continue to make this data available to the public on http://www.usaspending.gov/. Implementing Department or Agency: Treasury
Collaborating with Stakeholders
Outcome 2.1 Enhance the value of Multi-stakeholder Initiatives on RBC [page 14-16]
New Actions
Enhancing the Value of MSIs: The U.S. government will establish a formal mechanism for facilitating coordination among agencies engaged in relevant MSIs, in order to establish common approaches and expectations, share relevant experiences and good practices, and explore synergies. The U.S. government will continue to play a leadership role in promoting and improving the value and relevance of key MSIs, especially those in which it participates formally. Implementing Department or Agency: State
Promoting Worker Voice throughout Global Supply Chains: DOL, State, and USAID will promote worker voice and empowerment throughout global supply chains and will commit to: (1) building innovative tools to empower workers to directly report to relevant Departments concerns in federal supply chains; and (2) leverage public-private partnerships, stakeholder engagement, and labor diplomacy to promote worker empowerment throughout global supply chains. This effort will enhance the visibility of workers’ perspectives and of their representative organisations, and promote the ability of workers to organise. Various U.S. government agencies have funded and/or participated in initiatives to support stronger worker voice, such as through the Partnership for Freedom and the Supply Unchained initiatives. Implementing Department or Agency: DOL, State, USAID
Promoting Best Practices for Key Performance Indicators (KPIs): The U.S. government will convene stakeholders to discuss the development and promotion of effective metrics, including KPIs, for measuring and managing labor rights impacts in supply chains. This will be done in collaboration with industry groups, auditing organisations, worker organisations, and other civil society actors. Implementing Department or Agency: DOL
Promoting Rights and Accountability through RBC: In May 2016, USAID launched anew Broad Agency Announcement calling for organisations and companies to collaborate in the development, piloting, testing, and scaling of innovative, practical, and cost-effective interventions to address human rights and anti-corruption in business activities globally. USAID seeks through this announcement to create more strategic, focused, and results-oriented approaches to generate solutions to rights abuses and corrupt practices in global commerce, and form partnerships to target risks and prevent violations. Under this umbrella announcement, USAID will continue its Supply Unchained initiative to better identify — and counter — human trafficking and other labor exploitation at its source. Implementing Department or Agency: USAID
Wildlife Crime Tech Challenge: USAID’s Wildlife Crime Tech Challenge recently selected sixteen Prize Winners and four Grand Prize Winners who submitted the most creative, innovative, and promising science and technology solutions to combat terrestrial and marine wildlife crime, with a focus on combating corruption and reducing consumer demand for illegal wildlife products. Grand Prize Winner New England Aquarium’s solution will digitise customs paperwork and conduct real-time analysis to identify illegal wildlife products hidden in legitimate trade. The National Whistleblower Center, another Grand Prize Winner, will build a secure, transnational reporting system designed to fight corruption by incentivising insiders to securely report wildlife crime. Implementing Department or Agency: USAID
Ongoing commitments and initiatives
Open Government Partnership (OGP): In 2011, President Obama joined seven other heads of state to launch the OGP, a global platform between governments and civil society to promote government transparency, participation, and accountability to citizens. By June 2016, OGP had grown to 70 member states that have made over 2,500 commitments to further government transparency and accountability in just five years. OGP member states — and hundreds of civil society leaders — are committed to working together to promote transparency, empower citizens and civil society, fight corruption, and transform how governments deliver services for their citizens. The United States has released three NAPs under OGP, most recently publishing an update to its third action plan this past September. In demonstration of U.S. commitment to OGP, the USG intends to provide $4 million to support the OGP Support Unit over the next four years, potentially including support to members in the development of National Action Plans, government and civil society consultations, peer learning and exchange, and technical assistance programs. In addition, USAID Missions have financed millions of dollars-worth of OGP-related activities — $14 million in FY2015 alone — ranging from sponsoring citizen consultations, to coordinating OGP workshops with senior government officials, to providing technical assistance with implementation of OGP NAP commitments. Implementing Department or Agency: State, USAID
ILO-International Finance Corporation (IFC) Better Work Program: More than 60 American apparel brands are part of the Better Work program, implemented by the ILO in partnership with the IFC. DOL has funded Better Work programs in Bangladesh, Cambodia, Haiti, Jordan, Lesotho, Nicaragua, and Vietnam. The Better Work program is being implemented in 1,343 export apparel factories, supporting better labor conditions for approximately 1,750,000 workers worldwide. Implementing Department or Agency: DOL
DOL Technical Cooperation: DOL funds a range of projects involving collaboration with private sector actors on RBC issues, including:
- A $12 million project, From Protocol to Practice: Building a Bridge to Global Action on Forced Labor, supports global and national efforts pursuant to the 2014 ILO Protocol and Recommendation on Forced Labor. Among other things, this project will organize a global supply-chain forum focused on the role of business in addressing forced labor.
