CURRENT POSITION MAIN AREAS OF RESEARCH AND TEACHING EDUCATION

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1 CURRENT POSITION CAROLINE KAEB University of Connecticut School of Business 2100 Hillside Road, Unit Storrs, Connecticut, (office) 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 Business and human rights; corporate social impact and responsibility; corporate sustainability; corporate compliance; behavioral regulatory design; corporate law; international and European business law; comparative private 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 TEACHING EXPERIENCE 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, Legal and Ethical Environment of Business (honors section), Current Business Topics: Business and Society (Executive MBA level) of graduate faculty (as of spring 2015) Recipient of Scholarship Facilitation Fund Award 2015/16 Guest researcher, Daimler AG headquarters, Department on Legal Affairs and Integrity: Corporate Responsibility Management (focus area: human rights compliance), Stuttgart, Germany, 09/ /2015 Assistant Professor of Law (courtesy), University of Connecticut School of Law (2014 present) Northwestern University 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 ( ) Northwestern University School of Law Adjunct Professor ( ) Courses: European Business Law, Corporate Human Rights Responsibility/Corporate Compliance and the Social Mandate Transnational Business and Human Rights, course module in International Human Rights Clinical projects in international corporate compliance with Cisco Inc., the United Nations Global Compact Office, and the Global Network Initiative (an industry initiative launched by Microsoft, Yahoo!, and Microsoft) (Spring 2011)

2 Page Two 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) Northwestern University School of Law Teaching Assistant (2009) Course: Corporate Human Rights Responsibility Friedrich-Alexander-University School of Law, Erlangen (Germany) Law Tutor and Research Assistant ( ) RESEARCH AND LEGAL EXPERIENCE Center for International Human Rights, Northwestern University School of Law Research Associate ( ) (Assistant Director, Memories of Atrocities 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 and business & human rights Conducted research and drafting for amicus briefs in corporate litigation under Alien Tort Statute Established, maintained, and managed relationships with Fortune 500 companies, major law firms, international institutions, and industry initiatives on corporate compliance issues Taught course module on Transnational Business and Human Rights, in International Human Rights course 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, developing strategy recommendations on privatepublic 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 Monitored 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 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) PUBLICATIONS ARTICLES Putting the Corporate Back into Corporate Personhood: A Comparative Legal Analysis, 35 NORTHWESTERN JOURNAL OF INTERNATIONAL LAW AND BUSINESS (forthcoming, 2015) The Paradox of Kiobel in Europe (with David Scheffer), Agora on Transnational Human Rights Litigation After Kiobel, 107 AMERICAN JOURNAL OF INTERNATIONAL LAW 852 (2013), available at

3 Page Three 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), available at - 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) BOOKS, BOOK CHAPTERS & REVIEWS 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.) (forthcoming with 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.) (forthcoming with University of Chicago Press, 2015) BLOG POSTS, MEDIA & WHITE PAPERS Top 5 Reasons to Communicate About your Supply Chain Sustainability Efforts, SB Sustainable Brands, available at ut_your_supply_chain_susta (2015) (with Sam Shiroff) 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 America s Corporate Shield and Europe s Enterprise Responsibility Following the Rana Plaza Disaster, in: REPUTATION RULES, guest blog post, at (August 23, 2013) WORKING PAPERS The Corporate Joust with Morality (with David Scheffer) Rethinking Corporate Liability under the Rome Statute: Changing Realities and Risks Regulating Corporate Social Behavior: Behavioral Payoffs of an Integrative Contractarian Approach to Business Ethics Principles-Based Regulation and Compliance: A Framework for Sustainable Integrity (White paper, with Harlan Loeb) WORKS IN PROGRESS Corporate Compliance and the Social Mandate, SpringerBriefs in Law series (book proposal invited by Springer Verlag) Mapping the Human Rights Mindset of Corporations: An Empirical Study Revisiting Corporate Separateness: A Trans-Atlantic Perspective on Parent Company Liability (with Gerlinde Berger- Walliser) Lessons from the Foreign Corrupt Practices Act: Testing a Behavioral Model of Corporate Regulation The Benefit Corporation: The American Take on A Stakeholder-Sensitive Corporate Form?

4 Page Four SELECT PRESENTATIONS 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, Storrs, CT, April 2015 Law, Morality, and Rational Choice: Incentives for Corporate Social Compliance, Zicklin Normative Business Ethics Workshop, Wharton School, Philadelphia, PA, March 2015 Speaker, Daimler Sustainability Dialogue, Address on human rights risk and impact assessment at human rights working group, Session on Risk Mitigation Shaping Adequate and Effective Measures, 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 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, May 2013 Panelist, 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

5 Page Five 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 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), 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), 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 Global Compact+15 Europe, Conference on 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, The Wharton School, University of Pennsylvania, April 2014, October 2014, December 2014, March 2015, April 2015 Teaching Business and Human Rights Workshop, Columbia Law School, May 2011, 2012, 2013 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, Feb 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 International Studies Association, 48th Annual Convention, Chicago, IL, Feb./March 2007 SERVICE AND COMMITMENT TO THE PROFESSION 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. Honors Thesis Adviser, University of Connecticut Political Science (as of summer 2015)

6 Page Six U.N. Global Compact s Principles for Responsible Management Education (PRME) Founder and co-facilitator of Workstream on Business and Human Rights (with Professor David Scheffer) Human Rights Institute, University of Connecticut 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 Mariano Suarez, Emergency Arbitration in International Commercial Arbitration: Present Problems and Future Challenges (Spring 2013) Eyes on the International Criminal Court Peer-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 of expert group evaluating award applications (2010) Human Rights Council, 8 th Session, Geneva, Switzerland Academic Observer (June 5, 2008) MEMBERSHIPS AND AFFILIATIONS President s Committee on Corporate Social Responsibility, University of Connecticut 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 broad range of issues.) American Bar Association, Center for Human Rights: Business & Human Rights Project of advisory board Teaching Business and Human Rights Forum, Columbia University of Governance Committee Searle Center on Law, Regulation, and Economic Growth Distinguished Fellow Academy of Legal Studies in Business American Society of Comparative Law Chicago Council on Global Affairs of the President s Circle (Young Professionals) ( ) Ford Motor Company Center for Global Citizenship, Kellogg School of Management Affiliated faculty member ( ) Society for Business Ethics ( ) American Society of International Law ( ) LANGUAGE SKILLS German, fluent; English, fluent; French, proficient; Italian, working knowledge. DATE: DECEMBER 7, 2015

CURRENT POSITION MAIN AREAS OF RESEARCH AND TEACHING EDUCATION

CURRENT POSITION MAIN AREAS OF RESEARCH AND TEACHING EDUCATION CURRENT POSITION Dr. CAROLINE KAEB 2100 Hillside Road, Unit 1401 Storrs, Connecticut, 06269 860.486.4134 Email: caroline.kaeb@uconn.edu http://www.business.uconn.edu/contact/profiles/caroline-kaeb/ http://humanrights.uconn.edu/faculty_staff/caroline-kaeb/