CURRENT POSITION MAIN AREAS OF RESEARCH AND TEACHING EDUCATION

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1 CURRENT POSITION Dr. CAROLINE KAEB 2100 Hillside Road, Unit 1401 Storrs, Connecticut, University of Connecticut School of Business & Human Rights Institute (joint appointment) Assistant Professor of Business Law & Human Rights University of Connecticut School of Law Assistant Professor of Law (courtesy) MAIN AREAS OF RESEARCH AND TEACHING Corporate social impact and responsibility; normative business ethics; corporate compliance; business and human rights; corporate sustainability; behavioral regulatory design; corporate law; international and European business law; international law and human rights law. EDUCATION University of Trento, School of International Studies, Trento (Italy) Ph.D. in International Studies (2012) [International doctoral program conducted entirely in English and taught by members of multi-national faculty body] Qualifying exams in international law and international economics Dissertation: A Story of Law And Incentives: A Comparative Legal Understanding of Corporate Risk and Incentives in Relation to Human Rights Liability Nomination for best university thesis award 2012 by School of International Studies The George Washington University Law School, Washington, DC LL.M. in International and Comparative Law (2005) Activities: GW Internal Jessup International Law Moot Court, Judge Friedrich-Alexander-University Erlangen-Nuremberg, School of Law, Erlangen (Germany) Dipl.-Jurist Univ. and First State Board Examination (J.D. equivalent) (2004) Main areas of concentration: Public international and European Law Hans-Boeckler-Fellow, , Merit Scholarship awarded for academic excellence and social commitment ACADEMIC APPOINTMENTS University of Connecticut School of Business & Human Rights Institute (joint appointment) Assistant Professor of Business Law & Human Rights (2014 present) Courses: Corporate Sustainability Practices and Human Rights (now listed as: Corporate Social Impact and Responsibility); Business Solutions to Societal Challenges; Legal and Ethical Environment of Business (honors section); Current Business Topics: Business and Society (Executive MBA); Business, Law, and Ethics in Modern Society (part-time MBA) Member of graduate faculty (as of spring 2015) Guest researcher, Daimler AG headquarters, Department on Legal Affairs and Integrity: Corporate Responsibility Management (focus area: human rights compliance), Stuttgart, Germany, 09/ /2015 Visiting Assistant Professor, University of Chicago Harris School of Public Policy 11/ /2016 Assistant Professor of Law (courtesy), University of Connecticut School of Law (2014 present) Northwestern University School of Law (renamed: Northwestern Pritzker School of Law) Visiting Assistant Professor ( ) Courses: Corporate Compliance and the Social Mandate (cross-listed with Kellogg School of Management), European Union Law, Corporations (cross-listed with Kellogg School of Management) Affiliated faculty (by courtesy), Ford Motor Company Center for Global Citizenship at Kellogg School of Management ( ) Adjunct Professor ( ) Courses: European Business Law, Corporate Human Rights Responsibility (later listed as: Corporate Compliance and the Social Mandate) Transnational Business and Human Rights, course module in International Human Rights course Clinical projects in international corporate compliance with Cisco Inc., the United Nations Global Compact Office, and the Global Network Initiative (industry initiative launched by Microsoft, Yahoo!, and Microsoft to promote freedom of expression and privacy in information communication technologies) (Spring 2011)

