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Base Tool 12:
Compliance Plan
Template
PROTECTIONS AGAINST TRAFFICKING IN PERSONS
1
Compliance Plan Template
This tool is specifically intended for use by companies that need to demonstrate compliance with
the requirements of the Federal Acquisition Regulation (FAR): Ending Trafficking in Persons and
submit certifications under 52.222-50(h) and 22.1703(c).
1. Compliance Plans. U.S. Government contractors are required to comply with FAR 52.222-50
regardless of contract value or contract type. However, they must create and implement a
formal compliance plan to prevent any prohibited activities identified in FAR 52.222-50(b) for
any portion of a contract that:
a. is for supplies, other than commercially available off-the-shelf items, acquired outside
the United States, or
b. services to be performed outside the United States; and
c. the overseas portion has an estimated value that exceeds $550,000.
The plan must be maintained throughout the performance of the contract and must be
appropriate to:
a. the size and complexity of the contract; and
b. the nature and scope of the activities to be performed for the Government, including:
o the number of non-United States citizens expected to be employed; and
o the risk that the contract or subcontract will involve services or supplies
susceptible to trafficking in persons.
1
The United States recognizes two primary forms of trafficking in persons: forced labor and sex
trafficking. This tool and other tools in the set primarily focus on forced labor, a crime whereby traffickers
exploit and profit at the expense of adults or children by compelling them to perform labor. Several terms
are used such as “trafficking in persons,” “human trafficking,” and “forced labor.”
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The Contractor must provide the compliance plan to the Contracting Officer upon request.
The Contractor must also post the relevant contents of the compliance plan at the workplace
and on the Contractor’s website.
2. Certification. Prior to contract award, and annually thereafter, the Contractor must
certify to the Contracting Officer that:
a. it has implemented a compliance plan to prevent any prohibited activities
identified in FAR 52.222-50 and to monitor, detect, and terminate any agent,
subcontract, or subcontractor employee engaging in prohibited activities; and
b. after having conducted due diligence, either
o to the best of the Contractor’s knowledge and belief, neither it nor any of its
agents, subcontractors, or their agents are engaged in any such activities; or
o if abuses relating to any of the prohibited activities have been found, the
Contractor or subcontractor has taken the appropriate remedial and referral
actions.
3. Subcontracts. Contractors must include the substance of the clause at FAR 52.222-50,
Combating Trafficking in Persons, in all subcontracts and in all contracts with agents. The
requirements of 52.222-50 (b) apply to all agents and subcontractors at all tiers and at
any dollar value in the contractor’s supply chain. However, requirements to create and
implement a formal compliance plan apply only to any portion of the subcontract that
meets the same prime contractor thresholds in a), b), and c) in Section 1, Compliance
Plans, above.
If any subcontractor is required by this clause to submit a compliance plan and
certification, the Contractor must require plan submission prior to the award of the
subcontract and annually thereafter. The certification shall cover the items described
above in Section 2, Certification.
For more information on best practices in compliance, please see guidance from the United
States Executive Office of the President, Office of Management and Budget as provided in: Anti-
Trafficking Risk Management Best Practices and Mitigations Considerations Memorandum
(2019). The document supports the effective implementation of the FAR’s anti-trafficking
requirements and responsibilities. The memorandum is available at: www.whitehouse.gov/wp-
content/uploads/2019/10/M-20-01.pdf.
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Note to User: The following sections of this document are intended only to provide a
sample structure and examples of the kinds of information that should be included in a
Compliance Plan. It is NOT intended to serve as a “fill in the blank” plan template.
A Contractor’s plan must be tailored to both the size and complexity of the contract and the
specific nature and scope of the activities to be performed for the Government, including
the employment of non-US citizens and the risk that the contract or any subcontract will
involve services or supplies with a risk of trafficking in persons.
Sample Company Compliance Plan
This document describes the program requirements and processes established and
implemented by <Company Name> (hereafter referred to as “The Company”) to comply with
FAR 52.222-50, Combating Trafficking in Persons. The scope of this Compliance Plan (hereafter
referred to as the “Plan”) includes the operations and activities of the Company as well as
those subcontractors
2
and agents in its supply chain performing on this contract. This Plan is
maintained by the Corporate Human Resources Office located at <insert address>. The
individual responsible for the Plan implementation is listed below.
