Cuba Remains on “Tier 2—Watch List” in U.S. State Department’s Annual Trafficking in Persons Report   

On June 28 the U.S. State Department released its Trafficking in Persons Report (June 2018), [1] pursuant to a U.S. federal statute (The Trafficking Victims Protection Act of 2000, as amended), requiring annual reports on human trafficking in every country of the world. After looking at the background for this report, we will examine its report on Cuba.

Background

This statute defines “severe forms of trafficking in persons” as “sex trafficking in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such an act has not attained 18 years of age; or  the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.” (Report at 5.)

This statute also defines the “minimum standards for the elimination of trafficking in persons” as follows:

  • “(1) The government of the country should prohibit severe forms of trafficking in persons and punish acts of such trafficking. (2) For the knowing commission of any act of sex trafficking involving force, fraud, coercion, or in which the victim of sex trafficking is a child incapable of giving meaningful consent, or of trafficking which includes rape or kidnapping or which causes a death, the government of the country should prescribe punishment commensurate with that for grave crimes, such as forcible sexual assault. (3) For the knowing commission of any act of a severe form of trafficking in persons, the government of the country should prescribe punishment that is sufficiently stringent to deter and that adequately reflects the heinous nature of the offense. (4) The government of the country should make serious and sustained efforts to eliminate severe forms of trafficking in persons.” (Report at 44.)

The statute then goes on with great details on 12 Indicia of “Serious and Sustained Efforts” as used in the last of these four minimum standards. (Report at 44-45.)

The report placed the countries in the world into the following five tiers or categories (Report at 54):

Tier Definition Number of Countries
1 “The governments of countries that fully meet the TVPA’s minimum standards for the elimination of trafficking.”   39
2 “The governments of countries that do not fully meet the TVPA’s minimum standards, but are making significant efforts to bring themselves into compliance with those standards.”   81
2-Watch

List

“The government of countries that do not fully meet the TVPA’s minimum standards, but are making significant efforts to bring themselves into compliance with those standards, and for which: a) the absolute number of victims of severe forms of trafficking is very significant or is significantly increasing; b) there is a failure to provide evidence of increasing efforts to combat severe forms of trafficking in persons from the previous year, including increased investigations, prosecution, and convictions of trafficking crimes, increased assistance to victims, and decreasing evidence of complicity in severe forms of trafficking by government officials; or c) the determination that a country is making significant efforts to bring itself into compliance with minimum standards was based on commitments by the country to take additional steps over the next year.”  43
Tier 3 “The governments of countries that do not fully meet the TVPA’s minimum standards and are not making significant efforts to do so” 23
Special Cases   4
TOTAL   190

Report on Cuba

Cuba remained on Tier 2 Watch List for the fourth consecutive year after four years in Tier 3.[2] Its introductory paragraph stated the following:

 “The Government of Cuba does not fully meet the minimum standards for the elimination of trafficking; however, it is making significant efforts to do so. The government demonstrated significant efforts by prosecuting and convicting more traffickers, including a trafficker that subjected a boy to forced begging; creating a directorate to provide specialized attention to child victims of crime and violence, including trafficking; and publishing its national anti-trafficking plan for 2017-2020. However, the government did not demonstrate increasing efforts compared to the previous reporting period. The government did not criminalize most forms of forced labor, or sex trafficking of children ages 16 and 17, and did not report providing specialized services to identified victims. The government lacked procedures to proactively identify forced labor victims and detained potential sex trafficking victims for unlawful acts committed as a direct result of being subjected to trafficking. Because the government has devoted sufficient resources to a written plan, that, if implemented, would constitute significant efforts to meet the minimum standards, Cuba was granted a waiver per the Trafficking Victims Protection Act from an otherwise required downgrade to Tier 3.” (Report at 156 (emphasis added.)[3]

The Report also provided the following “RECOMMENDATIONS FOR CUBA”

“Draft and enact a comprehensive anti-trafficking law that prohibits and sufficiently punishes all forms of human trafficking, including forced labor, sex trafficking of children ages 16 and 17, and the full range of trafficking ‘acts’ (recruiting, transporting, transferring, harboring, or receiving persons); vigorously investigate and prosecute both sex trafficking and forced labor offenses; implement formal policies and procedures on the identification of all trafficking victims and their referral to appropriate services, and train officials, including first responders, in their use; adopt policies and programs that provide trafficking-specific, specialized assistance for male and female trafficking victims, including measures to ensure identified sex and labor trafficking victims are not punished for unlawful acts committed as a direct result of being subjected to sex trafficking or forced labor; establish a permanent inter-ministerial anti-trafficking committee and implement the 2017-2020 national anti-trafficking action plan in partnership with international organizations; implement policies to prohibit force, fraud, or coercion by foreign labor recruiters and state-owned or controlled enterprises in recruiting and retaining employees; educate workers about trafficking indicators and where to report trafficking-related violations; and provide specialized training on trafficking indicators for hotline staff and interpretation for non-Spanish speakers.” (Report at 158.)