- A $6 million DOL project in Brazil and Peru, launched in March 2014, partners with national governments, businesses, and civil society organisations to combat forced labor and promote the exchange of good practices between the two countries. In Brazil, the project partners with the state of Mato Grosso’s Integrated Action Program to provide livelihood opportunities to households vulnerable to forced labor. In Peru, the project has conducted research on forced labor in gold mining and logging and trained more than 1,000 government officials on the issue of forced labor. Implementing Department or Agency: DOL
Engagement with International Cocoa and Chocolate Industry: As the Secretariat for the Child Labor Cocoa Coordinating Group (CLCCG), DOL plays a leadership role in facilitating coordination among the Governments of Côte d’Ivoire, Ghana, and the United States and the international chocolate and cocoa industry (including six major producing companies) to address the worst forms of child labor in cocoa growing areas of Côte d’Ivoire and Ghana. CLCCG members held their annual meeting in June 2016 at DOL to discuss new project funding and other initiatives. Implementing Department or Agency: DOL
Partnership for Freedom: The U.S. government has provided funding and technical assistance for the Partnership for Freedom, a public-private partnership among NGO Humanity United and DOJ, State, DOL, and the Departments of Health and Human Services (HHS), and Housing and Urban Development (HUD). Under the second of three challenge competitions, federal agency participants committed to providing outreach and disseminating information to potential applicants for financial support from Humanity United, and to contributing technical expertise to “challenge competition” awardees that have developed technological solutions to identify and address labor trafficking in global supply chains. Implementing Department or Agency: DOJ, State, DOL, HHS, HUD
Burma Labor Law Initiative: The Initiative to Promote Fundamental Labor Rights and Practices in Myanmar, developed by State, DOL, and the Office of the U.S. Trade Representative (USTR), in partnership with Japan, Denmark, the European Union, and State, DOL, USTR -16- the ILO, was launched in 2014 and aims to help modernise Burma’s labor laws in line with international labor standards, build government capacity to administer and enforce labor law, and foster a stronger dialogue among the government, business, labor, and civil society. The parties met for a two-day stakeholder forum in Yangon in May 2015 and again in September 2016 to advance both the labor law reform and stakeholder dialogue elements of the initiative. Implementing Department or Agency: State, DOL, USTR
Sustainable Development Goals: The 2030 Agenda for the Sustainable Development and its 17 Sustainable Development Goals (SDGs or Global Goals) establish an ambitious framework to make progress on many of the fundamental social, economic, and environmental challenges facing the world over the next 15 years. The U.S. government encourages uptake and implementation of the SDGs and intends to facilitate dialogue among key actors to discuss best practices, public-private partnership opportunities, lessons learned, and action necessary to ensure the SDGs’ success. As part of this initiative, DOL has been actively engaged in the ILO-led Alliance 8.7, a coalition of business and other stakeholders committed to increasing action to achieve SDG Target 8.7 on the elimination of the worst forms of child labor, forced labor, and human trafficking. Implementing Department or Agency: State, Treasury, USAID, DOL
Facilitating RBS by companies [page 17]
The U.S. government encourages businesses to treat tools like the OECD Guidelines and the UN Guiding Principles as a floor rather than a ceiling for implementing responsible business practices, and to recognize that implementing RBC should be a continuing process. The U.S. government is supportive of company efforts to voluntarily report on human rights impacts, anti-trafficking measures, transparency and anti-corruption efforts, and other related aspects of their global operations, including the opportunities and challenges they face. Given the heightened risk of serious human rights impacts in conflict-affected areas, the U.S. government particularly encourages corporate due diligence and reporting under such circumstances.