Note to User: Listing the accountable person is noted as a best practice under OMB Memo
M-20-01, Anti-Trafficking Risk Management Best Practices & Mitigations Considerations
(Attachment B, page 2).
Contractor Name:
Address:
DUNS Number:
2
The term “subcontractor” includes suppliers, labor recruiters, and others who provides goods and/or
services to the contractor.
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Name and Contact Information of
the Person Responsible for Plan:
Contract Number:
Contract Title:
Location of Performance:
Contract Period of Performance:
Contracting Agency:
Contracting Officer:
List of Company Subcontractors and Agents Covered by the Plan
Name Address Compliance Plan
(Y/N)
<Company Name> Human Trafficking Policy
The Company strictly prohibits its employees and all subcontractors and agents from:
• engaging in severe forms of trafficking in persons;
• procuring commercial sex acts;
• using forced or trafficked labor;
• destroying, concealing, confiscating, or otherwise denying an employee access to the
employee’s identity or immigration documents, such as passports or drivers' licenses,
regardless of issuing authority;
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• using misleading or fraudulent practices during the recruitment of employees or
offering of employment, such as failing to disclose, in a format and language accessible
to the employee, basic information or making material misrepresentations during the
recruitment of employees regarding the key terms and conditions of employment,
including wages and fringe benefits, the location of work, the living conditions, housing
and associated costs (if employer- or agent-provided or arranged), any significant costs
to be charged to the employee, and, if applicable, the hazardous nature of the work;
• using recruiters that do not comply with local labor laws of the country in which the
recruiting takes place;
• charging employees recruitment fees (as defined by the FAR);
• failing to pay return transportation costs upon the end of employment for employees
who are not nationals of the country in which the work is taking place;
• providing or arranging housing that fails to meet the host country housing and safety
standards; and,
• failing to provide an employment contract, recruitment agreement, or other legally
required work document in writing in a language the employee understands,
containing a detailed description of the terms and conditions of employment, at least
five days before an employee relocates to perform work.
The complete Company Supplier Code of Conduct can be found at <insert policy url>.
The Company has developed and implemented an awareness program to inform all
employees about the FAR’s prohibitions against trafficking-related activities described in FAR
52.222-50(b), the activities prohibited, and the actions that will be taken against the employee
for violations. Those employees are trained on:
• the Company Human Trafficking Policy and Supplier Code of Conduct;
• consequences for violating Company policy;
• the violation reporting process; and
• a summary of the U.S. Government’s policy prohibiting trafficking related activities as
contained in the provisions of FAR 52.222-50(b), “Combating Trafficking in Persons.”
EMPLOYEE AWARENESS PROGRAM
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Note to User: The following paragraph is not specifically required by the FAR but is
recommended as best practice.
Employees are trained both prior to departure from their countries of origin and again upon
arrival in the country where the work will be performed. They are also be provided with
written materials that include all subjects covered in the training. Both the training and
written materials are in each employees’ own language. A verbal explanation of the contents
is given upon request to individuals unable to read the printed information.
Note to User: Embed a copy of your company’s work awareness program file here or
provide a link to training materials.
Note to User: Insert a description of your company’s employee reporting process in this
section. The process must meet FAR requirements, as listed in 52.222-50 (h)(3)(ii).
The information provided below is an example of how a company reporting process could
be designed and described. It is not intended to serve as any company’s specific
information.
All employees of the Company or its suppliers, subcontractors, and agents are encouraged to
report any activity or condition that may violate the Company Human Trafficking Policy or the
requirements of FAR 52.222-50 confidentially and without retaliation to the Company Human
Resources Department Hotline or confidential email address <insert hotline number(s) and
confidential email here>, Ethics Hotline <insert number(s) here>, or using the Ethics email
reporting system <insert confidential email address>. Violations may also be reported online
using the Company’s web-based reporting system, <insert URL of online reporting page>. The
reporting system is also available for employees to report any workplace concern or potential
violation of the terms and conditions of their employment contracts. All reported concerns
will be promptly investigated by an impartial Grievance Committee of Company HR and Ethics
EMPLOYEE REPORTING/GRIEVANCE PROCESS
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staff. Where employees disagree with the results, they may appeal the decision to the
Grievance Committee.
