Adam Smith International Human Trafficking and Modern Slavery Policy 1. Background Human trafficking and modern slavery are grave global human rights challenges that afflict vulnerable groups, undermine good governance and corrupt the international economy. Adam Smith International (ASI) s response extends beyond the basic objective of complying with all applicable legislation. 1 As an international development organisation, we recognise that we have a leading role to play in ensuring that anti-trafficking/slavery principles are put into practice. We are committed to working with our donors and other partners to apply and extend best practice throughout our supply chains, 2 and to apply our professional expertise to help end human trafficking and modern slavery. 2. Our policy ASI s policy is to oppose human trafficking and modern slavery vigorously: We do not and will never tolerate human trafficking or modern slavery in any aspect of our own work. We will combat human trafficking and modern slavery in our supply chains. We will collaborate with other organisations to present a united front against human trafficking and modern slavery in our wider working environment. We will support our staff to be aware of the risks of human trafficking and modern slavery and to act appropriately when any such risk is detected. We will develop our advisory expertise to assist countries to eliminate human trafficking and modern slavery. 3. What are Human Trafficking and Modern Slavery? Definitions Human trafficking means arranging or facilitating the international travel of another person with a view to that person being exploited. It is irrelevant whether or not that person has consented to travel. The exploitation need not actually have taken place. Exploitation means: Slavery, servitude or forced or compulsory labour (see below). Sexual exploitation, in particular but not limited to prostitution and sexual offences involving children. The removal of organs, otherwise than as properly approved by relevant authorities. 1 Notably the UK Modern Slavery Act 2015, EU Directive 2011/36/EU and the US Trafficking Victims Protection Act 2000. 2 See for example UK DFID s Statement of Priorities and Expectations (https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/504844/statement-priorities-expectations- March2016.pdf) and USAID s Trafficking in Persons (TIP) programme (https://www.usaid.gov/trafficking). 1
Securing services or other benefits/advantage by force, threats or deception. Securing services from children or anyone who is mentally or physically ill or disabled, where it is reasonable to expect that someone without the relevant vulnerability would have refused. The following are particularly severe forms of human trafficking: Sex trafficking in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such act has not attained 18 years of age. The recruitment, harbouring, transportation, provision, or obtaining of a person for labour or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. Modern slavery means holding another person in slavery or servitude, or requiring another person to perform forced or compulsory labour. Slavery occurs when a person acts as if they exercised ownership rights over another person, depriving them of freedom. Servitude occurs when an obligation to provide services is imposed by coercion and includes the obligation for the person in question to live on a person s property without the possibility of changing their condition. Forced or compulsory labour occurs when a person is coerced into rendering work or services through the threat of violence or other more subtle forms of compulsion. Although a person s consent may be relevant to whether or not their circumstances constitute modern slavery, consent does not automatically mean modern slavery is not taking place. A person does not have to know that another person is being held in slavery or servitude or required to perform forced or compulsory labour; it is enough that they ought to have known. Certain groups, such as children and those with mental or physical illnesses or disablements, are regarded as particularly vulnerable. Various laws prohibiting these activities will apply differentially to the citizens of different countries according to where they are working. However ASI s policy makes no distinction according to nationality or location. This policy applies to everyone we work with, anywhere in the world. Clarification and examples The essence of human trafficking is the movement of vulnerable people across international borders. Whenever people are moving across international borders, we should consider: is anyone arranging or facilitating that movement with a view to those vulnerable people being exploited? The essence of modern slavery is coercion - people working or otherwise being kept against their free will. Whenever people are working or being kept in a place, we should consider: are these people here of their own free will? Evidently these situations may overlap, because a person subjected to modern slavery may also be subjected to human trafficking and vice versa. The main types of human trafficking are: Trafficking for forced labour, particularly in labour-intensive occupations such as agriculture, fisheries, construction and domestic service. Trafficking women and children for sexual exploitation. Trafficking for organ transplants. People smuggling (see below) for exploitative purposes. 2
