United States

Active Latest business and human rights news in the USAThis page was last updated 10. April 2024

The USA adopted its first NAP in December 2016 with timelines for actions provided up to 2018.

The USA adopted its second NAP in March 2024. This page will be updated with more information on the second NAP shortly.

Available NAPs

United States: 1st NAP (2016 - open)

Period: 2016 - open Available in: English

NAP Development Process

Status

The USA’s National Action Plan on Responsible Business Conduct was adopted on 16th December 2016.

Process

The U.S. government started to work towards the National Action Plan (NAP) in September 2014, following President Obama’s announcement that the United States “will develop a National Action Plan to promote and incentivize responsible business conduct . . . consistent with the UN Guiding Principles on Business and Human Rights and the OECD Guidelines on Multinational Enterprises.” (The US Global Anticorruption agenda).

At that stage, a policy document entitled US Government Approach on Business and Human Rights had been published in 2013.

The White House National Security Council (NSC) was designated to lead and coordinate the U.S government’s efforts to develop the NAP. The NSC first convened a U.S. government interagency group in fall 2014 in order to map out the development of the NAP, including U.S. interagency collaboration and stakeholder outreach.

More than fifteen government agencies were involved in the NAP process, including:

The Department of Commerce;
The Department of Homeland Security;
The Department of Defense;
The Department of Justice;
The Department of Labor;
The Department of State;
The Department of Treasury;
The Department of Agriculture;
Export-Import Bank of the United States;
General Services Administration;
Office of Management and Budget;
Overseas Private Investment Corporation;
U.S Agency for International Development;
U.S. Trade Representative;
Small Business Administrative; and
Environmental Protection Agency.

The U.S. government also established seven interagency groups on reinforcing issues, including transparency and anti-corruption, investment and trade, labor rights, procurement, human rights, land tenure, and agricultural investment.

To gather inputs from civil society, academic, and business stakeholders, representatives from various U.S. government agencies participated in four full-day “open dialogues” on the U.S. NAP, which were held in New York, California, Oklahoma, and the District of Columbia. At the invitation of the U.S. government, civil society groups, academia, and business associations organized these events. Each open dialogue featured a wide range of stakeholder groups, and the diverse locations allowed each to focus on certain RBC issues of particular relevance to stakeholders in that location, including but not limited to: the financial sector, the technology sector, extractive industries, the impact of business on indigenous groups, transparency and reporting, and government purchasing practices. (For details on stakeholder engagement please see next section)

The U.S. government provided information about the terms of reference and a partial timeline for the NAP process in answers to “ published online in February 2015. Earlier, in November 2014, the U.S. government provided a timeline for the open dialogues in an Announcement of an opportunity to provide input into the U.S. NAP. However, beyond a timeline for initial consultation, the U.S. government did not publish a timeline in relation to the rest of the NAP process, such as drafting, review, or publication dates.

There is no information publicly available about the budget.

Stakeholder Participation

While no stakeholder steering group or advisory committee were created, the interagency team identified robust stakeholder consultation as a key priority. Therefore, in November 2014, the U.S. government released an “Announcement of Opportunity to Provide Input into the U.S. National Action Plan on Responsible Business Conduct”.

This publication outlined the U.S. government’s plan and timeline for consulting with stakeholders. The U.S. government sought to establish a series of open dialogues with multiple stakeholders, including business associations, individual companies, labor unions, civil society, academics, international organizations, and affected communities.

However, the U.S. government did not disclose the extent of participation of these different stakeholder groups. As indicated above, the open dialogues were hosted by different external organizations, at the invitation of the U.S. government, and were held throughout the United States:

New York, New York: hosted by the Center for Business and Human Rights at the New York University Stern School of Business and the U.S. Council for International Business;
Berkeley, California: hosted by the Center for Responsible Business at the University of California Haas School of Business and the U.S. Network of the UN Global Compact;
Norman, Oklahoma: hosted by the University of Oklahoma College of Law;
Washington, D.C.: hosted by the International Corporate Accountability Roundtable and the Global Business Initiative for Human Rights.

The U.S. government also created a dedicated email address for written submissions, and received submissions on a rolling basis for over a year from different stakeholders. However, the U.S. government never publicly shared these submissions. Instead, the International Corporate Accountability Roundtable established an online platform focused on the U.S. NAP, which houses a large number of written submissions, as well as other key information and resources related to the process. In addition, U.S. government officials met with NGOs, academic institutions, foreign government officials, labor unions, businesses, indigenous peoples, and industry associations to solicit input for the NAP.

The U.S. government did not thoroughly facilitate participation by disempowered or at-risk stakeholders, however. The U.S. government did state that it would look to set up webinars, as well as consider video conferences through certain embassies or consulates in order to reach the most vulnerable individuals and communities who may be impacted by the conduct of U.S. companies abroad; however, it is unclear which, if any, of these steps the government undertook. Moreover, the only open dialogue that included participation by affected communities (in this case, indigenous peoples) was during the Oklahoma event. U.S. government representatives also discussed sharing “snapshots” or summaries of the feedback received throughout the open dialogue process, but these were never shared publicly.

National Baseline Assessment (NBA)

• Published in 2015, Pillar I is available here (March 2015) and Pillar III (June 2015) is available here.
• Developed as an independent initiative to inform the development of an inaugural BHR NAP. The state welcomed the work conducted by ICAR and other stakeholders. An inaugural BHR NAP was published in December 2016.
• Conducted and funded by a civil society organisation: the International Corporate Accountability Roundtable (ICAR).
• Utilised the DIHR/ ICAR National Baseline Assessment Template. Based on desktop research. Contains recommendations.

According to the NAP, the U.S. government conducted a “stocktaking of laws and policies implemented to date that support [responsible business conduct]” [National Action Plan on Responsible Business Conduct, Annex 1, p. 24]. However, the extent of this stocktaking is unknown. The U.S. government did not conduct a full national baseline assessment (NBA), due to the “significant amount of time that would be required to conduct a comprehensive NBA.” The U.S. government did “welcome work by others in this area,” including reflecting on the “Shadow NBA” conducted by the International Corporate Accountability Roundtable.

Follow-up, monitoring, reporting and review

There is no framework for monitoring or reporting laid out in the NAP. In the introduction to the NAP, the U.S. government states that the NAP “begins another example of an open dialogue through which the U.S. government will continue to communicate, coordinate, and assess its actions” [NAP, p. 6] and that ongoing feedback from stakeholders will be essential to achieving progress now and sustaining it in the future. The NAP also states that the U.S. government will continue to accept written “feedback and suggestions” at the dedicated NAP email address (NAP-RBC@state.gov).

While the NAP clearly identifies which U.S. government office is responsible for implementing each action point through a dedicated column headed “Implementing Department or Agency” [NAP, p. 8], the NAP does not present any structured framework, methodology, or timeline for following up with the commitments made in the NAP or monitoring implementation of the NAP. No detail is provided on follow-up, monitoring, or evaluation.