2 Page Two [Northwestern University School of Law continued] Teaching Assistant (2009) Course: Corporate Human Rights Responsibility Kellogg School of Management Teaching Assistant to Social Enterprise Program (09/ /2010) Courses: Values-Based Leadership, Prof. David Austen-Smith (Fall 2009); Crisis Management, Prof. Daniel Diermeier (2009/2010) (grading assistant) Friedrich-Alexander-University School of Law, Erlangen (Germany) Law Tutor and Research Assistant ( ) OTHER PROFESSIONAL EXPERIENCE Center for International Human Rights, Northwestern University School of Law Research Associate ( ) (Assistant Director, Memories of Atrocities Victims Project: Cambodia) Assisted in launching and implementing internet platform for atrocity crimes victims in Cambodia Center for International Human Rights, Northwestern University School of Law Research Associate ( ) Main areas of research: international law, business & human rights, corporate compliance Prepared legal research, analysis and writing on international law topics with focus on corporate responsibility Conducted research and drafting for amicus briefs in corporate litigation under U.S. Alien Tort Statute Established, maintained, and managed relationships with Fortune 500 companies, major law firms, international institutions, and industry initiatives on corporate compliance issues Volunteer Consultant (10/ /2011) for Global Network Initiative : Assisted in developing company assessment scheme on freedom of expression on the internet and privacy protection, i.e., helped draft assessment template and assessor guidelines Consultant (Lead Researcher, UNOP Leadership Forum for Next Generation Development) (09/ /2010) for Mission Measurement, LLC, Chicago, IL: Prepared report on Next Generation Partnerships: (Core) Business Solutions to Development Challenges, which put forward strategy recommendations on private-public partnership design and implementation; performed research and strategy formulation on inclusive business practices and social investment Office of the United Nations High Commissioner for Refugees, Nuremberg (Germany) Legal Trainee (04/ /2006) Conducted legal research on refugee and immigration law Reviewed national asylum practices for compliance with Geneva Refugee Convention and Dublin II Regulation Collected country of origin information and developed country profiles German Commission for UNESCO, Dep. for Culture, Bonn (Germany) Project Assistant (11/ /2006) Assisted in preparing and organizing expert conference on intangible cultural heritage U.N. - International Labour Office (ILO), Dep. For Social Dialogue, Geneva (Switzerland) Intern (05/ /2004) Provided research support and conference assistance to workers group in the Committee on Human Resources Development at the International Labour Conference Conducted strategic planning on cross-functional project for multi-stakeholder education initiative by the ILO District Court and District Administration, Erlangen/Nuremberg (Germany) Law Clerk (2000) AWARDS Recipient of Scholarship Facilitation Fund Award 2015/16 ($2000) Recipient of Human Rights Faculty Research Grant 2016/17 ($2000) Faculty partner, Business and Human Rights Engaged Research Project (3 year funding by UConn Provost s Office as part of the University Academic Plan at UConn; $30.000) Recipient of Human Rights Institute Fellowship 2017/18 (two course buyout)

3 Page Three PUBLICATIONS [All publications are solo-authored unless indicated otherwise] ARTICLES The Shifting Sands of Corporate Liability under International Criminal Law4, 49 GEORGE WASHINGTON INTERNATIONAL LAW REVIEW (2016) - Cited in: Brief of Ambassador David J. Scheffer, Northwestern University Pritzker School of Law, As Amicus Curiae in Support of the Petitioners, Joseph Jesner, et al., v. Arab Bank PLC, 822 F.3d 34 (2d Cir. 2016), On Writ of Certiorari to the United States Court of Appeals for the Second Circuit (No ), at 18, (26 June 2017). A New Penalty Structure for Corporate Involvement in Atrocity Crimes: About Prosecutors and Monitors, 57 HARVARD INTERNATIONAL LAW JOURNAL (ONLINE SYMPOSIUM) (2016) at Putting the Corporate Back into Corporate Personhood: A Comparative Legal Analysis, 35 NORTHWESTERN JOURNAL OF INTERNATIONAL LAW AND BUSINESS (2015) The Paradox of Kiobel in Europe (with David Scheffer), Agora on Transnational Human Rights Litigation After Kiobel, 107 AMERICAN JOURNAL OF INTERNATIONAL LAW (2013) The Five Levels of CSR Compliance: The Resiliency of Corporate Liability under the Alien Tort Statute and the Case for a Counterattack Strategy in Compliance Theory (with David Scheffer), 29 BERKELEY JOURNAL OF INTERNATIONAL LAW (2011) - Republished in: HUMAN RIGHTS AND NON-STATE ACTORS (Andrew Clapham ed.) (2013) - Cited in: o Sarei v. Rio Tinto, PLC, 671 F.3d 736, 767 (9th Cir. 2011); o Doe v. Exxon Mobil Corp., 654 F.3d 11, 37 n. 24, 38 n.25, 49 n. 35, 50 n. 38, 53 n. 43 (D.C. Cir. 2011); o Petition for Writ of Certiorari at 34 n. 27, Kiobel v. Royal Dutch Petroleum Co., 133 S.Ct (2013) (No ); o Brief of Petitioner at 27, 44, John Doe v. Nestle USA Inc., 2011 WL (C.A.9) Emerging Issues of Human Rights Responsibility in the Extractive and Manufacturing Industries: Patterns and Liability Risks, 6 NORTHWESTERN JOURNAL OF INTERNATIONAL HUMAN RIGHTS (2008), at Der Menschenrechtsrat der Vereinten Nationen ein Neubeginn (The Human Rights Council of the United Nations a New Beginning), in: 08/06 ENTSCHEIDUNGEN ASYL 1 (Federal German Office for Migration and Refugees ed., 2006) BOOK CHAPTERS Law, Morality, and Rational Choice: Incentives for CSR Compliance, in: CORPORATE SOCIAL RESPONSIBILITY? HUMAN RIGHTS IN THE NEW GLOBAL ECONOMY (Charlotte Walker-Said & John Kelley, eds.) (University of Chicago Press, 2015) Corporate Social Responsibility and the Mandate to Remedy: Between Empowerment and Mitigating Vulnerabilities, in: CORPORATE SOCIAL RESPONSIBILITY? HUMAN RIGHTS IN THE NEW GLOBAL ECONOMY (Charlotte Walker-Said & John Kelley, eds.) (University of Chicago Press, 2015) BLOG POSTS, MEDIA & WHITE PAPERS Interviewed on Human Rights: Corporations Newest Frontier, UConn Today (May 17, 2017), at Interviewed about Business and Human Rights Compliance in the Global Compact Network Canada interview series (July 22, 2016), at The Corporate Joust with Morality (with David Scheffer), Opinio Juris (June 6, 2016), at Top 5 Reasons to Communicate About your Supply Chain Sustainability Efforts (with Sam Shiroff), SB Sustainable Brands (May 7, 2015), at ut_your_supply_chain_susta Going Beyond the Letter of the Law: Lessons from Europe on Corporate Accountability, White Paper in association with The Kellogg School of Management and The Aspen Institute Business & Society Program (2014), available at - Republished in: Sustainability: Executive Perspective, Thomson Reuters (March 3, 2014), at

4 Page Four [Blog Posts, Media & White Papers continued] America s Corporate Shield and Europe s Enterprise Responsibility Following the Rana Plaza Disaster, in: Reputation Rules, guest blog post (August 23, 2013), at WORKING PAPERS Regulating Corporate Social Behavior: Behavioral Payoffs of an Integrative Contractarian Approach to Business Ethics (revise and resubmit to American Business Law Journal) Principles-Based Regulation and Compliance: A Framework for Sustainable Integrity (White paper, with Harlan Loeb) WORKS IN PROGRESS Mapping the Human Rights Mindset of Corporations: An Empirical Study (project received funding support from the University of Connecticut and UConn s Human Rights Institute) The Corporate Governance of Human Rights Human Rights as Hypernorms under Social Contracts Theory (working title) Corporate Compliance and the Social Mandate Revisiting Corporate Separateness: A Trans-Atlantic Perspective on Parent Company Liability (with Gerlinde Berger- Walliser) SELECT PRESENTATIONS Current Developments in Business and Human Rights A Transatlantic Perspective, European Court of Human Rights (ECHR), presentation to ECHR judges and court staff, Strasbourg, France, June 2017 The Human Rights Mindset of Corporations A Transatlantic Perspective, University of Trento, School of International Studies, Trento, Italy May 2017 Business and Human Rights Instruction: An Empirical Study, Teaching Business and Human Rights Forum, Columbia University, New York, NY, May 2017 Moderator of two panels on contemporary challenges regarding business school instruction of business and human rights, Conference on Business & Human Rights: Implications for Management, Knowledge Needs and Teaching, Copenhagen Business School, Copenhagen, Denmark, May 2016 Corporate Social Responsibility: What Every Manager Should Know (with Stephen Park), University of Connecticut School of Business