The Report’s conclusion on Cuba under the heading “Trafficking Profile” states as follows:

“As reported over the past five years, Cuba is a source, transit, and destination country for adults and children subjected to sex trafficking and forced labor. Sex trafficking and sex tourism, including child victims, occur within Cuba. Traffickers subject Cuban citizens to sex trafficking and forced labor in South America, the Caribbean, and the United States. Traffickers subject foreign nationals from Africa and Asia to sex trafficking and forced labor in Cuba to pay off travel debts. The government is the primary employer in the Cuban economy, including in foreign medical and other overseas missions that employ more than 84,000 workers in more than 67 countries, including Bolivia, Brazil, Colombia, and Venezuela. These medical missions constitute a significant source of Cuban government income. Some participants in foreign medical missions as well as other sources allege that Cuban officials force or coerce participation in the program; the government has stated the postings are voluntary, and some participants also have stated the postings are voluntary and well-paid compared to jobs within Cuba. The Cuban government acknowledges that it withholds passports of overseas medical personnel in Venezuela; the government provided ID cards to such personnel in place of passports. There are also claims about substandard working and living conditions in some countries. Observers noted Cuban authorities coerced some participants to remain in the program, including by allegedly withholding their passports, restricting their movement, using “minders” to monitor participants outside of work, threatening to revoke their medical licenses, retaliate against their family members in Cuba if participants leave the program, or impose exile if participants didn’t return to Cuba as directed by government supervisors. The government uses some high school students in rural areas to harvest crops and does not pay them for their work but claims this work is not coerced.” (Report at 158 (emphasis added.)

The portion of this Profile about Cuba’s foreign medical missions’ alleged use of forced labor is highlighted because, as discussed below, this blogger believes such allegation is erroneous.

Conclusion

There are at least two major objections to this report on Cuba.

First, there is no mention of  the bilateral U.S.-Cuba discussions about human trafficking that have occurred since the December 17, 2014, announcement of U.S.-Cuba rapprochement. Unfortunately the brief official announcements of such discussions do not provide details of the substance of the discussions.[4] But such discussions may bear light on the U.S. report about Cuba.

Second, there also is no merit to the Report’s allegation that Cuba’s employment of Cuban medical personnel in foreign missions is  illegal forced labor. Details are provided in a prior post, but here is a summary for that conclusion:

  • There is conflicting evidence on the coercion issue and there has been no adjudication of that issue.
  • International medical aid has been a significant part of the Cuban people’s tradition of solidarity, and some Cuban medical personnel have said that such service had a major positive impact on their lives and medical careers.
  • A detailed study by Indiana State University’s Emeritus Professor of International Politics and Latin America, Dr. H. Michael Erisman, rejects the accusation of forced labor.
  • Medical education in Cuba is free and requiring medical graduates to pay the country back by such participation seems entirely appropriate and may indeed be a contractual or quasi-contractual obligation.
  • Having Cuban medical personnel participate in foreign medical mission does not violate the relevant international legal standard (the Forced Labour Convention, 1930) because it expressly excludes “any work or service which forms part of the normal civic obligation of the citizens of a fully self-governing country.”

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[1] U.S. State Dep’t, Trafficking in Persons Report: June 2018.  At the State Department’s Launch Ceremony public comments were made by Secretary of State Mike Pompeo and Kari Johnstone, the acting director for the Department’s Office to Monitor and Combat Trafficking in Persons plus 10 TIP Heroes from around the world. Earlier there was a background briefing for journalists. (See U.S. State Dep’t, Remarks at the 2018 Trafficking in Persons Report Launch Ceremony (June 28, 2018) ; U.S. State Dep’t, Senior State Department Official on the 2018 Trafficking in Persons Report (June 28, 2018).

[2] Some of the prior reports about trafficking in Cuba are discussed in the following posts to dwkcommentariess.com: U.S. Upgrades Cuba in State Department’s Annual Report on Human Trafficking (Aug. 7, 2015); Comment: Cuba’s International Medical Mission Doctors’ Reflections (Nov. 30, 2015); U.S. State Department’s 2015 Human Trafficking Report’s Objectivity About Cuba Is Still Unresolved (Nov. 16, 2015); U.S. Reasserts Upgrade of Cuba in Annual Human Trafficking Report (July 2, 2016); U.S. Senate Hearing on 2016 Trafficking in Persons Report (July 20, 2016); Cuba’s Unchanged Status in U.S. State Department’s Annual Report on Human Trafficking (Aug. 13, 2017).

