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USG National Action Plan on Responsible Business Conduct

USG National Action Plan on Responsible Business Conduct

Frequently Asked Questions

U.S. Department of State - Washington, D.C.

02-12-2015

Q. Why is the USG doing this and what do you hope to accomplish with the NAP?

A. The President made the commitment to develop this National Action Plan to be transparent about how the United States government encourages companies to achieve high standards of responsible business conduct – and champions those that achieve such best practices. It also is meant to highlight what the United States government is doing, including with partners, to encourage an enabling environment for responsible business conduct.

We frequently hear from stakeholders that U.S. companies represent something more than profit-making enterprises – they are innovative, seek to create local jobs, engage with and invest in local communities the long-term, and are committed to building employees’ skills. The U.S. NAP process provides the opportunity to continue this conversation, both by highlighting the best practices companies can offer and by making recommendations on how the U.S. government can better partner with all stakeholders to find solutions to some of the world’s most complex challenges. Finding ways to work with U.S. business to advance these goals can increase their ability to serve as reliable, sustainable, and accountable actors overseas that promote human rights, responsible investment, and inclusive growth.

Responsible business conduct is about more than just agreeing to abide by a set of principles or guidelines. It is about integrating responsible investment and business practices into corporate management decision making, consistent with U.S. and local laws and international standards, in a manner that promotes the rule of law and respects the rights of all stakeholders within a company’s workforce and value chain. It is also about ensuring transparency and accountability in monitoring of conduct, verifying success stories, and identifying areas for improvement through the help of stakeholders, including those on the ground in countries where U.S. businesses and their supply chain partners are engaged.

We recognize that this is not always easy: it can be tough work, especially when companies are engaging in post-conflict and other fragile environments. The U.S. and other governments can play a role in promoting a business environment conducive to responsible practices. In putting together this action plan, we will strive to do our part together with businesses, workers’ organizations, civil society, and others to help us get this right.

Q. What factors motivated the Administration to commit to developing a National Action Plan (NAP)?

A. The Administration has been focused for some time on a host of issues related to corporate conduct abroad, including, but not limited to, combating corruption, promoting transparent practices, identifying beneficial ownership information of companies, addressing conflict minerals, combating human trafficking, and addressing labor issues. Our focus on these issues has been increased through our engagements with governments, businesses and other stakeholders through on-going work on responsible business conduct at the Organization for Economic Cooperation and Development (OECD), Principles for Responsible Investment in Agriculture and Food Systems from the United Nations Committee on World Food Security, United Nations Office of Drugs and Crime (UNODC), work on supply chain issues under the auspices of the International Labor Organization (ILO), on business and human rights at the United Nations Human Rights Council, through the G20 commitments to transparency, and in the context of the August 2014 U.S.-Africa Leaders Summit.

In the course of this work, we have registered an uptick in interest and engagement on these issues by American businesses, non-governmental organizations, academics, faith groups, the media, and the public at large. In light of the guidance and recommendations of the UN Working Group on Business and Human Rights as well the OECD, in addition to requests by trade unions and civil society organizations, we decided that this was an opportune time to convene a broad cross section of the U.S. government to discuss how we can coordinate and advance these various initiatives in consultation and coordination with outside stakeholders. The NAP is also an opportunity for the U.S. government to explain what we expect of ourselves and reflect how U.S. businesses inform our work globally with other governments, international organizations, and various stakeholder groups.

Q. What will the NAP address?

A. The NAP will address ways in which the U.S. government can promote and encourage established norms of responsible business conduct with respect, but not limited to, human rights, labor rights, land tenure, anti-corruption, and transparency. In doing so, the NAP will: help provide clear, consistent, and predictable expectations for U.S. firms in their global operations; facilitate internal U.S. government communication and coordination; strengthen communication among stakeholders; identify USG commitments and steps to assist in creating a rights-respecting, enabling environment for businesses operating abroad; and further promote responsible investment and responsible business conduct. The NAP will address what the U.S. government is doing in this space, highlight best practices from companies, as well as other relevant initiatives, and experiences, to identify USG commitments and actions going forward.