Executive Breakfast Series, Hartford, CT, April 2016 Discussant, Transparency and Respect for Human Rights (by David Hess), Public Regulation and Private Governance: Competitors or Collaborators?, UConn School of Business & University of Birmingham, April 2016 Panelist, Luncheon on US Launch of the Stop Slavery Award, Baker & McKenzie, New York, NY, April 2016 A New Penalty Structure for Corporate Involvement in Atrocity Crimes, Symposium on Business & Human Rights International Forum to Pursue Justice for Corporate Atrocity Crimes, Harvard Law School, Cambridge, MA, April 2016 Progress Update on Mission of PRME Working Group on Business and Human Rights, UN Forum on Business and Human Rights, Session on Cooperation Through Education and Research: The Role of Academic Institutions as Multipliers of the Business and Human Rights Agenda, Geneva, Switzerland, November 2015 Panel chair, Corporate Social Responsibility and Human Rights: Learning from the Past to New Futures, Annual Meeting, American Society for Legal History, Washington, DC, October 2015 Co-facilitator (and moderator) of working group, Introduction of new Business and Human Rights Working Group, PRME (Principles on Responsible Management Education) Global Forum, New York, NY, June 2015 Discussant, Who Speaks the Culture of the Corporation? (by Gwendolyn Gordon), UConn Social Enterprise and Entrepreneurship Conference: Creating Value for Business and Society, University of Connecticut, Storrs, CT, April 2015

5 Page Five [Select Presentations continued] Law, Morality, and Rational Choice: Incentives for Corporate Social Compliance, Zicklin Normative Business Ethics Workshop, Wharton School of the University of Pennsylvania, Philadelphia, PA, March 2015 Speaker, Address on human rights risk and impact assessment at human rights working group, Session on Risk Mitigation Shaping Adequate and Effective Measures Daimler Sustainability Dialogue, Stuttgart, Germany, November 2014 Panelist, Symposium on International Trade and Compliance Symposium: State of Play: Impacts of Regulatory Policy on Global Trade, Panel on An Ever Evolving Landscape: Corporate Considerations in International Trade, organized by Connecticut Journal of International Law, hosted by University of Connecticut School of Law, Hartford, October 2014 Benefits of Good Citizenship and Compliance, 2014 Labor and Employment Summit, Panel on Employee s Roles in Corporate Compliance: A Broad Aspirational Framework, Chicago, IL, October 2014 Putting the Corporate Back into Corporate Personhood: A Comparative Legal Analysis, 2014 Annual Conference, Academy of Legal Studies in Business (ALSB), Panel on Business Organizations and Combinations, Seattle, WA, August 2014 Panelist, The Hobby Lobby Case: What it Means for Religious Expression, Corporate Personhood, and the Contraceptive Mandate Under the Affordable Care Act, 2014 Annual Conference, Academy of Legal Studies in Business (ALSB), Seattle, WA, August 2014 Putting the Corporate Back into Corporate Personhood, Third Annual Conference of the Younger Comparativists Committee of the American Society of Comparative Law, Panel on Corporate Governance and Practices, Portland, OR, April 2014 Putting the Corporate Back into Corporate Personhood: A Comparative Legal Analysis, Internal Faculty Workshop, Northwestern University School of Law, April 2014 The Evolving Regulatory Landscape of Global Commerce: Lessons from Europe and the United States, 2014 Kellogg School of Management/Aspen Institute Business and Society Leadership Summit: Filling the Governance Gap: Aligning Enterprise and Advocacy, Chicago, IL, February 2014, video remarks available at America s Corporate Shield and Europe s Enterprise Responsibility Following the Rana Plaza Disaster, Private Governance Workshop, Vanderbilt University, Nashville, TN, December 2013 What, if Anything, Does Europe Have to Learn from the United States about Corporate Social Responsibility? (with David Scheffer), Heidelberg Center for American Studies (HCA), Heidelberg, Germany, December 2013 Sustainability & Compliance A Board Model for Multivariable Risk, Aspen Crisis and