[3] The Report provides greater details on Cuba’s Prosecution, Protection and Prevention. (Report at 156-58.)

[4]  See these posts to dwkcommentaries.com about such mentions of bilateral discussions about human trafficking: This Week’s U.S.-Cuba Meetings in Havana (Jan. 18, 2015); U.S.-Cuba Bilateral Commission Sets Agenda for Future Discussions of Remaining Issues (Sept. 12, 2015); Results of Second Meeting of U.S.-Cuba Bilateral Commission (Nov. 11, 2015); United States-Cuba Bilateral Commission Meets To  Review Normalization Status (May 18, 2016); U.S. and Cuba Hold Another Meeting of the Bilateral Commission (Sept. 30, 2016); U.S. and Cuba Continue To Implement Normalization of Relations (Jan. 17, 2017); U.S. and Cuba Hold Biannual Migration Talks (Dec. 12, 2017); U.S. and Cuba Hold Discussions About Human Trafficking and Migration Fraud (Dec. 15, 2017); U.S. and Cuba Continue To Confer Over Common Concerns (Feb. 2, 2018).

 

 

Senate Hearing on the 2016 Human Trafficking Report

2016_Report_Cover_200_1

On July 12, the U.S. Senate Committee on Foreign Relations held a hearing about the recently released State Department’s 2016 Human Trafficking Report. After opening statements by the Committee’s Chair, Senator Bob Corker (Rep., TN), and its Ranking Member, Senator Ben Cardin (Dem., MD), the only witness was Ambassador Susan Coppedge.

Senator Corker’s Opening Statement[1]

 “The integrity of last year’s report was called into question because of controversy over how the Tier Rankings were made regarding certain countries.”

“This report and Tier Rankings are an improvement, and we thank you for your leadership in that regard and the way inter-departmentally people worked with each other. The decisions behind certain upgrades, such as Cyprus and the Philippines, and downgrades, such as Uzbekistan, Burma, and Luxembourg, are more balanced and strategic.”

“In the past, back and forth deliberations between the TIP office and the regional bureaus have been the rule. While less pronounced this year, that pattern still shows in how certain countries, such as India, Mexico and Malaysia, are ranked.”

“Each year, the TIP report makes recommendations for progress and turns these into tailored actions for our embassies. Rigorously applied TIP action plans should inform the tough calls on the Tier Rankings.”

“We encourage you to give a fair assessment of countries efforts to address trafficking this year, and we also hope you are candid with us in describing the challenges that still exist in certain countries.”

“This year’s report focuses especially on preventing modern slavery. This is important and needs to be part of substantially increasing international efforts to end modern slavery, which this committee unanimously supports and hopefully will come to fruition very quickly.”

Senator Cardin’s Opening Statement[2]

“Trafficking in persons is one of the great moral challenges of our time.  It destroys people and corrodes communities.  It distorts labor markets and undermines stability and the rule of law.  Trafficking is fueled by greed, violence, and corruption. According to the International Labor Organization, there are at least 21 million victims of modern slavery in the world.  Forced labor alone generates more than $150 billion in profits annually, making it one of the largest income sources for international criminals, second only to drug trafficking.”

Last year, we expressed significant concerns about the neutrality of the 2015 TIP report – primary among them, the decision to upgrade Cuba and Malaysia, from the Tier 3 designation to Tier 2 Watch List.” (Emphasis added.)

“After reviewing the 2016 TIP report, I believe it is a mixed bag.  We saw some aggressive evaluations in the 2016 report; yet, we still see remnants of the exact problems we had last year — pending bilateral concerns impacting the quality of the report.  Again despite little progress from Malaysia and Cuba, the State Department decided to keep both on Tier 2 Watch List this year after they were upgraded from Tier 3 in 2015. This was unnecessary and unwarranted. By contrast, for example, Uzbekistan was upgraded last year to the Tier 2 Watch List. But, as a result of continued government compelled forced labor by adults in the cotton harvest and aggressive harassment and detention of independent monitors, Uzbekistan was appropriately downgraded this year to Tier 3.”(Emphasis added.)

During the hearing Cardin later said that last year Cuba and Malaysia should not have been upgraded from Tier III to Tier II Watch List and should not have remained on that Watch List this year.