Stakeholders views and analysis on the NAP

International Corporate Accountability Roundtable (ICAR): Assessment of The United States National Action Plan (NAP) On Responsible Business Conduct, March 2017
Gregory Regaignon: Can the new US National Action Plan encourage responsible business under Trump?
Human Right Watch: US Plan on Responsible Business Conduct is Too Little, Too Late
Alyse Rankin, Peter Micek: New U.S. plan for responsible business conduct takes baby steps toward digital rights
ICAR’s “Shadow” National Baseline Assessment for the U.S. NAP and resulting recommendations:
- Pillar I
- Pillar III
A list of various stakeholder recommendations submitted in the course of NAP development were published online at a specific site related to the NAP, which is no longer available.

Additional resources

U.S. Government: National Action Plan on Business and Human Rights
The White House: The U.S. Global Anticorruption Agenda, September 24, 2014
US Government Approach on Business and Human Rights, 2013
U.S. Government: Announcement of Opportunity to Provide Input into the U.S. National Action Plan on Responsible Business Conduct, November 2014
U.S. Government: Response to Questionnaire on National Action Plans on Business and Human Rights, 2016
U.S. Government: Survey on the implementation of the Guiding Principles on Business and Human Rights: The role of States as economic actors, 2015
Human Rights Council: Report of the Working Group on the Issue of Human Rights and Transnational Corporations and Other Business Enterprises, Addendum 4: Visit to the United States of America, 26th Sess. A/HRC/26/25/Add.4, June 10-27, 2014

Explore NAP by Issue

Children’s rights

The U.S. NAP makes reference to children’s rights largely in terms of child labor.

Foreword [page 1]

“Corruption is not only immoral, it diverts public and private resources away from priorities such as feeding children…”

Outcome 1.3: Leverage U.S Government Purchasing Power to Promote High Standards

Ongoing Commitments and Initiatives [page 11]

“Prohibition of Acquisition of Products Produced by Forced or Indentured Child Labor,” (E.O. 13126), signed on June 12, 1999 and in effect since 2001. This executive order is intended to ensure that U.S. federal agencies do not procure goods made by forced or indentured child labor. The U.S. government will seek to review the status and effectiveness of implementation of these requirements and take steps to improve implementation, as feasible and appropriate.” – Implementing Department or Agency: State, DOD

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

Ongoing Commitments and Initiatives [page 15-16]

“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

“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

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

“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 Department or Agency: DOL

“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 Department or Agency: DOL

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 20-21]

“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 USDA, DOL, State -21- 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 Department or Agency: USDA, DOL, State

Outcome 4.1: Recognize RBC Best Practices

Ongoing Commitments and Initiatives [page 22]

“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 recognize the exceptional efforts made by an individual, company, organization, 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 Department or Agency: DOL

Facilitating RBC By Companies [page 17]

“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.”

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

New Actions [page 19-20]

“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 organizations 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 Department or Agency: 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 Department or Agency: State

Ongoing Commitments and Initiatives [page 20]

“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 Department or Agency: State, USAID, SEC, Commerce, USGS

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 28]

“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.”

Outcome 1.1: Promoting RBC Globally

Ongoing Commitments and Initiatives [page 8]

“…The U.S. government is also actively engaged in the Business Ethics for APEC Small and Medium Enterprise Initiative, the world’s largest collective action mechanism to strengthen ethical business practices in the medical device, biopharmaceutical, and construction and engineering sectors.” – Implementing Department or Agency: State, Commerce

Outcome 1.1: Promoting RBC Globally

New Actions [page 8]

“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 organizations. 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 Department or Agency: State, USAID

Ongoing Commitments and Initiatives [page 8]

“Inter-American Convention Against Corruption: The United States will continue to actively support implementation of the Inter-American Convention Against Corruption, including through active participation in the country review process” – Implementing Department or Agency: DOJ, State, Treasury, Commerce

“Asia–Pacific Economic Cooperation (APEC): The U.S. government has played an important role in numerous APEC initiatives to combat corruption, including the recent APEC Principles on the Prevention of Bribery and Enforcement of Anti-Bribery Laws, as well as the APEC General Elements of Effective Voluntary Corporate Compliance Programs adopted by APEC Leaders in 2014. For example, in August the United States and Peru hosted an all-day APEC Workshop on anti-bribery corporate compliance programs and incentives, organized by the Peruvian High-Level Anticorruption Commission and the Department of Commerce. The U.S. government is also actively engaged in the Business Ethics for APEC Small and Medium Enterprise Initiative, the world’s largest collective action mechanism to strengthen ethical business practices in the medical device, biopharmaceutical, and construction and engineering sectors.” – Implementing Department or Agency: State, Commerce

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards

Ongoing Commitments and Initiatives [page 9-10]

“Free Trade Agreements: … All U.S. FTAs since 2004 also contain transparency and anti-corruption provisions, including requiring our trading partners to criminalize both domestic and foreign bribery. For instance, the TPP includes a historic transparency and anti-corruption chapter. The TPP Parties have also agreed to encourage companies to voluntarily adopt corporate social responsibility principles that the TPP parties have themselves supported or endorsed relating to labor and environment issues.” – Implementing Department or Agency: USTR, State, Commerce, DOL

“Anti-Bribery and the OECD: The United States plays a leadership role in the Anti-Bribery Convention’s monitoring mechanism, conducted by the OECD Working Group on Bribery in International Business Transactions, which has been instrumental in increasing the number of countries enacting and enforcing foreign bribery laws. In the coming year, the U.S. government – led by State, the Departments of Justice (DOJ) and Commerce, and the Securities and Exchange Commission (SEC) – will continue to push for robust country reviews of Parties to the Antibribery Convention and examine obstacles to advancing the global efforts to address international bribery and corruption.” – Implementing Department or Agency: State, Commerce, DOJ, SEC

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards

Ongoing Commitments and Initiatives [page 10]

“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/http://www.usaspending.gov/.” – Implementing Department or Agency: Trade

Collaborating With Stakeholders [page 13]

“Through the Extractive Industries Transparency Initiative (EITI), the United States is committed to promoting transparency in the extractives sector by playing an active role on the International EITI Board and Board committees. The U.S. commitment to EITI — both to promote it abroad and to implement it at home — sends a strong signal to our international partners that transparency is critical for countries at all levels of development, and in all regions.”

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Action [page 14]

“Promoting Rights and Accountability through RBC: In May 2016, USAID launched a new Broad Agency Announcement calling for organizations 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

Outcome 3.1: U.S. Government Reports

New Actions [page 17-18]

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 Department or Agency: USAID

Ongoing Commitments and Initiatives [page 18]

“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 Department or Agency: State

“Country Commercial Guides: Commerce will continue to include an anti-corruption section in U.S. and Foreign Commercial Service Country Commercial Guides.” – Implementing Department or Agency: State, DOJ, SEC, 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 Department or Agency: State

“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 Department or Agency: State, Treasury

Outcome 3.2: Build U.S. Government Officials’ Capacity to Support RBC

New Actions [page 19]

“RBC Training for U.S. Embassies: … U.S. embassies are already engaged in promoting and recognizing RBC via their participation in the Secretary of State’s Award for Corporate Excellence (ACE) process.” – Implementing Department or Agency: State

Ongoing Commitments and Initiatives [page 19]

“FCPA Training: State and Commerce will continue to provide FCPA and related anticorruption training to Commerce’s U.S. and Foreign Commercial Service officers and State Foreign Service officers so that they may raise awareness about corruption and compliance programs and assist U.S. companies as appropriate when confronted with corruption overseas.” – Implementing Department or Agency: State, Commerce, DOJ, SEC

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 20]

“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 Department or Agency: DOJ, SEC, State, Commerce

Outcome 4.1: Recognize RBC Best Practices

New Actions [page 22]

“Promoting Human Rights in the ICT Sector: … State, working with other agencies and stakeholders, will develop a regular mechanism to identify, document, and publicize lessons learned and best practices related to corporate actions that promote and protect human rights online. …” – Implementing Department or Agency: State

“Modernize the Secretary of State’s Award for Corporate Excellence (ACE): For 17 years the ACE has recognized 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

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 26-29]

“… 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. 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 victimized 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. …

“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.”