The Company has also established a process to interview and protect from retaliation all
employees suspected of being victims of or witnesses to alleged violations of the Company
Human Trafficking Policy and FAR 52.222-50. This will be done prior to the employee returning
to his or her country of origin if the employee is located outside their country of origin at the
time of the incident being reported. Additionally, the Company will not interfere with
employees cooperating fully with government authorities.
Employees may also report their concerns directly to the Global Human Trafficking Hotline at
1-844-888-FREE or its email address at help@befree.org. The Company reporting process and
the Global Human Trafficking hotline and email address have been made available to all
employees in the Employee Awareness Program and via postings in all worksites.
Note to User:
The FAR requires the compliance plan to include a recruitment and wage plan that only
permits the use of recruitment companies with trained employees, prohibits charging
recruitment fees to the employee, and ensures that wages meet applicable destination-
country legal requirements or explains any variance. The following is an example of how a
company Recruitment and Wage Plan could be designed.
The Company and its suppliers and subcontractors use the following recruitment companies
that have undergone due diligence and have employees trained and knowledgeable on the
requirements of the Company Human Trafficking Policy, FAR 52.222-50, and all other applicable
country and local legal requirements.
Recruitment Firm Address
License
Number
Date of
Expiry
RECRUITMENT AND WAGE PLAN
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The Company strictly prohibits misleading or fraudulent recruiting practices during the
recruitment of both local and migrant employees. All labor recruiters working for or with the
Company and its suppliers and subcontractors have committed to provide complete and
accurate information to all employees regarding the assignment they are being offered (see
below).
The Company audits subcontractors and suppliers, including labor recruiters, without advance
notice, on a regular basis, and requires remediation of all identified nonconformities. Failure
to properly address audit issues will have business consequences up to and including
termination of contracts. Any violations of FAR requirements could result in the Company
terminating the contract of a subcontractor or agent. Additionally, the Company will report all
identified violations of FAR 52.222-50 (b) and remedial action(s) taken, as well any credible
information it receives from any source that alleges conduct in violation of FAR 52.222-50 (b)
to the Contracting Officer.
<attach copy of Company monitoring/audit process>
All subcontractors to the Company provide all employees with an employment
contract/employment agreement in writing, containing a detailed description of the terms and
conditions of their employment.
Note to User:
The FAR requires employment contracts where required by local law or contract, however
employment contracts are strongly recommended as a standard practice regardless of
local law or contract as they are the best way of ensuring employees understand their
rights and terms and conditions of employment, and voluntarily agree to employment with
your company. It is also recommended that a verbal explanation of the terms and
conditions be provided for employees unable to understand the written contract.
In the list of information to be provided in employment agreements shown below, only
items (a) through (i) are specifically required as minimum content by FAR 52.222-50(b). The
other items are included as recommended best practice (in italics).
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Contracts are written in a language that the employees understand and are provided to them
for review and signature at least five days prior to departure from their country of origin.
Employment contracts contain the following:
a.
Detailed description of the work
b.
Wages (compliant with host country legal requirements or an explanation of any
variance)
c.
Prohibition on charging recruitment fees to the employee
d.
Work location(s)
e.
Living accommodations and associated costs, if offered
f.
Time off
g.
Roundtrip transportation arrangements at no cost to employees
h.
Grievance process
i.
Content of applicable laws and regulations that prohibit trafficking in persons
j.
Employee’s full name
k.
Employee’s date of birth
l.
Employee’s passport number and work visa/permit number
m.
Employee emergency contact information
n.
Work start date and duration of contract
o.
Procedure for early contract termination without penalty, including notice period not to
exceed one month (or less per applicable law)
p.
Contract renewal provisions
q.