 Ambassador Coppedge’s Testimony[3]

 In her prepared testimony, Ambassador Coppedge stated, “Of the countries analyzed in the 2016 Report, 36 were placed on Tier 1, 78 on Tier 2, 44 on Tier 2 Watch List, and 27 on Tier 3. In all, there were 27 downgrades and 20 upgrades. No matter which tier a country is placed on, every nation can and should do more to combat human trafficking, which is why the Report offers recommendations for improvements for every country, even Tier 1 countries like the United States.”

In response to questions, the Ambassador described the process of ranking the countries, which involved collaboration among the people in U.S. embassies around the world and the TIP office at the State Department and arriving at consensus for such rankings for almost all countries. For the few instances of no consensus, the Secretary of State is presented optional rankings, and he or she chooses one of those options. She also testified that for the 2016 report there were no instances in which the Secretary rejected the consensus opinion and that there was only “a handful” of instances without a consensus view.

When Senator Menendez suggested possibly amending the governing statute to make the minimum standards stricter, the Ambassador disagreed. She said that the current statutory flexibility was desirable because of the number of issues and countries that were involved.

Most of the senatorial comments and questions focused on India and Malaysia with brief mention of Mauritania. In addition, the Ambassador summarized the reasons for this year’s downgrades of Burma, Haiti and Luxembourg.

Cuba was touched on by Senators Robert Menendez (Dem., NJ) and Marco Rubio (Rep., FL).[4] The Ambassador said she went to Cuba this past January and pressed officials about whether medical personnel on foreign missions were permitted to hold their own passports. She also noted, as stated in the report, that Cuba does not recognize forced labor as a problem, has no laws against that activity and no prosecutions or convictions in that area. Thus, on that issue it does not meet the U.S. statute’s “minimum standards.” Cuba, however, is making progress regarding sex trafficking, including law enforcement training, prosecutions and protection.

There also were cryptic comments about the Committee’s hearing regarding the prior year’s report and to a vigorous, closed hearing with last year’s witness, Deputy Secretary of State Anthony Blinken.[5] Senator Corker said in his opinion certain aspects of the 2015 report were driven by political considerations, rather than the TIP statute.

Immediately after the hearing Chairman Corker issued a press release.[6] It said that he had “noted improvements over last year’s report but argued for continued progress to strengthen the integrity of the Tier Rankings that will help support global efforts to fight human trafficking and end modern slavery.“ Corker “noted that more should be done to ensure recommendations from the TIP office about a country’s progress in combating trafficking are not overruled by political appointees within the State Department based upon other diplomatic considerations.”

Conclusion

Prior posts have reviewed the TIP’s reports assessments of Cuba’s record regarding human trafficking in 2015 and 2016 and mounted a vigorous and, in this blogger’s opinion, effective rebuttals of the contentions that Cuba was engaged in illegal forced labor with respect to its medical personnel on foreign missions.

As those prior posts indicate, these foreign medical missions spring from a Cuban objective of being in solidarity with people in need around the world while also building a community of international allies for the island and in more recent years being a major source of revenue for the Cuban government’s exports of services.

According to Granma, the newspaper of the Communist Party of Cuba, the country’s foreign medical missions started in 1960 when a Cuban medical brigade treated the victims of an earthquake in Chile, followed by the sending of another group in 1963, to provide health care in Algeria, then recently liberated from French colonial rule.

Through May 31, 2016, a total of 325,000 Cuban health personnel have provided medical services in 158 countries. There are currently 55,000 Cubans working in 67 countries, including more than 25,000 doctors. The Granma article provides a list of all the 158 countries with the number of Cuban medical personnel who have worked there.[7]

This year’s hearing did not examine those criticisms of the reports’ contention that Cuba was engaged in illegal forced labor on its foreign medical missions. Instead, the apparent assumption of all the senators at the hearings seemed to be that Cuba was so engaged. Nothing, however, was said at this hearing to criticize or invalidate this blogger’s contention that there is no such illegal forced labor by Cuba.

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[1] Corker Opening Statement at Hearing on “Review of the 2016 Trafficking in Persons Report,” (July 12, 2016).

[2] Cardin Remarks at Trafficking in Persons Report Hearing (July 12, 2016)

[3] Coppedge, Testimony: Review of the 2016 Trafficking in Persons Report (July 12, 2016); Senate Foreign Relations Comm., Hearing: Review of the 2016 Trafficking in Persons Report (July 12, 2016)(video).