Corruption

The topic of corruption and methods address it features heavily in the U.S. NAP.

Foreword [page 1]

“The United States is committed to promoting human rights and leading the global fight against corruption. Corruption is not only immoral, it diverts public and private resources away from priorities such as feeding children, improving schools, and building the infrastructure that promotes development. Corruption enables the abuse of human rights, erodes democratic institutions, fuels organized crime and terrorism, and contributes to economic inequality. For companies investing overseas, corruption is a significant market access barrier that impedes business and economic growth.

Through our partnerships with the private sector, labor groups, civil society, other governments, and international organizations, the United States has fought corruption overseas by encouraging companies to embrace high standards of responsible business conduct. U.S. companies are among the most sought-after partners across the globe because they take seriously their responsibility to follow the rule of law, uphold human and labor rights, and strengthen the communities in which they operate.”

Introduction

Purpose of the NAP [page 5]

“The NAP focuses on a broad range of issues including but not limited to: … anti-corruption …”

The National Action Plan

Leading by Example [page 7]

“The U.S. government remains committed to working with governments to raise global standards for RBC, including on labor rights, human rights, and anti-corruption, and to lead a race to the top. Promoting RBC benefits companies from all countries that fight corruption, combat human trafficking, promote labor and human rights, and adhere to high standards. Through leadership on these issues in various international organizations, including the UN and OECD, the U.S. government will continue to advocate for effective implementation of relevant international provisions in order to advance RBC”

Outcome 1.1: Promoting RBC Globally

New Actions [page 8]

Ongoing Commitments and Initiatives [page 8]

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards

Ongoing Commitments and Initiatives [page 9-10]

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards

Ongoing Commitments and Initiatives [page 10]

Collaborating with Stakeholders [page 13]

“U.S. companies doing business around the world encounter a range of challenges, from lack of infrastructure, to corruption, to difficult operating environments. These challenges can hinder their ability to produce and deliver goods and services, and can also present dilemmas for companies seeking to operate responsibly and adhere to high standards.”

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Action [page 14]

“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 digitize 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 incentivizing insiders to securely report wildlife crime.” – Implementing Department or Agency: USAID

Ongoing Commitments and Initiatives [page 14-5]

“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.”

Facilitating RBC by Companies [page 17]

“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.”

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

Outcome 3.2: Build U.S. Government Officials’ Capacity to Support RBC

Ongoing Commitments and Initiatives [page 19]

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 20]

Recognizing Positive Performance [page 22]

“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.”

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 26-29]

The National Action Plan

Recognising positive performance

Outcome 4.1: Recognize RBC Best Practices

Promoting Human Rights in the ICT Sector [page 22]: 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

Development finance institutions

The National Action Plan

Leading by example

Outcome 1.1: Promoting RBC Globally

Ongoing commitments and initiatives

Promotion of Robust Safeguards at the World Bank and other International Financial Institutions (IFIs) [page 9]: The U.S. government will continue to play a leading role in encouraging strong safeguard and sustainability policies across multilateral development banks and other IFIs. Over the course of the World Bank’s recently-completed Safeguards review, the U.S. government supported strong provisions in the Bank’s Environmental and Social Framework approved in August 2016, including a new safeguard on labor and working conditions, and encouraged the World Bank to incorporate human rights issues in its safeguards. Implementing department or agency: Treasury, DOL, State, USAID

Digital technology & electronics sector

Outcome 4.1: Recognize RBC Best Practices

New Actions [page 22]

Energy sector

The United States NAP does not make a direct reference to the Energy sector.

Introduction

Purpose of the NAP [page 5]

The U.S. government recognises that environmental issues are also integral to RBC and are affected by, and have an impact on, many of these areas. Therefore, environmental issues are addressed in this document to the extent that they overlap with RBC. The Obama Administration’s environmental objectives are comprehensively addressed, and the roles of business and other stakeholders in achieving them, through certain executive statements of policy such as President Obama’s Climate Action Plan, and Executive Orders (E.O.s) such as E.O. 13693, Planning for Federal Sustainability in the Next Decade.

The National Action Plan

Leading by example

Outcome 1.2: Utilise US law, Multilateral agreements, and diplomacy to promote and enforce high standards

Ongoing commitments and initiatives

Addressing Illegal, Unreported, and Unregulated (IUU) Fishing [page 10]: Following the June 2014 Presidential Memorandum on Establishing a Comprehensive Framework to Combat IUU Fishing and Seafood Fraud, the U.S. government has taken steps to develop a Trusted Trader program as part of an effective seafood traceability process to combat IUU fishing and seafood fraud. The program will establish incentives for RBC by supporting enhanced streamlined entry into U.S. commerce for certified importers. Another outgrowth of the Memorandum was the establishment of a 14-agency National Ocean Council Committee on IUU Fishing and Seafood Fraud, which is overseeing the implementation of the March 2015 Action Plan. Through the Oceans and Fisheries Partnership, the U.S. Agency for International Development (USAID) will continue its commitment to strengthen regional cooperation to combat IUU fishing, promote sustainable fisheries, and conserve marine biodiversity in the Asia-Pacific region. The Safe Ocean Network, launched through State’s Our Ocean Conference, is a global community fighting against IUU fishing through detection, enforcement, and prosecution measures that increase collaboration between countries and counter-IUU organisations. More than 40 counter illegal fishing projects in 46 countries worth over $82 million over five years are affiliated with the Safe Ocean Network as of October 2016 to address the issue. Implementing department of agency: State, USAID, Commerce, DHS, DOL

Collaborating with Stakeholders

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Actions

Wildlife Crime Tech Challenge [page 14]: 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

Facilitating RBC by Companies

Outcome 3.3: Capacity building and technical support to promote enabling environments

Ongoing commitments and initiatives

Combating Illegal Logging and Wildlife Trafficking [page 21]: 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 department or agency: DOJ, DOI, USAID, State, DHS

Annex II: Key domestic executive orders and regulatory efforts

Executive order [page 28]

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.

Equality & non-discrimination

Annex II: Key domestic executive orders and regulatory efforts

Executive order [page 26]

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 employment on the basis of sexual orientation, 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.