Regular work hours and shifts
r.
Anticipated overtime hours with total working hours not to exceed 60 hours per week or
local law, whichever is lower
s.
Estimated minimum net pay per month
t.
Method and frequency of wage payment
u.
Bonuses and conditions for earning them
v.
Allowances
w.
Full listing of any and all deductions, including specification of the type and amount of each
deduction and which, if any, are optional (for example, meals, transportation,
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communications, or other services provided or offered by the supplier, subcontractor or
agent).
x.
Description of additional benefits including medical insurance coverage, accident/injury
insurance, holidays, annual leave, sick leave, and/or any other applicable benefits
y.
Description of repatriation process and specification of the costs to be borne by the supplier
and the employee
z.
Any other terms required by applicable laws and regulations
aa.
No terms restricting an employee’s rights to freedom of association and collective
bargaining consistent with local law
Note: The Company reviews and approves the employment contracts used by its labor
recruiters. The contracts used by its suppliers and subcontractors are subject to audit by the
Company without advance notice.
Note to User:
The FAR requires a housing plan only when the Contractor or subcontractor intends to
provide or arrange employee housing. The plan ensures housing meets destination country
housing and safety standards. The following section is provided as an example of a housing
plan overview. A detailed housing plan that describes specifically how employee housing is
designed and managed to meet host country housing and safety standards would be
provided as an attachment to the compliance plan.
In the example statement, employee housing is provided by the Contractor and managed
by a third-party housing/property management firm. In this case, the housing plan
requirements would be in the terms and conditions of the contract between the Contractor
and the third-party housing manager. This is only an example of numerous ways that
housing can be arranged and managed.
Contract <insert contract number> necessitates providing migrant employees from <insert
names of origin countries> with housing for the duration of the Contract. The Company
HOUSING PLAN
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contracted <insert name of subcontractor> to construct housing units that comply with <name
of country/jurisdiction> housing and safety standards.
The Company believes that effective ongoing management of living facilities is essential to
ensure accommodations are safe and sanitary. This encompasses issues such as the physical
maintenance of buildings and security to ensure effective implementation of <insert name of
country/jurisdiction> housing and safety standards over the course of the contract. To do so,
the Company has contracted with <insert name of housing management firm> to manage all
employee housing for the duration of the contract. <Insert name and contact information of the
housing management firm> is a licensed and experienced firm with competent managers and
skilled support staff. The housing manager is responsible and accountable for overseeing
housing staff, and for ensuring effective implementation of the housing management plan.
The Company’s housing standards are specified in the contract with <insert name of housing
management firm>, and mechanisms to ensure that those standards are implemented have
been established. The housing manager regularly monitors the implementation of
accommodation standards and policies and reports all issues to the Company on a weekly
basis. <attach copy of housing plan>.
Note to User:
The FAR requires the compliance plan to include procedures to prevent agents and
subcontractors at any tier and at any dollar value from engaging in trafficking in persons
(including the activities in FAR 52.222-50(b)) and to monitor, detect, and terminate any
agents, subcontracts, or subcontractor employees that have engaged in such activities.
This section reflects recommended best practices
3
in addition to FAR requirements.
3
These include both Verité best practice and those contained in OMB Memo M-20-01, Anti-Trafficking
Risk Management Best Practices & Mitigation Considerations, such as the “Regular review of mechanisms
to deter trafficking” entry (Attachment B, page 2) and the “Subcontractor compliance reviews” entry
(Attachment B, page 4).
VIOLATION MONITORING, REPORTING, AND REMEDIATION
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The Company has established a performance monitoring, detection, and remediation
program to identify and address any violations of the requirements of FAR 52.222-50(b) and
the Company Human Trafficking Policy on an ongoing basis. In the event of the receipt of
credible information alleging violation of FAR 52.222-50(b), the Company will immediately:
• notify the Contracting Officer and the agency Inspector General of the specific nature
of the activity,
4
including specific remedial actions taken, and
• take appropriate corrective and preventive action, up to and including the dismissal of
Company employees and termination of contracts with subcontractors, suppliers, and
agents.