Risk Forum: A New Board Model: Navigating the Era of Uncertainty, organized by University of Cambridge, Judge Business School and Edelman Inc., Aspen, CO, June 2013 The Behavioral Economics of the Supreme Court s Kiobel Decision, Regional Colloquium on Globalization of Law, International Organizations, and International Law, Wisconsin Law School, Madison, WI, May 2013 Panelist, Symposium on The Fate of the Alien Tort Statute, organized by Center for International Human Rights, Northwestern University School of Law, April 2013 Panelist, Symposium on Human Rights, International Business, and American Law, Allegheny College, April 2013 Corporate Social Responsibility in the Middle East, Global Initiatives in Management (GIM) Middle East, Kellogg School of Management, March 2013 How the European Court of Human Rights Discovers the Missing Person in the Corporation: The Comparative Dissonance between American and European Approaches to Corporate Personhood, Workshop on International & Comparative Law, organized by Center of Law, Innovation & Economic Growth at Washington University School of Law, March 2013 John Ruggie s Business & Human Rights Framework as a Reference Point for Corporate Diversity Work, Corporate Diversity & Inclusion Conference: Change, Innovation and Organizational Design, Chicago, IL, June 2012 The Crowding Out Phenomenon in Human Rights Litigation Targeted at Corporations, workshop organized by The Human Rights Program at the University of Chicago, March 2012

6 Page Six [Select Presentations continued] The New Power of Connectedness: Lessons from the ICT sector for a new CSR paradigm, Symposium on Corporate Social Responsibility: A New Business Framework, The University of Chicago, April 2011 Panel chair, Corporate Criminality: The Past, Present, and Future of Human Rights Law and Corporate Responsibility, Symposium on Corporate Social Responsibility: A New Business Framework, The University of Chicago, Chicago, IL, April 2011 The Times They Are a Changing (with David Scheffer), organized by Corporate Responsibility Group, Chicago, IL, November 2010 Corporate Responsibility and Business Ethics: Why doing the right thing is more important than ever (with David Scheffer), organized by Diversity and Inclusion Group, Deloitte Inc., Chicago, IL, November 2010 The Five Levels of CSR Compliance: The Resiliency of Corporate Liability under the Alien Tort Statute and the Case for a Counterattack Strategy in Compliance Theory (with David Scheffer), Public Policy Roundtable on The Alien Tort Statute and U.S. Enforcement of Foreign Judgments, organized by Searle Center on Law, Regulation, and Economic Growth at Northwestern University, Chicago, IL, April 2009 Aligning Responsibility to Action: The Potential of Extraterritorial Adjudication of Liability of Private Military Corporations (PMCs) in Domestic Courts, 49th Annual Convention International Studies Association, San Francisco, CA, March 2008 What s the Problem? Patterns of Human Rights Abuses in the World for which MNCs are Being Scrutinized for Responsibility, Sixth Transatlantic Dialogue, Northwestern University School of Law, Chicago, IL, October 2007 SELECT CONFERENCES & WORKSHOPS Summer Intensive Course on Coding and Analyzing Qualitative Data, Odum Institute, UNC-Chapel Hill, NC, July 24-25, 2017 U.N. PRME Global Forum (Principles for Responsible Management Education), New York, NY, 2015, 2017 Global Network Initiative, Annual Learning Forum, Washington, DC, June 2017 Teaching Business and Human Rights Workshop, Columbia Law School, May 2011, 2012, 2013, 2014, 2015, 2017 U.N. Global Compact+15 Europe, The Future of Corporate Sustainability and the UN Global Compact in Europe, Berlin, Germany, October 2015 Annual Conference, Academy of Legal Studies in Business, Philadelphia, PA, August 2015 Normative Business Ethics Workshop, The Carol and Lawrence Zicklin Center for Business Ethics Research, Wharton School of the University of Pennsylvania, April 2014, October 2014, December 2014, March 2015, April 2015 Yahoo! Business & Human Rights Summit, Washington, DC, May 2011 Symposium on Transnational Corporate Responsibility