Export credit

Outcome 1.4: Conducting Due Diligence in U.S. Development Funding and Trade Finance

New Actions

“Enhancing Overseas Private Investment Corporation (OPIC) and Export-Import Bank of the United States (EXIM) Standards: OPIC and EXIM will enhance existing procedures and standards that require companies receiving their support to implement RBC principles. OPIC is reviewing its Environmental and Social Policy Statement, while EXIM has developed an improved mechanism for interested parties to provide comments, complaints, or suggestions on the environmental and social consequences of its pending and currently approved transactions, including reviewing ways to improve the new portal for online submission.” – Implementing Department or Agency: OPIC, EXIM

Collaborating with Stakeholders [page 13]

“Agencies within the U.S. government have been catalysts for and participants in several MSIs, including providing start-up funding for the formation of the Fair Labor Association, which comprises companies across several sectors as well as academic, civil society, and other participants; facilitating the launch of, and acting as a leading member of, the Voluntary Principles on Security and Human Rights (VP), which guide oil, gas, and mining companies on providing security for their operations in a manner that respects human rights; and helping to launch and actively participating in the development of the ICOC and continued involvement as a member of the board of the ICOC Association.

Through the Extractive Industries Transparency Initiative (EITI), the United States is committed to promoting transparency in the extractives sector by playing an active role on the International EITI Board and Board committees. The U.S. commitment to EITI — both to promote it abroad and to implement it at home — sends a strong signal to our international partners that transparency is critical for countries at all levels of development, and in all regions.”

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

Ongoing Commitments [page 15]

“DOL Technical Cooperation: DOL funds a range of projects involving collaboration with private sector actors on RBC issues, including: …

A $6 million DOL project in Brazil and Peru, launched in March 2014, partners with national governments, businesses, and civil society organizations 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

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

New Actions [page 19-20]

Ongoing Commitments and Initiatives [page 20]

Outcome 1.1: Promoting RBC Globally

Ongoing Commitments and Initiatives [page 9]

“Promotion of Robust Safeguards at the World Bank and other International Financial Institutions (IFIs): The U.S. government will continue to play a leading role in encouraging strong safeguard and sustainability policies across multilateral development banks and other IFIs. Over the course of the World Bank’s recently-completed Safeguards review, the U.S. government supported strong provisions in the Bank’s Environmental and Social Framework approved in August 2016, including a new safeguard on labor and working conditions, and encouraged the World Bank to incorporate human rights issues in its safeguards.” – Implementing Department or Agency: Treasury, DOL, State, USAID

Outcome 1.2: Utilize U.S. 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

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

Ongoing Commitments [page 14]

“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

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 19]

“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 Department or Agency: Treasury

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 26-29]

“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. …

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.”

Fisheries and aquaculture sectors

The United States NAP does not make a direct or explicit reference to the Fisheries and Aquaculture sectors.

Forced labour & modern slavery

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standard

New Actions [page 9]

“Enhanced Enforcement of U.S. Laws Relating to Forced Labor or Convict Labor: As a result of the February 2016 enactment by the President of the Trade Facilitation and Trade Enforcement Act of 2015, the U.S. government has removed an exception (the “consumptive demand” clause) in 19 U.S.C. § 1307 that allowed for the importation of certain forced labor-produced goods if they were not produced “in such quantities in the United States as to meet the consumptive demands of the United States.” This exception existed since 1930, and its removal facilitates the Department of Homeland Security’s (DHS) ability and ongoing commitment to prevent and investigate the importation of goods manufactured with forced labor.” – Implementing Department or Agency: DHS

Outcome 1.3: Leverage U.S. Government Purchasing Power to Promote High Standards

New Actions [page 10]

“Research and Tools on Preventing Trafficking in Global Supply Chains: The State Department funded research on “Strengthening Protections Against Trafficking in Persons in Federal and Corporate Supply Chains” to develop a set of online tools and resources to help federal contractors and corporations analyze, prevent, and address human trafficking risks in their global supply chains. In 2016, State and nongovernmental organizations launched ResponsibleSourcingTool.org. This online platform focuses on the sectors and commodities at greatest risk for trafficking and provides guidance on developing effective management systems. State anticipates funding the development of additional sector-specific tools and the maintenance of the site over the next five years. In addition, DOL is funding research on forced labor in specific industries’ global supply chains and an ILO-led Global Business Network on Forced Labor.” – Implementing Department or Agency: State, DOL

Ongoing Commitments and Initiatives [page 11]

““Prohibition of Acquisition of Products Produced by Forced or Indentured Child Labor,” (E.O. 13126), signed on June 12, 1999 and in effect since 2001, is intended to ensure that U.S. federal agencies do not procure goods made by forced or indentured child labor. The U.S. government will seek to review the status and effectiveness of implementation of these requirements and take steps to improve implementation, as feasible and appropriate.” – Implementing Department or Agency: State, DOL

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

Ongoing Commitment [page 15-16]

“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 organizations 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

“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

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 20-21]

“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 Department or Agency: USDA, DOL, State

Freedom of association

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Actions [page 14]

“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 organizations, and promote the ability of workers to organize. 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

COLLABORATING WITH STAKEHOLDERS

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

Ongoing Commitments

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. – Page 15

Gender & women’s rights

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards

Ongoing Commitments and Initiatives [page 9]

“Free Trade Agreements: The United States has sought to promote the role that governments can play in encouraging companies to engage in RBC in the context of 21st century free trade agreements (FTAs). For example, the Trans-Pacific Partnership (TPP) countries agreed to establish a TPP Development Committee that would promote public-private cooperative initiatives to help certain TPP partners reach their development goals, which include the promotion of broad-based economic growth; enhanced opportunities for women in domestic and global economies; and education, science and technology, research, and innovation. All U.S. FTAs since 2004 also contain transparency and anti-corruption provisions, including requiring our trading partners to criminalize both domestic and foreign bribery. For instance, the TPP includes a historic transparency and anti-corruption chapter. The TPP Parties have also agreed to encourage companies to voluntarily adopt corporate social responsibility principles that the TPP parties have themselves supported or endorsed relating to labor and environment issues.” – Implementing Department or Agency: USTR, State, Commerce, DOL

Outcome 3.1: U.S. Government Reports

New Actions [page 17]

“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 Department or Agency: State

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 26]

“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.

Executive Orders:

“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 employment on the basis of sexual orientation, 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 non-discrimination on those grounds.””

Read more about Gender & women’s rights

Guidance to business

Outcome 1.1: Promoting RBC Globally

New Actions [page 8]

“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 organize two workshops related to the OECD’s work.” – Implementing Department or Agency: 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 Department or Agency: State

Outcome 1.3: Leverage U.S. Government Purchasing Power to Promote High Standards

New Actions [page 10-11]

Ongoing Commitments and Initiatives [page 11-12]

““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 that are designed to help identify and prevent human trafficking in global supply chains. On December 8, 2016, the U.S. government published draft guidance on anti-trafficking risk management best practices and mitigation considerations for public comment. This guidance is designed to help an agency determine if a contractor is taking adequate steps to meet its anti-trafficking responsibilities under the Federal Acquisition Regulation (FAR) and the FAR Council’s regulations implementing E.O. 13627 and the National Defense Authorization Act for Fiscal Year 2013. This guidance, coordinated by OMB in partnership with DOL and State, and other agencies, will assist agencies in developing appropriate internal procedures and controls for awarding and administering Federal contracts to improve monitoring of and compliance with actions to prevent human trafficking. In addition, the Council intends to amend the regulations to provide a definition for “recruitment fees,” which is a critical component to help prevent trafficking in federal supply chains.” – Implementing Department or Agency: OMB, State, DOL