Q. What topics will be included in the plan? What is on and off the table?

A. As a first step in this process, the Administration is in the process of taking stock of our existing work and is soliciting input on ways in which that work can be improved and expanded. In order to help structure our internal process, we have developed interagency working groups on the following reinforcing issue areas: transparency and anti-corruption, investment and trade, labor rights (including protections against human trafficking), procurement, human rights, land tenure and agricultural investment. (Note: The titles of these working groups should not be read to indicate that any particular issue or topic is or will be prioritized over another. It should also be noted that some issues, particularly human trafficking, cross many areas such as human rights, labor rights, anti-corruption, and procurement and will be addressed in several places.) As we work through developing the NAP, we will need to make decisions about our priorities and the scope of our efforts. While we may not be able to address every priority that every stakeholder recommends, we will endeavor to cover as much ground as possible and clearly explain our decisions. As we work through this process, we will continue to prioritize the solicitation of feedback from stakeholders on both the process and the substance of this exercise.

Q. What is the geographic scope of this exercise?

A. We expect U.S. businesses to uphold high standards, regardless of where they are operating. The guidance set out in the OECD Guidelines for Multinational Enterprises and the UN Guiding Principles on Business and Human Rights, two guiding documents to the NAP, apply universally and have both domestic and international implications for US companies.

We want to ensure that the time and resources dedicated to this NAP are invested strategically. Many, though certainly not all, of the most acute risks related to business conduct are more prevalent outside of our borders. In particular, risks related to business conduct are often most acute in areas where governments are unable or unwilling to provide the resources necessary to ensure basic standards of security, rule of law, and governance whether as a consequence of conflict, poverty, or a lack of functioning democratic process.

Although President Obama made clear in his September 2014 announcement that the goal is to “develop a national plan to promote responsible and transparent business conduct overseas,” this does not mean that we will impose rigid, categorical limits on the scope of this process. Many of the challenges that businesses face can only be addressed through concerted and coordinated action from the board room in the United States to the factory floor or farm overseas. Some of these challenges are rooted in conditions abroad but have consequences and may warrant strategies that defy geopolitical boundaries. Meanwhile, many of the policy levers and processes that can impact business conduct are domestic in nature – for instance recent changes to our procurement regulations to prevent and address trafficking in persons are implemented through domestic regulatory processes that affect business conduct both abroad and at home. In short, many of the actions we may consider, and that we will encourage businesses to commit to, through this process are likely to influence business conduct regardless of where it takes place.

The Administration has undertaken a range of substantial efforts – working with numerous partners at the municipal, state, and federal levels – to address issues related to business conduct domestically. We have addressed domestic business conduct successfully through these other policy processes, and will continue to do so. Therefore, while some of these efforts may be highlighted as examples in the NAP, they will not be the focus of our process over the coming months.

Q. Will the United States conduct a “National Baseline Assessment” (NBA) as part of this process?

A. We are aware of the work that various entities, including the UN Working Group on Business and Human Rights and organizations like the International Corporate Accountability Roundtable (ICAR), the Danish Institute for Human Rights, and others have done to provide recommendations on NAP processes, including the recommendation to conduct a NBA. We are also aware that ICAR will be conducting a “shadow” baseline assessment of U.S. implementation of the UN Guiding Principles on Business and Human Rights to date.

We welcome work by others in this area, which has often been useful for us to reflect on. We have conducted a number of relevant assessments of our current policies and practices, including the 2013 U.S. government Approach to Business and Human Rights document and the 2013 U.S. Open Government Partnership NAP.

When considering whether to create an NBA, a number of issues arise. First is the fact that the NBA model, at least as proposed by some, is focused on the UN Guiding Principles. While the Guiding Principles will be a core part of our NAP, our aperture is wider. And since our NAP is broader than the Guiding Principles, it would take a significant amount of time that would be required to conduct a comprehensive NBA that covers so many issues. None of this is to say that we cannot or will not do some form of structured gap analysis. As with all things, we look forward to continuing to hear views on this matter.

Q. Which government agencies will be involved in this process?

A. The White House-led process we will take on a whole-of-government approach involving many U.S. agencies. Within the U.S. government, we have already involved the most relevant departments and agencies, including various White House offices, the Departments of Agriculture, Commerce, Labor, State, Homeland Security, Treasury, the General Services Administration, the Office of the U.S. Trade Representative, U.S. Agency for International Development, the Millennium Challenge Corporation, the Overseas Private Investment Corporation and Export-Import Bank. We are still in the process of broadening this circle and as it becomes clearer what areas we will focus on, others will join the process.