The main types of modern slavery are: Forced labour, where violence or the threat of violence is used to make people work. Coerced prostitution. Bonded labour (or debt bondage), where people are coerced to work to pay off debts. Involuntary domestic servitude. Forced child labour. The unlawful recruitment and use of child soldiers. The distinction between human trafficking and people smuggling Human Trafficking may or may not involve people smuggling. The relevant UN Protocol defines people smuggling as... the procurement, in order to obtain, directly or indirectly, a financial or other material benefit, of the illegal entry of a person into a state party of which the person is not a national. People smuggling into the UK, any EU country or the USA constitutes a crime. ASI will not tolerate any people smuggling, whether into these countries or any other country. Our normal assumption is that any people smuggling constitutes human trafficking for the purposes of this policy. The distinction between modern slavery and deficient working conditions There is a danger that we may mistake deficient working conditions for modern slavery. UK official guidance acknowledges that it is not always clear at what point, for example, poor working practices and lack of health and safety awareness seep into instances of human trafficking, slavery or forced labour in a work environment. Low wages, unsafe conditions and long hours do not necessarily signify modern slavery. As stated above, one key feature of modern slavery is coercion and people working or being kept in a place against their free will. What to do in cases of uncertainty We recognise that the definitions of human trafficking and modern slavery are not perfect and that these distinctions are difficult to apply in practice. In case of any uncertainty, you should confer with your line manager, project manager or other lead ASI point of contact. Any persisting uncertainties as to whether or not human trafficking or modern slavery has taken, is taking or may take place should be raised direct with the named ASI Contact Person below. 4. Measures to give effect to our policy This section sets out the set of measures which apply in order to give effect to our policy on human trafficking and modern slavery. Corporate measures and employees ASI s opposition to human trafficking and modern slavery is led by our Chief Executive Officer (CEO). The CEO is responsible for this policy and for ASI s performance overall. For transparency, the CEO will publish an annual Human Trafficking and Modern Slavery Statement detailing the steps the organisation has taken during the financial year to ensure that slavery and human trafficking is not taking place in any of its supply chains, and in any part of its own business. 3
ASI s global Risk Assurance Working Group will include human trafficking and modern slavery as a standing agenda item, with two objectives. The first will be to evaluate, extend and ensure progress with the operational measures described below across ASI s activities worldwide including subsidiaries and all country offices, taking particular care to establish a global risk assessment framework and performance indicators in order to identify and target efforts at activities which are at relatively high risk of involving human trafficking and modern slavery. The second will be to manage the production of working tools (e.g. procedural rules for procurement, due diligence and internal audit) to support and further this effort to combat human trafficking and modern slavery. ASI s Head of Global Risk & Security will act as the primary Contact Person for issues relating to human trafficking and modern slavery. As well as providing guidance, the Head of Global Risk & Security will work with the Human Resources Director to ensure that appropriate training is made available to employees in order to support them in meeting required standards. The Head of Global Risk & Security will also oversee our engagement with other organisations in order to collaborate over the elimination of human trafficking and modern slavery. Every ASI employee has a direct responsibility to apply ASI s policy against human trafficking and modern slavery. The first responsibility is to comply with this policy and to set an example on human trafficking and modern slavery. In particular, no ASI employee may use coercion or deception to obtain anyone s services, or oblige any person to work against their free will. The second responsibility is to report suspect situations. If you know or have any reason to suspect that human trafficking and modern slavery has taken, is taking or may take place, whether or not it involves you or ASI directly, you should notify your line manager immediately. Managers should then report full details to the ASI Contact Person named below. Operational measures and contractors ASI Advisers shall also take responsibility for meeting the standards established ASI s policy against human trafficking and modern slavery. Specific requirements will be set through the Standard Operating Procedures (SOPs) with which an individual Adviser is obliged to comply under their contract. In the absence of any such requirements in the SOPs, Advisers shall be subject to the same responsibilities as are described above for employees. That is to say that they must: Refrain from any activity or behaviour which might constitute human trafficking or modern slavery, and in particular from using coercion or deception to obtain anyone s services, obliging any person to work against their free will, or procuring a commercial sex act. Report any actual or suspected human trafficking and modern slavery, past, present or future and whether or not it involves the Adviser or ASI directly, to their Project Manager. ASI s Head of Legal, Ethics and Compliance shall ensure that sufficient legally binding commitments relating to human trafficking and modern slavery are included in all subcontract arrangements. Subcontractors must be required to meet ASI standards on human trafficking and modern slavery. Subcontractor staff must be required to meet the same standards as ASI Advisers in their work, either by means of SOPs or equivalent subcontractor requirements. Subcontractors may be required to certify their compliance with this policy and other applicable regulations annually or otherwise from time to time, using the form attached to this policy (Annex A) or one substantially similar to it. All ASI staff with any responsibility for procurement (whether employees, Advisers or subcontractors) must consider the risks of human trafficking and modern slavery in relation to that activity as part of ongoing management activities. Relevant risks shall include not only the activities of direct suppliers but also the ultimate origin of good or services (indirect suppliers) and the role of associated parties. Where feasible and not already in place, steps should be taken to include express anti-trafficking and antislavery requirements into due diligence procedures and contractual obligations. 4