Outcome 1.4: Conducting Due Diligence in U.S. Development Funding and Trade Finance

New Actions [page 12]

“Social Safeguards for U.S. Development Assistance: USAID will develop a social safeguards screening questionnaire that Missions may use as an assessment tool when designing new projects (including public-private partnerships) to ensure due diligence on social and human rights issues. USAID will also establish a resource library of tools and human resources that can be deployed for various social analyses; conduct a gap analysis to identify topics not addressed by current guidance; convene stakeholder consultations regarding recommendations for future guidance or policies; and pilot the social safeguards assessment tool with interested USAID missions. These actions will be in line with international best practice, existing G-7 commitments, and safeguard policies already in place by U.S. agencies.” – Implementing Department or Agency: USAID

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

New Actions [page 19]

“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 Department or Agency: USAID

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 20-21]

“Dodd-Frank Section 1502: …. 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. …” – Implementing Department or Agency: 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 Department or Agency: USDA, DOL, State

Outcome 5.1: Exploring and Enhancing Platforms for Remedy

New Actions [page 23]

“Consulting with Stakeholders on Remedy: The United States will host stakeholder outreach and explore with one or more U.S. advisory committee(s) as to how the U.S. government can work with U.S. companies to help address concerns about the perceived lack of accessible and effective remedy available to those who feel they have been negatively impacted by U.S. business conduct abroad. As part of this consultation, the United States will solicit advice on how best it could support access to remedy, including the potential development of tools or guidance related to non-government-based mechanisms that would assist U.S. businesses that wish to improve their own individual and collaborative efforts to address this challenge.” – Implementing Department or Agency: State

The National Action Plan

Outcome 1.1: Promoting RBC Globally

Ongoing Commitments and Initiatives:

[page 8]

Asia–Pacific Economic Cooperation (APEC): … The U.S. government is also actively engaged in the Business Ethics for APEC Small and Medium Enterprise Initiative, the world’s largest collective action mechanism to strengthen ethical business practices in the medical device, biopharmaceutical, and construction and engineering sectors.

Implementing Department or Agency:

State, Commerce

Annex I: The NAP Process

[page 24]

In addition to the four open dialogues, the U.S. government created a dedicated email address for stakeholder input on the NAP process through which we received written input from a variety of different stakeholders. U.S. government officials also met with NGOs, academic institutions, foreign government officials, labor unions, businesses, indigenous peoples, and industry associations to solicit input for the NAP. Key themes raised by stakeholders included the need to identify ways the U.S. government is taking steps to protect human rights both at home and abroad, conduct business activities overseas in a manner that is protective of human health and the environment, improve on the performance of the USNCP for the OECD Guidelines, and promote RBC through U.S. government procurement practices.

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Actions [page 14]

Human rights impact assessments

Facilitating RBC By Companies [page 17]

“… 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.”

Indigenous peoples

Introduction

Purpose of the NAP [page 5]

The NAP focuses on a broad range of issues including but not limited to:…human rights, the rights of indigenous peoples…

The National Action Plan

Facilitating RBC by Companies

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments
New Actions

Stakeholder Engagement in Extractive Industries in East Africa [page 20]: 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 department or agency: State

Providing Access to Remedy [page 23]

“As set out in the UN Guiding Principles, countries are responsible for taking appropriate steps to establish means by which those allegedly affected by human rights abuses may seek effective remedies. [the footnote states “Access to remedy encompasses judicial, administrative, legislative, and many other appropriate means of redress. As such, the United States notes that not all harms are necessarily redressable via individually enforceable judicial remedies in its domestic courts.”] However, not all countries have such mechanisms in place. As to remedies in the United States, the U.S. government will continue to help provide access to a grievance mechanism and the potential for remedy through its active USNCP for the OECD’s Specific Instance process and through the World Bank’s Stolen Asset Recovery Initiative. The U.S. government will also seek to strengthen judicial systems in other countries through its foreign assistance programs; to build consensus internationally for strong remedy mechanisms through its participation in the UN, OECD, ILO, and other multinational organizations and fora; and to advance its agenda on remedy through consultations at home with relevant stakeholders.” – Implementing Department or Agency: State

Introduction

Purpose of the NAP [page 5]

The NAP focuses on a broad range of issues including but not limited to: human rights…land tenure and property rights…

The National Action Plan

Leading by example

Outcome 1.4: Conducting Due Diligence in U.S. Development Funding and Trade Finance

New Actions

Land Tenure in Development Assistance Activities [page 12]: The U.S. government reaffirms its support for the consistent implementation of the Voluntary Guidelines on the Responsible Governance of Tenure (VGGT), which provides a global framework for improved land and resources governance. The U.S. government will commit to adhering to and aligning its relevant overseas development assistance activities to the VGGT. Implementing department or agency: USAID

Facilitating RBC by Companies

Outcome 3.1: U.S. Government Reports

New Actions

Country-Level Land Governance Profiles [page 17]: 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 department or agency: USAID

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments
New Actions

Responsible Land-Based Investment [page 19]: 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 department or agency: 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 organizations 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 department or agency: State.

Ongoing commitments and initiatives

Massive Open Online Course (MOOC) on Land Tenure and Property Rights: [page 21]: 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, utilizing geospatial analytics and data for evidence-based programming, and the importance of understanding and supporting customary tenure in development programming. Implementing department or agency: USAID

The National Action Plan

Leading By Example [page 7]

“The U.S. government will continue to encourage and model good practices by leveraging its purchasing power, which totals more than $450 billion for goods and services each year, including nearly $25 billion on services performed overseas. Through this influence, the U.S. government aims to accelerate the pace at which RBC practices are developed, adopted, and sustained globally by improving awareness of best practices related to human rights among the tens of thousands of companies with which it does business each year, and encouraging contractors to exercise due diligence and take steps where existing practices can be strengthened.”

Outcome 1.4: Conducting Due Diligence in U.S. Development Funding and Trade Finance

New Actions [page 12]

“Land Tenure in Development Assistance Activities: The U.S. government reaffirms its support for the consistent implementation of the Voluntary Guidelines on the Responsible Governance of Tenure (VGGT), which provides a global framework for improved land and resources governance. The U.S. government will commit to adhering to and aligning its relevant overseas development assistance activities to the VGGT.” – Implementing Department or Agency: USAID

Facilitating RBC 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.

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

“Dodd-Frank Section 1502: … 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.”…” – Implementing Department or Agency: State, USAID, SEC, Commerce, USGS

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 26-29]

“Money Laundering and Bank Integrity: … 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 …”

“Transparency: … 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. …”

Migrant workers

The U.S. NAP makes no direct reference to migrant workers.

Facilitating RBC By Companies [page 17]

Outcome 3.1: U.S. Government Reports

New Actions [page 18]

“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 recognize new methods of reporting in support of RBC and create an online resource to that end.” – Implementing Department or Agency: State

Providing Access to Remedy [page 23]

“As to remedies in the United States, the U.S. government will continue to help provide access to a grievance mechanism and the potential for remedy through its active USNCP for the OECD’s Specific Instance process and through the World Bank’s Stolen Asset Recovery Initiative.”