The U.S. government generates and vets relevant information that can be used to conduct appropriate due diligence and risk assessment. While the concept of due diligence is increasingly well understood and accepted among businesses, the tools and resources available to effectively conduct detailed and appropriate risk and impact assessments can be sparse, particularly in many of the complex environments where this type of data is most needed.
To help address those gaps, the U.S. government deploys significant resources to produce and disseminate a variety of reports that help describe the state of human rights, labor rights, commercial, and investment conditions across the world, and produces international company profiles to provide U.S. companies with information to help them vet potential business partners. In certain instances, the government also funds third-party reports that contain information useful to those seeking to promote and implement RBC. As part of the ongoing effort to facilitate RBC, the U.S. government will continue to enhance these resources, making them increasingly user-friendly and easier to find for the purposes of corporate human rights due diligence and social impact assessment.
Outcome 3.1: U.S. Government Reports
Country-Level Land Governance Profiles: USAID will develop and/or update 15 public country-level land governance profiles, which explain the land laws, land use patterns, gender concerns, land administration, and land markets within a given country. These profiles are an invaluable introduction for businesses that are looking to make land-based investments in a given country, and are conscientious about investing in an ethical and responsible manner. These profiles are also a critical resource for Embassy staff and others who counsel foreign businesses on potential investments. Implementing Agency or Department: USAID
RBC Online Resource Tool: State will create a repository for U.S. government reports, sorted by country and subject, to make it easy for a business to review all available U.S. government reporting relevant to the operating environment in particular countries.Implementing Agency or Department: USAID
Supporting Voluntary Reporting on RBC: Voluntary reporting on RBC by U.S. companies will help them achieve their RBC goals while promoting RBC more widely and helping to build the U.S. “brand.” State and other agencies will welcome and recognise new methods of reporting in support of RBC and create an online resource to that end. Implementing Agency/Department: State
Ongoing Commitments and Initiatives
DOL Child Labor and Forced Labor Reports: DOL publishes and updates three reports on international child labor and forced labor (the Findings on the Worst Forms of Child Labor, the List of Goods Produced by Child Labor or Forced Labor, and the List of Products Produced by Forced or Indentured Child Labor) that serve as valuable resources for government action, civil society advocacy, and private sector due diligence on these issues. Since 2015, DOL releases these three reports through a new mobile application, Sweat & Toil: Child Labor, Forced Labor, and Human Trafficking Around the World, which streamlines this wealth of information and makes it available on mobile devices. DOL regularly engages with companies and industry groups on how they can use these tools to strengthen their social compliance programs. Implementing Agency/Department: DOL
Human Rights Reports: State will continue to publish its annual Human Rights Reports, which cover internationally recognised individual, civil, political, and worker rights, as set forth in the Universal Declaration of Human Rights and international agreements. Implementing Agency/Department: State
Trafficking in Persons (TIP) Report: State will continue to use the TIP Report to engage foreign governments in dialogues to combat trafficking, advance anti-trafficking reforms, and to target resources on prevention, protection, and prosecution programs. Implementing Agency/Department: State