[4] Senator Rubio’s subsequent press release contained a transcript of his interchange with Ambassador Coppedge. (Rubio, Press Release: Rubio Presses State Department On 2016 Trafficking in Persons Report (July 12, 2016).) Senator Menendez in his press release “criticized the apparent politicization of the U.S. Department of State’s annual [TIP] Report, noting that Cuba, Malaysia and other nations continue to enjoy favorable status despite failures to meet minimum legal standards prescribed by Congress.” Menendez also announced his intent to introduce a bill to change the process for preparing the TIP report. (Menendez: TIP Report Can’t Be a ‘Shell Game’ (July 12, 2016).)

[5] The Senate Committee’s closed hearing in 2015 with Deputy Secretary Blinken was touched on in a prior post.

[6] Corker: Continued Progress Needed to Strengthen Integrity of Human Trafficking Report (July 12, 2016).

[7] Barbosa, Cuba’s international health cooperation, Granma (July 15, 2016),

 

U.S. Reasserts Upgrade of Cuba in Annual Report on Human Trafficking  

On June 30, 2016, the U.S. Department of State released its 2016 Trafficking in Persons Report, which is “the U.S. Government’s principal diplomatic tool to engage foreign governments on human trafficking” and “ the world’s most comprehensive resource of governmental anti-human trafficking efforts.”[1]

For this Report, “severe forms of trafficking in persons” is defined in the U.S. Trafficking in Persons Victims Act (TVPA) as:

  • “sex trafficking in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such an act has not attained 18 years of age; or
  • “the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.”

In this Report, the Department placed 188 countries (including the United States) into the following four tiers plus “Special Cases” (Libya, Somalia and Yemen) based on the extent of their governments’ efforts to comply with the “minimum standards for the elimination of trafficking” found in Section 108 of the TVPA:

  • TIER 1 [36] “countries whose governments fully meet the . . . [TVPA’s] minimum standards.”
  • TIER 2 [78] “countries whose governments do not fully meet the TVPA’s minimum standards, but are making significant efforts to meet those standards.”
  • TIER 2 WATCH LIST [44] “countries whose governments do not fully meet the TVPA’s minimum standards, but are making significant efforts to meet those standards AND: a) The absolute number of victims of severe forms of trafficking is very significant or is significantly increasing; b) There is a failure to provide evidence of increasing efforts to combat severe forms of trafficking in persons from the previous year, including increased investigations, prosecution, and convictions of trafficking crimes; increased assistance to victims; and decreasing evidence of complicity in severe forms of trafficking by government and convictions of trafficking crimes; or c) The determination that a country is making significant efforts to meet the minimum standards was based on commitments by the country to take additional future steps over the next year.”
  • TIER 3 [27] “countries whose governments do not fully meet the minimum standards and are not making significant efforts to do so.”

Susan Coppedge, the U.S. Ambassador-at-Large to Monitor and Combat Trafficking in Persons, made remarks at the ceremony.[2] She said the Report was the U.S.’ “principal diagnostic tool to assess government efforts across what we call the three Ps: prosecution, protection and empowerment of victims, and preventing future trafficking crimes.” She also said there had been 27 downgrades in this Report compared with the prior report and 20 upgrades. In addition, she responded to journalists’ questions, but none was asked about Cuba.

The Report’s Assessment of Cuba’s Record on Human Trafficking [3]

In the 2016 Report Cuba was again placed in the Tier 2 Watch List with the following explanation.

“Cuba is a source and destination country for adults and children subjected to sex trafficking and forced labor. Child sex trafficking and child sex tourism occur within Cuba. Cuban authorities report people from ages 13 to 20 are most vulnerable to human trafficking in the country. Traffickers also subject Cuban citizens to sex trafficking and forced labor in South America and the Caribbean. The government indirectly acknowledged the presence of foreign national trafficking victims in Cuba. The government is the primary employer in the Cuban economy, including in foreign medical missions that employ more than 84,000 workers and constitute a significant source of Cuban government revenue. Some participants in foreign medical missions and other sources allege Cuban officials force or coerce participation in the program; however, the Cuban government and some participants say the program is voluntary and well paid compared to jobs within Cuba. The government uses some high school students in rural areas to harvest crops and does not pay them for their work but claims this work is not coerced.”