OECD National Contact Points

Outcome 1.1: Promoting RBC Globally

New Actions [page 8]

Outcome 3.2: Build U.S. Government Officials’ Capacity to Support RBC

New Actions [page 19]

Providing Access to Remedy [page 23]

Outcome 5.1: Exploring and Enhancing Platforms for Remedy

New Actions [page 23]

“Improving the Performance of the USNCP for the OECD Guidelines: Delivering on the June 2015 G-7 Leaders’ Summit Declaration, the USNCP commits to undergo a peer review in the fall of 2017 contingent on OECD Secretariat availability. The USNCP will publish a 2017 outreach plan in early 2017, which will include outreach to stakeholders outside of the United States. By 2017, the USNCP will implement procedures to reduce barriers for stakeholders who would like to engage in the USNCP process but do not speak and/or read English. The USNCP facilitated its first-ever successful mediation in 2015 and two successful mediations as of June 2016. By 2016 the USNCP also implemented 97 percent of the recommendations of its Stakeholder Advisory Board’s 2014 report. The mandate of the Stakeholder Advisory Board to the USNCP will be updated to further address priorities espoused in this NAP.” – Implementing Department or Agency: State

Annex I: The NAP Process [page 24]

“In addition to the four open dialogues, the U.S. government created a dedicated email address for stakeholder input on the NAP process through which we received written input from a variety of different stakeholders … Key themes raised by stakeholders included … promote RBC through U.S. government procurement practices….”

Persons with disabilities

The US NAP does not make an explicit reference to Persons with Disabilities.

Policy coherence

Introduction

Purpose of the NAP [page 5]

“This NAP is designed to reinforce and strengthen the U.S. government’s role in advancing RBC through effective intra-governmental coordination and policymaking, promoting high standards globally, facilitating current and future RBC efforts through enhanced collaboration, and highlighting and supporting U.S. industry leadership.”

The National Action Plan

Outcome 1.3: Leverage U.S. Government Purchasing Power to Promote High Standards

[Page 11]

Ongoing Commitments and Initiatives:

State and Department of Defense (DOD) Contracting with Private Security Providers: DOD requires private security companies (PSCs) with which it contracts to demonstrate conformance with standards consistent with the International Code of Conduct for Private Security Service Providers (ICOC), a set of human rights and humanitarian principles agreed upon by certain states, PSCs, and NGOs. Similarly, State requires PSCs servicing its Worldwide Protective Services II contract to confirm their conformance with the same standards and has incorporated membership-in-good-standing in the ICOC Association as a requirement for bidding on that contract. State will also review if and how such approaches may be applied to their local guard force contracts.

Implementing Department or Agency:

State, DOD

Introduction

Organization of the NAP [page 6]

“… the Obama Administration continues to take important steps to strengthen procurement rules to ensure federal purchasing practices reflect U.S. values.”

Outcome 1.3: Leverage U.S. Government Purchasing Power to Promote High Standards

New Actions [page 10-11]

“SFTool Social Sustainability Procurement Best Practices: Through the Sustainable Facilities (SF)Tool, the General Services Administration (GSA) makes available recently released content providing best practices for addressing social sustainability impacts, including human rights and labor rights impacts, on high risk procurements. These best practices provide a detailed framework for how social sustainability risks should be assessed by USG procurement personnel at the pre-award and post-award stages of a federal procurement. The SFTool also references associated tools and provides sample contract language that can be used by organizations wanting to address their social sustainability risks on procurements.” – Implementing Department or Agency: GSA

“Enhanced Information Sharing Among State and Local Governments on Public Procurement Best Practices: The White House Office of Intergovernmental Affairs (IGA) will coordinate a dialogue among selected state and local government officials and the federal government on ways to better protect human rights in public procurement. State and local governments represent significant purchasing power through procurement policies.” – Implementing Department or Agency: IGA

“Compliance with Procurement Regulations: Pursuant to E.O. 13673, DOL and OMB will work with other agencies to designate agency Labor Compliance Advisors who will build greater awareness and understanding of RBC by contractors with whom those agencies do business. For example, a labor compliance advisor could support agency review efforts in the event a contractor, in accordance with requirements of the End Trafficking in Government Contracting Act (22 U.S.C. 7104c), reports a trafficking violation in its supply chain to the government.” – Implementing Department or Agency: DOL, OMB

Ongoing Commitments and Initiatives [page 11]

Annex I: The NAP Process [page 24]

Outcome 1.3: Leverage U.S. Government Purchasing Power to Promote High Standards

Ongoing Commitments and Initiatives [page 11]

“State and Department of Defense (DOD) Contracting with Private Security Providers: DOD requires private security companies (PSCs) with which it contracts to demonstrate conformance with standards consistent with the International Code of Conduct for Private Security Service Providers (ICOC), a set of human rights and humanitarian principles agreed upon by certain states, PSCs, and NGOs. Similarly, State requires PSCs servicing its Worldwide Protective Services II contract to confirm their conformance with the same standards and has incorporated membership-in-good-standing in the ICOC Association as a requirement for bidding on that contract. State will also review if and how such approaches may be applied to their local guard force contracts.” – Implementing Department or Agency: State, DOD

Collaborating with Stakeholders [page 13]

“Agencies within the U.S. government have been catalysts for and participants in several MSIs [multi-stakeholder initiatives], including … facilitating the launch of, and acting as a leading member of, the Voluntary Principles on Security and Human Rights (VP), which guide oil, gas, and mining companies on providing security for their operations in a manner that respects human rights; and helping to launch and actively participating in the development of the ICOC and continued involvement as a member of the board of the ICOC Association.

Outcome 1.1: Promoting RBC Globally

Ongoing Commitments and Initiatives [page 8]

“Asia–Pacific Economic Cooperation (APEC): … The U.S. government is also actively engaged in the Business Ethics for APEC Small and Medium Enterprise Initiative, the world’s largest collective action mechanism to strengthen ethical business practices in the medical device, biopharmaceutical, and construction and engineering sectors.” – Implementing Department or Agency: State, Commerce

Outcome 4.1: Recognize RBC Best Practices

New Actions [page 22]

“Modernize the Secretary of State’s Award for Corporate Excellence (ACE): … 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

State Owned Enterprises/ Public Private Partnerships

The National Action Plan

Leading by example

Outcome 1.2: Utilise US law, Multilateral agreements, and diplomacy to promote and enforce high standards

Ongoing commitments and initiatives

Free Trade Agreements [page 9]: The United States has sought to promote the role that governments can play in encouraging companies to engage in RBC in the context of 21st century free trade agreements (FTAs). For example, the Trans-Pacific Partnership (TPP) countries agreed to establish a TPP Development Committee that would promote public-private cooperative initiatives to help certain TPP partners reach their development goals, which include the promotion of broad-based economic growth; enhanced opportunities for women in domestic and global economies; and education, science and technology, research, and innovation. Implementing department or agency: USTR, State, Commerce, DOL

Outcome 1.4: Conducting Due Diligence in U.S. Developing Funding and Trade Finance

Social Safeguards for U.S. Development Assistance [page 12]:USAID will develop a social safeguards screening questionnaire that Missions may use as an assessment tool when designing new projects (including public-private partnerships) to ensure due diligence on social and human rights issues. Implementing department or agency: USAID

Supply chains

Introduction

Responsible Business Conduct [page 4-5]

“Globally, the U.S. government is dedicated to engaging on RBC at the most senior levels. The June 2015 G-7 Summit Leaders’ Declaration recognized “the joint responsibility of governments and business to foster sustainable supply chains and encourage best practices. The October 2015 G-7 Labor and Employment Ministerial Declaration sets out how G-7 countries will strive to lead by example in their own practices to collaborating with stakeholders to facilitating RBC by companies. The “responsible supply chains” issue is expected to be an important part of the agenda for the G-20 under the German Presidency in 2017.