Reducing Child Labor and Forced Labor: A Toolkit for Responsible Businesses: This DOL online resource, launched in December 2012, will continue to provide step-by-step guidance to businesses that seek to develop and improve social compliance systems to address child labor and forced labor in supply chains. The Toolkit is available to the public in English, Spanish, French, and Portuguese and will be regularly updated based on feedback from users. Implementing Agency/Department: DOL
Investment Climate Statements: State has and will continue to increase the focus on RBC in its annual country reports on investment climates. These reports, which have long covered all aspects of global investment climates, now include descriptions of labor rights and corporate responsibility practices. Implementing Agency/Department: State
Investment Climate Statements: State has and will continue to increase the focus on RBC in its annual country reports on investment climates. These reports, which have long covered all aspects of global investment climates, now include descriptions of labor rights and corporate responsibility practices. Implementing Agency/Department: State
Country Commercial Guides: Commerce will continue to include an anti-corruption section in U.S. and Foreign Commercial Service Country Commercial Guides. Implementing Agency or Department: Commerce
Anti-Corruption Publications: U.S. government agencies will continue to provide information to companies through a number of U.S. and international publications designed to assist firms in complying with anti-corruption laws, including The FCPA Resource Guide. Implementing Agency/Department: State, DOJ, SEC, Commerce
Responsible Investment in Burma: In 2012, the U.S. government issued the Reporting Requirements for Responsible Investment in Burma, which required U.S. persons undertaking new investment in Burma to report on certain policies related to responsible and transparent business practices. On October 7, 2016, the President signed Executive Order 13742, which terminated the sanctions program with regard to Burma and made compliance with the reporting requirements voluntary. State will continue to host the voluntary reports on the Doing Business in Burma website and use the information collected as a basis for informed consultations with U.S. businesses to encourage and assist them to develop responsible business practices in Burma. State is also working closely with the Government of Burma as it develops and implements standards for responsible business practices. Implementing Agency/Department: State, Treasury
Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments [pages 19-21]
New Actions
Responsible Land-Based Investment: USAID will support responsible land-based investment by helping the private sector pilot the Analytical Framework for Land-Based Investments in African Agriculture, which are internationally accepted guidance that helps companies mitigate land tenure risks and make their investments more inclusive, responsible, and sustainable. This commitment will provide limited financial assistance, as well as technical assistance, to help first mover companies implement the guidance and make their investments more responsible and inclusive of local communities, including indigenous peoples. USAID will coordinate closely with other G-7 governments and the New Alliance for Food Security and Nutrition. Implementing agency or department: USAID
Support for Reducing Land Conflict in West Africa: State is supporting a program to reduce land conflict in Sierra Leone, Liberia, and Guinea by strengthening the capacity of civil society organisations to work on land rights and tenure issues as they relate to the UN Guiding Principles on Business and Human Rights. This program complements USAID’s existing investments in Côte d’Ivoire to support responsible business practices in the process of diamond sourcing, support country compliance with the Kimberley Process Certification Scheme, and stem the flow of conflict diamonds, while improving community land rights. Implementing Agency or Department: State
Stakeholder Engagement in Extractive Industries in East Africa: State is funding a program to promote RBC in East Africa. The goal of the program is to strengthen civil society’s capacity to meaningfully participate in business and human rights initiatives in East Africa and to reduce conflict for communities in the operations of extractive companies. Implementing Agency or Department: USDA, DHS.