“The Government of Cuba does not fully meet the minimum standards for the elimination of trafficking; however, it is making significant efforts to do so. Despite these measures, the government did not demonstrate overall increasing antitrafficking efforts compared to the previous reporting period; therefore Cuba is placed on Tier 2 Watch List for the second consecutive year. The government reported continued efforts to address sex trafficking, including the prosecution and conviction of 18 sex traffickers in 2014 (the most recent available data) and the provision of services to 13 victims in those cases. The government publicly released a written report on its anti-trafficking efforts in October 2015. Multiple ministries engaged in anti-trafficking efforts, including the Ministries of Justice, Information Science and Communication, Interior, Foreign Affairs, Education, Tourism, Labor and Social Security, Culture and Health, and the attorney general’s office. The penal code does not criminalize all forms of human trafficking, although the government reported its submission of some trafficking-related penal code amendments to the National Assembly for review during the reporting period. The Cuban government was more transparent in providing details of anti trafficking efforts and the government’s overseas medical missions program. However, the government did not prohibit forced labor, report efforts to prevent forced labor, or recognize forced labor as a possible issue affecting its nationals in medical missions abroad. The government provided funding for child protection centers and guidance centers for women and families, which serve all crime victims, including trafficking victims. These centers had the ability to screen cases, make referrals to law enforcement, assist with arranging cooperation with law enforcement up to prosecution, and provide victim services.”

RECOMMENDATIONS FOR CUBA

“Draft and enact a comprehensive anti-trafficking law that prohibits and sufficiently punishes all forms of human trafficking, including forced labor, sex trafficking of children ages 16 and 17, and the full range of trafficking “acts” (recruiting, transporting, transferring, harboring, or receiving persons); vigorously investigate and prosecute both sex trafficking and forced labor offenses; provide specialized training for managers in state-owned or controlled enterprises in identifying and protecting victims of forced labor; implement policies to prohibit force, fraud, or coercion in recruiting and retaining employees in such enterprises; train those responsible for enforcing the labor code to screen for trafficking indicators and educate workers about trafficking indicators and where to report trafficking-related violations; draft and adopt a comprehensive written national anti-trafficking action plan and dedicate resources to implement it in partnership with international organizations; provide specialized victim identification and referral training for first responders; establish formal policies and procedures to guide officials in the identification of all trafficking victims and their referral to appropriate services; adopt policies that provide trafficking-specific, specialized assistance for male and female trafficking victims, including measures to ensure identified sex and labor trafficking victims are not punished for unlawful acts committed as a direct result of being subjected to sex trafficking or forced labor; and schedule a visit and cooperate with the UN special rapporteur on trafficking in persons.”

PROSECUTION: The government sustained law enforcement efforts by prosecuting and convicting sex traffickers, but took no action to address forced labor. The penal code does not criminalize all forms of trafficking, in particular forced labor and sex trafficking of children ages 16 and 17. The government did not report any labor trafficking investigations, prosecutions, or convictions. In January 2016, the government reported it was in the process of amending the code, including submitting amendments to the National Assembly to raise the age of consent; it is unclear whether the government will make additional amendments to improve the legal framework to address trafficking. Cuba prohibits some forms of trafficking through several penal code provisions, including: article 302 (procuring and trafficking in persons); article 310.1 (corruption of minors younger than 16 for sexual purposes); article 312.1 (corruption of minors younger than 16 for begging); and article 316.1 (sale and trafficking of a child younger than 16). The penal code’s definition of sex trafficking conflates sex trafficking with prostitution and pimping. The law criminalizes inducement to or benefiting from prostitution, but treats force, coercion, and abuse of power or vulnerability as aggravating factors rather than an integral part of the crime. Legal provisions addressing “corruption of minors” criminalize many forms of child sex trafficking but define a child as an individual younger than 16 years of age; below the age set in international trafficking law, which is 18 years of age. Forced prostitution is illegal irrespective of the victim’s age, and the government has reportedly prosecuted individuals benefiting from child sex trafficking. Provisions for adult and child sex trafficking do not explicitly criminalize the acts of recruitment, transport, and receipt of persons for these purposes. In December 2013, the government amended article 346.1 of the criminal code to mandate sentences of five to 12 years’ imprisonment for various crimes, including for laundering funds obtained from trafficking in persons. Labor code article 116 prohibits entities from directly establishing labor relations with adolescents younger than age 17, even if adolescents may be authorized to join the work force.”