The U.S. government also actively engages on these issues through the Organization for Economic Co-operation and Development (OECD) Working Party on RBC, with the Office of the United Nations (UN) High Commissioner for Human Rights and the UN Working Group on the issue of human rights and transnational corporations and other business enterprises, and with the International Labor Organization (ILO) through its work to advance Decent Work in Global Supply Chains.”

Outcome 1.1: Promoting RBC Globally

Ongoing Commitments and Initiatives [page 8-9]

“Bilateral and Multilateral RBC Statements: The United States uses bilateral and multilateral diplomacy to promote RBC and business environments conducive to RBC. Examples include the 2015 G-7 Leaders’ Declaration on sustainable supply chains and the 2015 U.S.-China statement at the U.S.-China Strategic and Economic Dialogue recognizing the importance of RBC by both countries’ firms operating abroad. State and other agencies will continue to seek to expand the number of countries adopting policies and practices conducive to RBC.” – Implementing Department or Agency: State, DOL

“International Labor Organization: The U.S. government will continue to engage with representatives of employers and workers, and with other governments, to address key issues including but not limited to: employment, protection of worker rights, and social protection. To that end, the U.S. government played an active role in the June 2016 International Labor Conference discussion on the opportunities and challenges in advancing decent work in global supply chains.” – Implementing Department or Agency: DOL, State

Outcome 1.3: Leverage U.S. Government Purchasing Power to Promote High Standards

New Actions [page 10-11]

Ongoing Commitments and Initiatives [page 11-12]

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Actions [page 14]

“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 organizations, worker organizations, and other civil society actors.” – Implementing Department or Agency: DOL

Ongoing Commitment [page 15]

“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. …” – 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

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

Outcome 3.2: Build U.S. Government Officials’ Capacity to Support RBC

Ongoing Commitments and Initiatives [page 19]

“USAID New Training Module on Supply Chains and Trafficking: USAID routinely offers training to all USAID staff on Counter-Trafficking in Persons (CTIP). In 2016, a new module was developed and incorporated into the CTIP training, and replicated in USAID training for economic growth officers on effective approaches to counter labor trafficking and other labor abuse in specific sectors and supply chains.” – Implementing Department or Agency: USAID

Outcome 3.3: Capacity Building and Technical Support to Promote Enabling Environments

Ongoing Commitments and Initiatives [page 20-21]

“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 Department or Agency: USDA, DOL, State

Annex II: Key Domestic Executive Orders and Regulatory Efforts [page 26]

Executive Orders:

“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. …”

The National Action Plan

Collaborating with Stakeholders

Outcome 2.1: Enhance the value of Multi-Stakeholder Initiatives on RBC

Ongoing commitments

Sustainable Development Goals [page 16]: 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

Tourism sector

The US NAP does not make an explicit reference to the tourism sector.

Outcome 1.2: Utilize U.S. Law, Multilateral Agreements, and Diplomacy to Promote and Enforce High Standards

New Actions [page 9]

Ongoing Commitments and Initiatives [page 9]

Outcome 1.1: Promoting RBC Globally

Ongoing Commitments and Initiatives [page 8-9]

“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: DOL, State

Outcome 2.1: Enhance the Value of Multi-Stakeholder Initiatives on RBC

New Actions [page 14-15]

Outcome 3.1: U.S. Government Reports

Ongoing Commitments and Initiatives [page 18]

“Human Rights Reports: State will continue to publish its annual Human Rights Reports, which cover internationally recognized individual, civil, political, and worker rights, as set forth in the Universal Declaration of Human Rights and international agreements.” – Implementing Department or Agency: State

NAP Development Process

Status

The second NAP was published on 22 March 2024. The second NAP is titled ‘United States Government National Action Plan on Responsible Business Conduct’.

Process

On 16 June 2021, Anthony J. Blinken, US Secretary of State announced that “the State Department, working with the White House and other federal departments and agencies, will soon begin the process of updating and revitalizing the United States’ National Action Plan (NAP) on Responsible Business Conduct.” Further information is available here.

On 28 February, 2022, the State Department issued a Federal Register Notice, which welcomed input on the update of the National Action Plan on Responsible Business Conduct, which they could take into account in developing the updated NAP RBC, with a deadline of 31 May 2022. The State Department received 48 written responses from stakeholders and the general public.

During the 11th UN Business and Human Rights Forum in Geneva (28-30 November, 2022), the representative for the US announced the expected release of the second NAP for the end of 2023.

The second US NAP was published on the 22^nd of March 2024. The government’s release of the US second NAP on Responsible Business Conduct reflects a whole-of-government commitment to strengthen RBC. Through the NAP, the US government commits to encouraging businesses to address adverse business impacts, including on human and labour rights and the environment. This commitment includes deepening engagement with civil society, organized labor, and the private sector; providing businesses with tools and incentives to conduct due diligence; strengthening coordination with governments; and applying best practices and lessons learned to US government operations.

The US NAP is structured:

Priority area 1: establishing a Federal Advisory Committee

See the section on Follow-up, monitoring, reporting and review below for more information.

Priority area 2: strengthening respect for human rights in federal procurement policies and processes

Public procurement commitments through the NAP include:

Completing a review of reporting mechanism as set forth in priority action 4.4.7 of the NAP to Combat Human Trafficking and a US government Hotlines Working Group will thereafter identify options for improving methods through which workers and civil society can inform the US government of human trafficking violations by federal contractors and sub-contractors.
Additionally, the Department of State will pilot a human trafficking risk mapping process for high-risk and high-volume contracts to assist the acquisition workforce and federal contractors to conduct due diligence during project design, solicitation, and monitoring.
Customs Border Protection will draft guidance to direct proactive consideration on a case-by-case basis of suspending and debarring business from doing business with the federal government whenever CBP issues a penalty under customs laws for violations of laws CBP enforces to combat forced labor.
Department of Defense will conduct a review to evaluate encouraging or requiring ICoCA membership for its private security company vendors.

Priority area 3: strengthening access to remedy

The US government commits to strengthen access to remedy and to enable communities affected by US government investments or who utilize US government dispute mechanisms to access remedy safely and without reprisal. To do so, agencies and offices will strengthen US government-based due diligence processes and grievance mechanisms in consultation with external stakeholders through specific measures set out in detail in the NAP. (One of these measures is strengthening the US National Contact Point for the OECD Guidelines.)

Priority Area 4: providing resources to businesses

To provide clear guidance to businesses so they may develop informed policies and practices, the US government will establish the RBC and Labor Rights InfoHub, an online repository to communicate an all-of-government point-of-view, approach, and suite of resources to advance labor rights outcomes in business operations and value chains. Additionally, the government will release new guidance beyond labor rights, such as due diligence guidance for investors considering investments in technologies that could enable or exacerbate human rights abuses.