Q. The U.S. NAP is on “responsible business conduct.” How will that differ from other NAPs that are focused on corporate social responsibility or business and human rights?

A: Responsible business conduct is intended to include a broad range of areas in which corporate conduct impacts society. It is well understood that responsible business conduct (RBC), sometimes referred to as corporate social responsibility or CSR, entails conduct consistent with applicable laws and internationally recognised standards. Based on the idea that you can do well while doing no harm, RBC is a broad concept that focuses on two aspects of the business-society relationship: 1) the positive contribution businesses can make to economic, environmental, and social progress with a view to achieving sustainable development, and 2) avoiding adverse impacts and addressing them when they do occur. Risk-based due diligence lies at the heart of avoiding and addressing adverse impacts – it is a process through which enterprises identify, prevent, and mitigate actual and potential adverse impacts, and account for how these impacts are addressed.

For the purposes of the U.S. NAP, we broadly intend to include issues including human rights, labor rights, anti-corruption, trade and investment, land tenure and agriculture, and transparency issues. Environmental issues are impacted by and impact many of these issue areas and will be addressed to the extent that there is overlap. However, we do not intend to include environmental activities as a stand-alone category at this time. Similarly, human trafficking crosses many of the above areas and our efforts to address this scourge will be woven throughout several issues within the NAP.

Q. Do you intend for this NAP to include legislative recommendations, and if so how will you engage Congress?

A. We intend to consult regularly with interested Members and Staff, to get their views and input. It is possible that in the process of reviewing how we can improve our efforts to promote responsible business conduct, we may identify issues that are best addressed through legislation.

Q. How do you intend to address remedy issues?

A. We will look at existing mechanisms, both legal and non-legal procedures, including those managed through governmental, corporate, and multistakeholder processes that are designed to provide oversight and address situations where companies are alleged to have engaged in irresponsible conduct, in order to understand how our tools might be replicated, expanded upon or strengthened. We will also be open to new and creative suggestions that are likely to prove workable and agreeable to relevant stakeholders. As with all aspects of this exercise, we appreciate recommendations on this topic.

Q. How do you intend to consult with stakeholders?

A: We will seek input and recommendations on the National Action Plan from a wide range of stakeholders, including colleagues across the U.S. government; business associations and individual companies – both large and small; labor unions; civil society organizations, academic experts; international organizations; and affected communities. We will establish a series of open dialogues, through which we hope to engage with and hear from interested stakeholders about this process. The first of these dialogues was hosted by New York University Stern School of Business’ Center for Business and Human Rights and the U.S. Council for International Business on December 15th in New York City. We have already planned dates for at least three more dialogues: February 6th in Berkeley, hosted by the University of California Haas School of Business’ Center for Responsible Business and the U.S. Network of the UN Global Compact; April 2nd at the University of Oklahoma College of Law in Norman; and April 16th with the International Corporate Accountability Roundtable and the Global Business Initiative for Human Rights in Washington, D.C.

We understand that one of the most important stakeholder groups in this process is also the hardest to reach – that is, the most vulnerable individuals and communities who may be impacted by the conduct of U.S. companies abroad. In order engage with advocates for these populations, we will also look to set up webinars, as well as consider video conferences through certain embassies or consulates.

Q. If I can’t attend a consultation in person, how can I engage?

A. We have provided an email address for written submissions, and asked for initial input by January 15th, with subsequent comment periods to follow after that. We continue to seek input on a rolling basis and interested stakeholders should submit written recommendations to nap-rbc@state.gov. We seek your input and concrete recommendations on where we go from here -- what should be included in the NAP and what shouldn’t be as well as specific suggestions of what the U.S. government should commit/take action on in the plan.

Q. Will you engage with foreign governments during this process and if so how?

A: We have already had substantial and helpful discussions with several foreign governments that have completed or are in the process of conducting NAPs, in order to compare notes and learn lessons from one-another. We will seek to continue and expand these bilateral discussions throughout this process, in addition to continuing to work with others through existing, related multilateral forums and processes.

Q. What happens once you publish the NAP?

A: Our work on the NAP is just beginning, and we are excited about the road ahead. We do not view the creation and publishing of a NAP as an end unto itself, but rather part of our ongoing efforts to clarify and address these important issues. As with other U.S. government national action plans, we will treat this as an iterative and evolving process.

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