Ongoing commitments and initiatives
Raising TIP Awareness in the Agricultural Sector: The Department of Agriculture (USDA) will continue to work with DHS’s Blue Campaign to develop food and agriculture-focused materials to raise awareness of human trafficking with industry partners and will engage with HHS to increase awareness of trafficking in USDA StrikeForce states across the country that may be particularly susceptible to trafficking due to extreme poverty. The StrikeForce teams collaborate with more than 500 community partners across 20 states to address rural poverty. Implementing Agency or Department: USDA, DHS
Engagement with Companies on Anti-Corruption Issues: DOJ, SEC, Commerce, State and other U.S. government agencies conduct outreach to the business community and will continue to coordinate with the private sector on anti-corruption issues. To this end, DOJ will continue to provide businesses, through its FCPA opinion release procedures, the opportunity to seek an opinion as to whether certain prospective, non-hypothetical conduct conforms with DOJ’s enforcement policy. Commerce and State, including through Foreign Commercial Service officers and State Foreign Service officers, will continue to raise awareness about corruption and the importance of effective compliance programs, and assist U.S. companies as appropriate when confronted with corruption overseas. High-level Commerce officials also meet with business leaders around the world and advocate with government officials on rule of law and anti-corruption issues, and the Commercial Law Development Program (CLDP) meets regularly with U.S. businesses to better understand their concerns about, and provide programming in priority countries on, the legal and regulatory reforms needed to reduce corruption and level the playing field in developing countries for U.S. companies. Implementing Agency or Department: DOJ, SEC, State, Commerce
Dodd-Frank Section 1502: Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) supports regional and international efforts to break the link between conflict and natural resources and prevent armed groups or abusive state forces in the African Great Lakes region from benefiting from the sale of certain natural resources that are sourced from the Democratic Republic of the Congo (DRC) or an adjoining country. Section 1502 requires certain companies to submit annually a description of the measures taken to exercise due diligence on the source and chain of custody of the four “conflict minerals.” Commerce will continue to work with the U.S. Geological Survey to issue annually a list of conflict mineral processing facilities to assist in this reporting and will develop recommendations on ways to improve accuracy and establish standards of best practices. State will continue to provide guidance to help companies ensure that their products and their suppliers’ products do not directly or indirectly finance armed conflict or result in labor or human rights violations. Through the Public-Private Alliance for Responsible Minerals Trade, State and USAID work in partnership with U.S. companies and civil society to support conflict-free sourcing from the DRC and African Great Lakes region. Implementing Agency or Department: State, USAID, SEC, Commerce, USGS
Eliminating Child and Forced Labor in Agricultural Supply Chains: In 2011, USDA, DOL, and State released the Guidelines for Eliminating Child and Forced Labor in Agricultural Supply Chains, developed as part of a multi-stakeholder process that included high-level officials of these agencies, representatives of business, civil society, and academics. The Guidelines’ specific elements should be integrated into any agricultural company program to reduce child or forced labor, and include adhering to ILO standards on child labor and forced labor; mapping supply chains and conducting risk assessments; providing communication and monitoring mechanisms; and developing plans and programs for remediating violations. DOL is now funding a four-year pilot project in Turkey to test implementation of the above Guidelines by a leading company. Implementing Agency or Department: USDA, DOL, State
Massive Open Online Course (MOOC) on Land Tenure and Property Rights: USAID successfully developed and led a MOOC on Land Tenure and Property Rights in 2015. The university-level course was free and open to the public. Almost 2,000 participants from more than 60 countries participated in the 14-week course, which features lectures and case studies from a wide variety of experts in the field. A second Land Tenure and Property Rights MOOC will launch in 2017 with expanded lessons on responsible land tenure activities within USAID’s program cycle, utilising geospatial analytics and data for evidence-based programming, and the importance of understanding and supporting customary tenure in development programming. Implementing Agency/Department: USAID
International Law Enforcement Academy (ILEA) Program: Department of State’s Bureau of International Narcotics and Law Enforcement Affairs (INL) operates five ILEAs around the world. ILEA facilities are in Botswana, El Salvador, Hungary, Thailand, and Roswell, NM. ILEA also operates an affiliated Regional Training Center in Ghana. State coordinates the input of 16 U.S. federal law enforcement agencies and selects state and local partners to develop and deliver training to officers from 85 countries around the world. Courses cover a variety of topics including trafficking in persons, wildlife trafficking, counter-narcotics investigations, financial crimes, and money laundering; ILEAs also offer a six-week course on Law Enforcement and Leadership Development. The program builds criminal justice sector capacity in partner countries, develops operational relationships within key regions, and forges key relationships with the U.S. law enforcement community. Approximately 140 courses are offered through the ILEA program each year, reaching nearly 4,500 officers. Implementing Agency or Department: State