All subcontractors of the Company are required by contract to fully cooperate with Company
staff, contracting agencies, and other Federal agencies to conduct audits and investigations on
compliance with the provisions of FAR 52.222-50(b), Combating Trafficking in Persons.
Company subcontractors, and agents have also provided the Company with copies of their
Compliance Plans prepared in accordance with Company requirements and FAR 52.222-50(h).
The Company requires its subcontractors and agents whose subcontracts are covered by
52.222-50(i)(A) and (B) to certify prior to subcontract award and annually thereafter that they
have implemented compliance plans that comply with 52.222-50(h) and that, after having
conducted due diligence, either (1) to the best of the subcontractor’s knowledge and belief,
neither it nor any of its agents, subcontractors, or their agents, has engaged in any such
activities; or (2) if abuses relating to any of the prohibited activities identified in 52.222–50(b)
have been found, the subcontractor has taken the appropriate remedial and referral actions.
Additionally, all subcontractors have agreed to on-going monitoring and random auditing by
the Company or its agents for compliance with FAR 52.222-50 and the Company Human
Trafficking Policy. Any credible indication of noncompliance will be investigated, reported, and
addressed accordingly.
Failure to comply with the requirements of the FAR 52.222-50 is grounds for the Company to
take any and all appropriate actions, up to and including immediate termination of that
supplier’s contract with the Company.
4 If the allegation is associated with more than one contract, the notification will be for the contract with
the highest dollar value.
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Note to User:
Both the Contractor and any subcontractor required to maintain a compliance plan must
prior to award of the contract and subcontract and on an annual basis thereafter, submit a
certification (52.222-56) to the Contracting Officer that it has implemented a compliance
plan to prevent any prohibited activities identified in 52.222-50(b) and to monitor, detect,
and terminate any agent, subcontract, or subcontractor employee engaging in prohibited
activities.
The certification must also state that after having conducted due diligence, either:
1. to the best of the Contractor and subcontractor’s knowledge and belief, neither it
nor any of its agents, subcontractors, or their agents are engaged in any such
activities, or
2. that if any abuses have been found that the Contractor and/or subcontractor has
taken appropriate remedial and referral actions.
Contractors should establish a process to track the submission date of this annual
requirement and perform due diligence that is sufficient to provide an adequate assurance.
Certification should be made by an individual who has the authority and accountability to
implement this plan.
The following is an example of such a Certification.
The Company certifies the following:
• It has implemented a compliance plan to prevent any prohibited activities identified at
paragraph (b) of the FAR clause 52.222-50 and to monitor, detect, and terminate any
agent, subcontract, or subcontractor employee engaging in prohibited activities; and
• To the best of our knowledge and belief, based on ongoing compliance activities,
neither the Company, nor any of its agents, subcontractors, or their agents, are
engaged in prohibited trafficking-related activity as described in FAR 52.222-50(b).
• Upon receipt of any reported abuses or any credible information of abuses from any
source alleging conduct that violates FAR 52.222-50(b), the Company will take
immediate and appropriate remedial action(s) in response to the abuse(s) up to and
ANNUAL COMPLIANCE PLAN CERTIFICATION
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including termination of the employee, subcontractor, subcontractor employee, or
their agent involved.
A copy of the Compliance Plan is posted at the worksites for Contract <insert Contract title and
number here> for which the Company and its subcontractors have active contract employees
assigned. A copy is also posted on the Company website. The Company’s Human Trafficking
Hotline Posters and Contractor Reprisal (Whistleblower Rights) Posters are also posted at
Contract worksites in English and in the native languages of the employees.
If there are any identified noncompliance or credible evidence that alleges human trafficking-
related activity, the Company will ensure that the pertinent details are provided to the
Contracting Officer for possible imposition of remedies and to the agency Inspector General.
Company Name: _________________________________________________________________________
Company Address: _______________________________________________________________________
Compliance Certification Official Name: __________________________________________________
Compliance Certification Official Title: ____________________________________________________
Compliance Certification Official Signature: ______________________________________________
Date of Certification: _____________________________________________________________________
Contract Number: __________________________________