“In 2015, the government publicly presented official data on 147 prosecutions and convictions of sex traffickers during calendar year 2014, the most recent data available. Authorities reported 13 prosecutions and 18 convictions of sex traffickers, compared with 13 prosecutions and convictions in 2013. At least nine convictions in 2014 involved suspects accused of subjecting children to trafficking within Cuba, including the facilitation of child sex tourism in Cuba. The average sentence was seven years’ imprisonment. The government also identified a group of Cubans abroad recruiting and transporting women with false promises of employment and fraudulent work contracts in order to subject the victims to debt bondage and forced prostitution. The government has not sought extradition in this case, and therefore no prosecutions or convictions of suspected traffickers in Cuba have resulted. Students at the Ministry of Interior Academy and police assigned to tourist centers reportedly received specific anti-trafficking training and victim assistance. The government demonstrated its willingness to cooperate with other governments on investigations of possible traffickers. The government arranges for high school students in rural areas to harvest crops and allegedly forces or coerces participation in medical missions, but it denies such claims. The government did not report any investigations, prosecutions, or convictions of government officials complicit in human trafficking in 2014.”

PROTECTION: The government sustained efforts to protect sex trafficking victims, but did not make efforts to identify or protect victims of forced labor. Authorities identified 11 child sex trafficking victims and four adult sex trafficking victims in 2014; it did not identify any labor trafficking victims or male sex trafficking victims. Identified sex trafficking victims received government assistance; detailed information on assistance provided to the 15 identified victims was unavailable. Other government-organized NGOs, like the Federation of Cuban Women (FMC), the Prevention and Social Assistance Commission, and the Committees for the Defense of the Revolution contributed by identifying victims of trafficking to state authorities and providing victim services. Independent members of civil society expressed concern about the government’s anti-trafficking efforts and  limited information on the scope of sex trafficking and forced labor in Cuba given sparse independent monitoring by NGOs and international organizations. The government reportedly developed procedures to proactively identify sex trafficking victims, whereby first responders work with social workers to identify potential cases and refer them to law enforcement.”

“The government did not report having procedures to proactively identify victims of forced labor. Some participants in foreign medical missions and other sources allege Cuban officials force or coerce participation in the program; however, the government and other participants have stated the postings are voluntary. In support of their applications to receive immigration benefits from the United States, some Cubans working in missions abroad have stated Cuban authorities withheld their passports and restricted their movements. At the same time, some participants who left medical missions abroad have been able to obtain new passports from their embassies in neighboring countries. There have also been reports that Cuban authorities coerced participants to remain in the program by allegedly threatening to revoke their medical licenses or retaliate against their family members if participants leave the program. Reports of substandard working and living conditions and the presence of “minders” to monitor medical professionals outside of work also continued. Last year, Cuba reinstituted restrictions on travel for specialized doctors and some medical personnel, requiring them to obtain an exit permit from their superiors before leaving the island. On September 9, 2015, the government agreed to reinstitute medical personnel that left their positions while abroad. As of April 1, 2016, the Cuban authorities claimed that 274 medical professionals returned to Cuba and were rehired at the same salary and level of responsibility.”

“The FMC received funding from international organizations and operated centers for women and families nationwide to assist individuals harmed by violence, including victims of sex trafficking. These centers provided services such as psychological treatment, health care, skills training, and assistance in finding employment. The government reportedly developed a referral process to transfer trafficking victims to law enforcement custody, secure evidence for prosecutions, and provide victim services and follow-on care. Neither the government nor the government-organized NGOs operated shelters or provided services specifically for male trafficking victims. Police encouraged child sex trafficking victims younger than age 16 to assist in prosecutions of traffickers by gathering children’s testimony through psychologist-led videotaped interviewing, usually removing the need for children to appear in court. There were no reports of the government punishing sex trafficking victims for unlawful acts committed as a direct result of being subjected to human trafficking. The government indirectly acknowledged the existence of some foreign trafficking victims in Cuba.”

PREVENTION: The government sustained prevention efforts to combat sex trafficking; however, authorities did not make efforts to prevent or address the demand for forced labor. The attorney general’s office continued to operate a 24-hour telephone line for individuals needing legal assistance, including sex trafficking victims, and received calls related to potential trafficking cases in 2015 that led to investigations. State media continued to produce newspaper articles and television and radio programs to raise public awareness about sex trafficking. Authorities maintained an office within the Ministry of Tourism charged with monitoring Cuba’s image as a tourism destination, combating sex tourism, and addressing the demand for commercial sex acts. The Cuban government cooperated with foreign law enforcement in investigating foreign citizens suspected of sexual crimes against children, including child sex trafficking. Under Cuban law, authorities may deny entry to suspected sex tourists and expel known sex offenders, but reported no related convictions in 2014. The government did not report whether it provided anti-trafficking training for its diplomatic personnel. The government publicly released a written report on its anti-trafficking efforts in October 2015. In March 2015, authorities invited the UN special rapporteur on trafficking in persons to visit, but the visit had not been scheduled by the end of the reporting period. The government did not report specialized training for labor inspectors to screen for indicators of potential forced labor.”