Financial Action Task Force (FATF): The United States is a founding member of the FATF and will continue to be actively involved in advancing the FATF’s global efforts in combating money laundering, terrorist financing, and other illicit financing threats that pose a risk to the integrity of the international financial system. The United States recently underwent a Mutual Evaluation Review to assess levels of implementation of the FATF Recommendations. Implementing Agency or Department: Treasury
Combating Illegal Logging and Wildlife Trafficking: Through its Environment and Natural Resources Division, DOJ partners with the Department of the Interior’s U.S. Fish and Wildlife Service and USDA’s Forest Service with the support of State and USAID to provide capacity-building training for investigators, prosecutors, and judges in other countries to prosecute illegal logging and wildlife trafficking cases. DOJ will continue to work to build the capacity of enforcement officials in other countries so they are better able to address these crimes in the countries of origin. In 2016, DOJ provided training to six southern African and five west African countries on wildlife trafficking, and in Colombia, Peru, and Cameroon (for four Congo Basin countries) on illegal logging. DHS will continue to investigate illegal logging and wildlife trafficking cases and work closely with DOJ to prosecute violators. Implementing Agency orDepartment: DOJ, DOI, USAID, State, DHS
Combating Cultural Property Looting and Smuggling
Through its Criminal Division and the Environment and Natural Resources Division, DOJ partners with State, Treasury, Federal Bureau of Investigation (FBI), DHS, and others to coordinate and share information as a part of the Cultural Property Task Force and also works with foreign law enforcement partners to investigate and prosecute individuals involved in the illegal looting, sale, and smuggling of cultural property (including international antiquities and U.S. Native American artifacts). DOJ will continue to participate in the Cultural Property Task Force and coordinate with international law enforcement partners to investigate and prosecute cases.Implementing Agency/Department: State, Treasury
Recognising Positive Performance [page 22]
U.S. companies make tremendous contributions to societies around the world by generating economic growth, creating jobs, spurring innovation, and providing solutions to pressing challenges such as access to clean energy, healthcare, and technology. As the U.S. government seeks to promote RBC tools and best practices, it is important to recognise and highlight when companies achieve high standards and put these tools into action, with meaningful results for workers, communities, and the company itself. U.S. government agencies recognise specific companies that maintain high standards or have positive development impacts. Rewarding activities helps affirm and draw attention to the significant efforts of deserving companies, and serves to reinforce how the U.S. government and U.S. firms work together to leverage comparative advantages to accomplish shared objectives, whether it be in environmental sustainability, labor rights and human rights, or anti-corruption measures.
Outcome 4.1: Recognise RBC Best Practices
New Actions
Human Rights in the ICT Sector: The impact and importance of business conduct in the ICT sector has grown as social, commercial, educational, and recreational interactions increasingly take place online. State, working with other agencies and stakeholders, will develop a regular mechanism to identify, document, and publicise lessons learned and best practices related to corporate actions that promote and protect human rights online. State will also foster continued engagement among relevant stakeholders to support ongoing dialogue and collaboration on respecting human rights within the ICT sector. Implementing Department or Agency: State
Modernise the Secretary of State’s Award for Corporate Excellence (ACE): For 17 years the ACE has recognised the best of U.S. business conduct abroad. Until recently, the ACE focused principally on corporate philanthropy rather than a company’s efforts to ensure that its core business is conducted responsibly. In 2015, the ACE was given out in distinct categories for the first time, designed to align with RBC international best practices. Partly as a result of these updates, the ACE ceremony received unprecedented global participation, with a 470 percent increase in Twitter activity, articles in Voice of America and the Huffington Post, and a 100 percent increase in ceremony viewership online. For 2016, the ACE will continue its focus on highlighting RBC best practices, and will be awarded for transparent operations, inclusive hiring, sustainable oceans management, and small or medium enterprises. Implementing Department or Agency: State
Ongoing commitments and initiatives
DOL Iqbal Masih Award for the Elimination of Child Labor: The Iqbal Masih Award is a non-monetary award presented annually by the U.S. Secretary of Labor to recognise the exceptional efforts made by an individual, company, organisation, or national government to reduce the worst forms of child labor internationally. DOL will continue to consider outstanding private sector efforts for this award. Implementing Agency or Department: DOL
Annex II: Key Domestic Executive Orders and Regulatory Efforts [pages 26-29]
The Executive Orders and regulations listed below are examples of U.S. government actions designed to lead by example and help promote the responsible conduct of businesses operating in the United States and abroad.”