for the 21 st Century, The George Washington University School of Law, April 2008 Workshop on The Alien Tort Statute: Litigating International Human Rights Cases in U.S. Courts, organized by Center for Constitutional Rights (CCR) and Center for International Human Rights at Northwestern University School of Law, February 2008 Workshop on Social Capital, Corporate Social Responsibility and Sustainable Economic Development, Trento, Italy, organized by University of Trento (Italy) and Econometica (Inter-University Centre for Economic Ethics and Corporate Social Responsibility, Trento, Italy), July 2007 SERVICE AND COMMITMENT TO THE PROFESSION American Business Law Journal Journal reviewer Business and Human Rights Initiative (3-year research grant awarded under the University of Connecticut s Academic Vision) Steering Committee Member (2016 present)

7 Page Seven [Service and Commitment to the Profession continued] U.N. Global Compact s Principles for Responsible Management Education (PRME) Founding member and co-chair of Working Group on Business and Human Rights (with Professor David Scheffer) (2015 present) Global Training and Development Institute, University of Connecticut Professional Service (Guest lecturer), August 2016 Honors Thesis Adviser, University of Connecticut Topic: Corporate Social Responsibility and the Syrian Refugee Crisis: A Comparison Between the German Automotive Industry and the American ICT Industry, Political Science (Academic year 2015/16) Journal of Human Rights Ad hoc journal reviewer (Spring 2016) Voluntary Principles on Security and Human Rights Provided expert feedback on guidance document for audit protocol, prepared by the Global Compact Canada Network and in coordination with the Business for Peace initiative (Spring 2015) Human Rights Institute, University of Connecticut Member of Graduate Research Award Committee (Fall 2014) Business Connections Learning Community, University of Connecticut Lecture on Ethical Leadership (Fall 2014) 2 nd Reader to Thesis in International Commercial Arbitration Topic: Emergency Arbitration in International Commercial Arbitration: Present Problems and Future Challenges (Spring 2013) Eyes on the International Criminal Court Ad hoc journal reviewer (Spring 2013) Chicago Field Studies Program, Weinberg College of Arts & Sciences, Northwestern University, Chicago, IL Research supervisor (Summer 2011) 2010 World Business and Development Awards Member of expert group reviewing award applications (2010) Human Rights Council, 8 th Session, Geneva, Switzerland Academic Observer (June 5, 2008) MEMBERSHIPS AND AFFILIATIONS The Wharton School, University of Pennsylvania, Zicklin Center for Business Ethics Research Senior Fellow (non-resident) Global Network Initiative, Policy Committee and Learning Committee Committee Member (representing the Human Rights Institute at the University of Connecticut) President s Committee on Corporate Social Responsibility, University of Connecticut Committee Member Gladstein Committee, University of Connecticut Human Rights Institute (Assessing how UConn can best contribute to the field of human rights and advising the Director of the Human Rights Institute on related issues.) Committee Member American Bar Association, Center for Human Rights: Business & Human Rights Project Advisory Board Member Teaching Business and Human Rights Forum, Columbia University Governance Committee Member Searle Center on Law, Regulation, and Economic Growth at Northwestern Pritzker School of Law Distinguished Fellow International Corporate Governance Society Member

8 Page Eight [Membership and Affiliations continued] Society for Business Ethics Member Academy of Legal Studies in Business Member American Society of Comparative Law Member Chicago Council on Global Affairs Member of the President s Circle (Young Professionals) ( , ) Ford Motor Company Center for Global Citizenship, Kellogg School of Management Affiliated faculty member ( ) American Society of International Law Member ( ) LANGUAGE SKILLS German, fluent; English, fluent; French, good; Latin, good; Italian, basic knowledge DATE: SEPTEMBER 7, 2017