Stakeholder Participation

On February 28, 2022, the State Department issued a Federal Register Notice, which welcomed input on the update of the National Action Plan on Responsible Business Conduct. The State Department encouraged U.S. diplomatic missions to post the Federal Register Note on their websites in local languages, to encourage local input and engage with groups adversely impacted by business activities. The State Department received 48 written responses from stakeholders and the general public.

One example of feedback received is from the International Corporate Accountability Roundtable (ICAR), an NGO, which submitted recommendations with the aim of reflecting and building “on the historic, dramatic events and disruptions of the past six years and produce a much bolder and more coherent” National Action Plan. Among other recommendations, ICAR urged the government to stop over-relying on voluntary initiatives and move towards regulatory solutions such as mandatory human rights due diligence. ICAR also advocated for the establishment of robust BHR remedy frameworks for through creating non-judicial grievance mechanisms that are consistent with the UNGPs and include monitoring of remediation at U.S trade and development agency level.

The NAP team, which consisted of representatives of the Bureau of Democracy, Human Rights, and Labor and the Bureau of Economic and Business Affairs, analysed the recommendations received and shared them with relevant agencies to help inform commitments for the NAP. Stakeholder input (public submissions) received by the State Department can be found here.

The US Department of State stated on their website concerning the progress on the National Action Plan on Responsible Business Conduct that the NAP team attended over a dozen bilateral meeting with members of civil society and academia. They also led the coordination of U.S. Government agency participation in 10 roundtables organised by civil society and academia, and conducted 8 briefings with the business community. Relevant U.S. government agencies attended the events to consider key issues and recommendations.

Topics included:

ESG Investing
Development Finance
Extractives, indigenous issues, and security
Human rights defenders, and the role of business in promoting civic space
Technology
Gender
Procurement
Minerals
Human Rights and Environmental Due Diligence

Additionally, the NAP team briefed individual businesses, industry groups and other experts to help familiarise them with the NAP and ask for their input.

The NAP contains four priority areas of focus in Section II. These areas of focus resulted from the stakeholder consultations. For example, federal procurement, one of the priority areas in the US NAP, was the third largest area of focus from external stakeholders for all NAP recommendations. 83.33% of procurement recommendations were about strengthening prohibitions against trafficking in persons and labour rights abuses.

Transparency

Submissions by various stakeholders are publicly available on the government website. Information on the stakeholder engagement sessions with members of civil society, academia and government agencies is not publicly available.

National Baseline Assessment (NBA)

No NBA was conducted for inform the second NAP.

Follow-up, monitoring, reporting and review

The US Government has established a federal RBC Advisory Committee, which is listed as the first priority area of the NAP, to enable the government to better coordinate policies, programming, and initiatives related to RBC. This body oversees business conduct, aims to foster dialogue by the government with stakeholders and strengthens the overall coordination with the private sector, affected communities, labour unions, CSOs and academia. The RBC Advisory Committee is designed to enable expert stakeholders to advise the USG on pressing issues such as HRDD, the implementation of the OECD Guidelines, critical minerals, and other relevant RBC topics. The RBC Advisory Committee will further serve as a venue for follow-up on NAP implementation and will continue building upon progress made throughout the NAP process after its publication.

(See Section III of the US NAP for more detailed commitments)

Stakeholders views and analysis on the NAP

Center for Strategic and International Studies (CSIS), ‘Updates on the Release of the US National Action Plan on Responsible Business Conduct’, 8 April 2024
ICAR, Assessment of the United States 2024 National Action Plan (NAP) on Responsible Business Conduct, July 2024

Additional resources

Government

Press statement U.S. Department of State, Anthony J. Blinken, Secretary of State, 10^th Anniversary of the UN Guiding Principles on Business and Human Rights, 10th Anniversary of the UN Guiding Principles on Business and Human Rights – United States Department of State
Fact Sheet, Bureau of Democracy, Human Rights and Labor, U.S. Government Efforts to Advance Business and Human Rights in 2020, S. Government Efforts to Advance Business and Human Rights in 2020 – United States Department of State
Key Topic, Bureau of Democracy, Human Rights and Labor, Business and Human Rights, Business and Human Rights – United States Department of State

External updates and commentary

Center for Strategic & International Studies (CSIS), Updating U.S. National Action Plan on Responsible Business Conduct, Updating U.S. National Action Plan on Responsible Business Conduct (csis.org)
Center for Strategic & International Studies (CSIS), Priorities for the U.S. National Action Plan on Responsible Business Conduct, pdf (csis-website-prod.s3.amazonaws.com)

Explore NAP by Issue

Children’s rights

Section II. Priority Areas of the National Action Plan on Responsible Business Conduct

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2. Priority Area (2) Strengthening Respect for Human Rights in Federal Procurement Policies and Processes

“As the largest single purchaser of goods and services in the world with more than $700 billion in spending last year alone, the USG has unique leverage to protect human rights in federal supply chains. The United States has long had a policy of prohibiting government employees and contractor personnel from engaging in trafficking in persons and procuring products made with forced or indentured child labor. The efficacy of this policy was strengthened in 2015 when a Federal Acquisition Regulation (FAR) rule, titled “Combating Trafficking in Persons,” was updated to implement trafficking-related prohibitions for federal contractors and subcontractors.”

“Through this NAP, the USG commits to strengthen implementation of the existing regulations that prohibit human trafficking, trafficking-related activity, and forced or indentured child labor. To better identify violations of these prohibitions in the FAR, the USG will complete a review of reporting mechanisms as set forth in priority action 4.4.7 of the NAP to Combat Human Trafficking and will thereafter identify options for improving methods through which workers and civil society can inform the USG of human trafficking violations by federal contractors and subcontractors.”

(p.12)

Section III. Additional National Action Plan Commitments

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Table 2: Procurement Commitments

The Bureau of International Labor Affairs (ILAB), within the Department of Labor, will “make it easier for contractors to identify “high-risk” sectors for federal contracts by standardizing naming conventions between their lists and those in the FAR and improving access for contractors to a designated ILAB webpage with information about USG resources, including ILAB’s child labor and forced labor reports. The technical amendment will harmonize naming conventions between the FAR and DOL to eliminate confusion. The webpage will make information more accessible to those in the contracting and procurement communities.”

(p.19)

Table 5: Workers’ Rights Commitments

The Office of the U.S. Trade Representative (USTR) “[…] will conduct an interagency review across the USG through the Trade Policy Staff Committee’s Subcommittee on Trade, Forced Labor, and Child Labor to examine existing trade policies and tools used to combat forced labor, including forced child labor, in order to identify areas that may need to be strengthened and gaps that may need to be filled.” (p.30)

Table 6: Environment, Climate and Just Transitions Commitments

The International Development Finance Corporation (DFC) will “update its ESPP by clarifying its clients’ responsibilities in assessing supply chains with high risks of child labor and forced labor, […] in order to promote due diligence. Through this update, clients will better understand DFC expectations with respect to identifying and managing risks in their supply chains, and DFC will be better positioned to assess supply chain risks to mitigate harm.” (p.33)