““Strengthening Protections against Trafficking in Persons in Federal Contracts” (E.O. 13627), signed on September 25, 2012, and its associated regulatory changes, created new prohibitions on trafficking and trafficking-related activities in federal supply chains to identify and prevent human trafficking in global supply chains. E.O. 13627 also mandated compliance plans for federal contracts performed overseas and exceeding $500,000 in value.
Non-Retaliation for Disclosure of Compensation Information” (E.O. 13665) and an implementing final rule prohibit covered federal contractors and subcontractors from discriminating against employees and job applicants who choose to inquire about, discuss, or disclose their own compensation or the compensation of another employee or applicant. The E.O. modifies a prior Order (E.O. 11246).
“Further Amendments to Executive Order 11478, Equal Employment Opportunity in the Federal Government, and Executive Order 11246, Equal Employment Opportunity” (E.O. 13672) prohibits covered Federal contractors and subcontractors from discriminating against employees and job applicants employmenton the basisofsexualorientation, and gender identity. The E.O. modifies a prior order (E.O. 11246), which prohibited employment discrimination by companies doing business with the Federal Government on the bases of race, color, religion, sex and national origin and required those companies to take affirmative steps to ensure nondiscrimination on those grounds.
“Establishing Paid Sick Leave for Federal Contractors” (E.O. 13706) and an implementing rule require certain employers that contract with the Federal Government to provide their employees with up to seven days of paid sick leave annually, including for family care and absences resulting from domestic violence, sexual assault, and stalking.
The U.S. Foreign Corrupt Practices Act of 1977 (FCPA): In general, the FCPA prohibits certain classes of entities and individuals, including U.S. companies and citizens and companies publicly traded on a U.S. -27- securities exchange, from offering to pay, paying, promising to pay, or authorizing payments to foreign officials to influence their acts or decisions or to secure other improper advantages
No Safe Haven” Initiative: The “No Safe Haven” initiative aims to deny entry into the United States and U.S. citizenship to the corrupt, to bribe payers, to those who benefit from corruption, those who commit certain human rights violations, and to human rights abusers and war criminals. The initiative is complemented by Presidential Proclamation 7750, which suspends the entry, in part, of public officials who accept bribes and the individuals who provide them, along with immediate family members of public officials who benefit from the corruption. Kleptocracy Asset Recovery Initiative: DOJ uses legal tools to trace and recover the proceeds of foreign corruption in the United States. A team of prosecutors works with federal law enforcement agencies to track the proceeds of foreign corruption, prosecute those who launder the proceeds of corruption, and put forfeited assets to use for the benefit of the people of the country victimised by such abuses of public trust. The Initiative ensures that corrupt foreign leaders cannot seek to launder or spend their stolen wealth in the United States. DOJ also participates in various international fora on asset recovery and, along with the Departments of Treasury and State, pushes to strengthen the global implementation of the international anti-money laundering and counter-terrorist financing standards through the FATF. In addition to the Kleptocracy Initiative established in 2010, DOJ has five other anti-corruption programs. DOJ focuses on investigating and prosecuting domestic public integrity offenders, bribe payers, taxpayers who seek to conceal foreign accounts, and money launderers who facilitate the movement, use, and concealment of corrupt funds, and DOJ continues to provide legal assistance to its foreign partners to fight corruption and ensure it is not a profitable enterprise.
Money Laundering and Bank Integrity: Treasury administers the Bank Secrecy Act (BSA), which, among other things, requires financial institutions to maintain effective anti-money laundering (AML) compliance programs. Effective AML programs include, among other things, the ability to detect and report suspicious activity, including corruption, and to conduct due diligence and enhanced measures when banks, broker-dealers, or other institutions deal with senior foreign political figures. DOJ prosecutes criminal violations of the BSA focusing on criminal violations by financial institutions whose actions threaten the integrity of the individual institution or the wider financial system, as well as professional money launderers and gatekeepers. These unique cases reinforce the obligation on U.S. businesses in the financial sector to harden their infrastructure against financial crime—including bribery, misappropriation, and theft—and reinforce the private sector’s role as a strong line of defense against the introduction of ill-gotten gains to the U.S. financial system.