All ASI staff (including employees, Advisers or subcontractors) must comply promptly with any directions issued by the CEO, or his delegates in relation to human trafficking and modern slavery. As above, any suspected human trafficking and modern slavery activity should be notified as appropriate to your line manager, project manager or other lead ASI point of contact. Any persisting uncertainties as to whether or not human trafficking or modern slavery has taken, is taking or may take place should be raised direct with the named ASI Contact Person below. ASI s wider working environment ASI s strong policy on human trafficking and modern slavery does not make us responsible for all occurrences of human trafficking and modern slavery in our wider working environment. It is important to be realistic about our capacity to act against these challenges outside our own supply chains. Accordingly this policy does not establish a responsibility on the part of ASI staff (including employees, Advisers or subcontractors) to do anything more than report any actual or suspected human trafficking and modern slavery in the wider working environment. It is the responsibility of ASI senior management to decide on any actions in relation to human trafficking and modern slavery in the wider working environment, including any collaboration with other organisations as appropriate. Continuous improvement ASI is committed to continuous improvement in its policy against human trafficking and modern slavery. We aim to improve our practices over time and adapt our approach to maximise our practical impact in combatting human trafficking and modern slavery. The CEO will ensure that this policy is revised from time to time for this purpose. In accordance with our commitment to work collaboratively in this area, ASI will also remain open to any suggestions whatever their origin as to how we might improve our efforts against human trafficking and modern slavery. All suggestions should be directed to the named ASI Contact Person below. 5. Donor-specific procedures ASI Project Managers remain responsible for checking that this policy is sufficient to ensure full compliance with all donor- or project-specific human trafficking and modern slavery requirements applicable to ASI activities from time to time, and for implementing any additional measures as may be required to meet those requirements. Project Managers should take particular notice that USAID anti-trafficking and anti-slavery regulations are elaborate and require certain obligations to be specified to clarify the applicability of ASI s policy to certain circumstances. The following additional obligations apply to all staff working on ASI projects funded by USAID. In such circumstances, this policy specifically clarifies that no person may: Deny anyone s access to their identity or immigration documents. Use recruiters that do not comply fully with all applicable local labour laws. Charge employees recruitment fees. Refuse to provide return travel (or meet its cost) to the country of origin of anyone brought to work in a country where they are not a citizen or otherwise legally permitted to remain. Fail to ensure that a relevant US government agency is notified of any incidence of human trafficking, modern slavery or any of the specific acts listed above. 5
6. Contacts ASI global lead on action against human trafficking and modern slavery Jonathan Pell Interim Chief Executive Officer Adam Smith International 240 Blackfriars Road London SE1 8NW United Kingdom +44 203 778 1034 ASI primary Contact Person on action against human trafficking and modern slavery Rebecca Jefferies Head of Legal, Ethics and Compliance Adam Smith International 240 Blackfriars Road London SE1 8NW United Kingdom +44 203 778 1069 Rebecca.Jefferies@adamsmithinternational.com 6
Annex A: Compliance Certification Form for Subcontractors etc. To: Adam Smith International 240 Blackfriars Road London SE1 8NW United Kingdom ( ASI ) From: [Certifying Party name & address] (the Certifying Party ) [Date] Dear Sir/Madam Certificate of Compliance with Applicable Human Trafficking and Modern Slavery standards I hereby certify as follows, to ASI on behalf of the Certifying Party: I have read and understood ASI s Human Trafficking and Modern Slavery Policy. The Certifying Party is not and has never engaged in any form of human trafficking or modern slavery, and is fully compliant with ASI s Human Trafficking and Modern Slavery Policy and all applicable law, regulation and donor procedure relating to human trafficking and modern slavery. The Certifying Party has equivalent measures in place to ensure that its staff, contractors, suppliers and other associated parties do not engage in any form of human trafficking or modern slavery. To the best of the Certifying Party s knowledge, none of its own subcontractors or suppliers, or indeed their subcontractors or suppliers, has engaged or is engaging in any human trafficking or modern slavery. The Certifying Party will immediately notify ASI in the event that any of the statements above becomes untrue. Duly authorised for and on behalf of the Certifying Party Signed. [Name] [Title] 7