The Trafficking Victims Protection Act: The Act (22 U.S.C. § 7103) and its Reauthorizations provide comprehensive tools and direction to combat trafficking in persons both internationally and domestically. The Act also authorized the establishment of the Office to Monitor and Combat
Trafficking in Persons to lead USG diplomatic efforts on trafficking, and the President’s Interagency Task Force to Monitor and Combat Trafficking in Persons to coordinate USG anti-trafficking efforts.
Enforcement of the U.S. Lacey Act: The U.S. government enforces the U.S. Lacey Act’s prohibitions on the trade in fish, wildlife, and plants taken in violation of U.S. and foreign laws. In particular, the U.S. government enforces the Lacey Act against those who illegally trade in wildlife products such as rhino horn and elephant ivory, which is threatening the extinction of these animals. In addition, the U.S. government enforces the Lacey Act to punish those who purchase or trade in timber and wood products when that wood was harvested in violation of the laws of the country of harvest.
Enforcement of the U.S. Act to Prevent Pollution from Ships implementing the International MARPOL Convention: The U.S. government enforces the U.S. Act to Prevent Pollution from Ships, the U.S. law implementing the international marine pollution convention known as MARPOL. Such enforcement actions are brought against shipping companies that illegally discharge waste oil into the ocean rather than legally dispose of it at port.
Combating Impunity for International Human Rights Violations: DOJ’s Human Rights and Special Prosecutions Section investigates and prosecutes international human rights violations using several U.S. statutes, including the War Crimes Act, 18 U.S.C. § 2441, and the Torture Act, 18 U.S.C. §§ 2340-2340A. Under these statutes, perpetrators may be held directly or indirectly responsible for specified war crimes or torture committed abroad, including in the course of conducting business, under the circumstances articulated in the statutes.
The International Emergency Economic Powers Act: The Act (50 U.S.C. §§ 1701, et seq.) authorizes the President to declare a “national emergency” in response to “any unusual and extraordinary threat, which has its source in whole or substantial part outside the United States, to the national security, foreign policy, or economy of the United States.” Pursuant to this authority, the President may prohibit certain transactions, including those with a specially-designated global terrorist or specially-designated nationals associated with specified foreign regimes who commit gross human rights abuses. Absent proper license or authorization, violations of such orders, regulations, or prohibitions carry civil and criminal penalties.
Transparency: The U.S. government is engaging in efforts to strengthen financial and corporate transparency to make our country even less attractive for the corrupt looking to spend the proceeds of their crimes. To that end, DOJ has submitted to Congress a package of legislative proposals that will improve the United States’ ability to combat money laundering, particularly when linked to foreign official corruption, and to locate and recover stolen assets and other criminal proceeds. Additionally, Treasury recently announced a final rule to increase transparency in the financial system. The final Customer Due Diligence rule, which was first noticed in 2014 and was subject to a public comment process, will require that financial institutions—including banks and other entities—collect and verify the personal information of the real people (also known as beneficial owners) who own, control, and profit from companies when those companies open accounts. It clarifies and expands BSA obligations and will be fully implemented by financial institutions no later than two years after its effective date (i.e.
May 11, 2018). Finally, Treasury, on behalf of the Administration, sent to Congress draft legislation that would require companies formed within the United States to file adequate, accurate, and current information on its beneficial owners with Treasury. The proposed legislation includes penalties for failure to comply and is necessary to prevent the misuse of companies formed under state law. To address potential vulnerabilities in the domestic real estate market, Treasury uses its authorities to require certain title insurance companies to identify the natural persons behind shell companies used to pay “all cash” for high-end real estate in six major metropolitan areas.