Reactions to the Report

Senator Bob Corker (Rep., TN), the Chairman of the Senate Foreign Relations Committee, attended the State Department’s ceremony for launching the Report and afterwards stated, “ the committee will closely study the report to determine the integrity of the findings. . . . In order for the TIP report to be an effective tool for holding governments accountable, all judgments must be based on measurable progress on anti-trafficking efforts. Following what were clear flaws in last year’s TIP process, the committee will carefully examine the 2016 report and conduct public hearings [this July] to determine the integrity of the findings. Senator Ben Cardin, (Dem., MD), the committee’s Ranking Member, also issued a statement approving of the Report’s upgrading Thailand from Tier 3 to Tier 2 Watch List and the downgrading of Uzbekistan from Tier 2 Watch List to Tier 3. He also expressed continuing concern about Malaysia. Neither of them said anything about Cuba.”[4]

Two other members of the Senate Foreign Relations Committee, Senators Robert Menendez (Dem., NJ), and Marco Rubio (Rep., FL), also issued statements. Menendez criticized the rankings for Malaysia, Cuba and unnamed other countries that “do not match the facts on the ground” and stated his expectation that “Congress . . . [will] be aggressive in its oversight and thoroughly investigate the methodology used to justify this year’s rankings.  Further, I am convinced that new legislation to reform the ranking process is the only way to restore credibility to this broken system and I plan on introducing a bill to do just that.” Rubio asserted that last year’s upgrade of Cuba to Tier 2 Watch List, and by implication its maintenance of that position in this Report, “was not justified by the facts on the ground.” He also criticized China’s maintenance on the Tier 2 Watch List and Thailand’s upgrading to that List.[5]

Conclusion

 The comments of Senators Corker, Menendez and Rubio allude to the Senate committee’s criticism of the prior report’s upgrading of Cuba and Malaysia from Tier 3 to Tier 2 Watch List and to the Administration’s alleged political reasons for doing so, all of which was discussed in a prior post.

At the State Department’s recent ceremony to announce the release of the 2016 Report U.S. Secretary of State John Kerry anticipatorily tried to rebut similar criticisms against this Report. He said, “The tier rankings . . . reflect our department’s best assessment of a government’s efforts to eliminate human trafficking. They don’t take into account political and other factors. As I say, they’re based on . . . [established] criteria. And in addition to the rankings, the report outlines our specific concerns as well as the ways we can improve our efforts. This is not meant to be a dunning report; it is meant to be a demarcation, an encouragement process, a process of evaluation and work towards changing rankings.”[6]

We all will have to see what happens at the forthcoming February hearing to assess these criticisms.

In the meantime, we can, in my opinion, effectively rebut this Report’s half-hearted contention that Cuban medical professionals are engaged in forced labor when they work on the government’s foreign medical missions. Here are the bases for that conclusion:

  • First, the Report admits that there is conflicting information and allegations on the foreign medical mission work. Coercion is alleged by “some participants” and unnamed “other sources.” On the other hand, the Report admits, the Cuban government denies these allegations, and instead the Government and “some participants” assert the postings are “voluntary and well paid compared to jobs within Cuba.” The Report also concedes there is conflicting information on whether other means, including withholding Cuban passports, are used to coerce or force participants to remain in the program.
  • Second, there apparently has not been any fair adjudicative process to determine which of these conflicting sets of information is valid.
  • Third, the accusation of forced labor for such participants has been rejected in a study by Indiana State University’s Emeritus Professor of International Politics and Latin America, Dr. H. Michael Erisman. He says, although there may be “some cases where . . . [Cuban medical professionals] are pressured into accepting overseas assignments, . . . most evidence indicates that the overwhelming majority are motivated by philosophical and/or pragmatic considerations. In the first instance, one needs to understand that the Cuban medical profession . . . is permeated by norms which stress self-sacrifice and service to the community, both at home and abroad. At the core of this ethos is the principle, which is firmly entrenched in the curriculum of the island’s medical schools and reinforced throughout one’s career, that health care should not be seen as a business driven by a profit motive, but rather as a human right that medical personnel have an unconditional duty to protect. Such convictions often underlie participation in the medical aid brigades. There are, however, also some pragmatic factors that can come into play. Overseas service could . . . help to further one’s professional aspirations and for some assignments the total remuneration involved is more generous than what is available back in Cuba. . . . [T]hese are the considerations which apply to the vast majority of people” in such programs, not involuntary servitude.[7]
  • Fourth, According to Granma, Cuba’s Communist Party’s newspaper, “Internationalist medical aid has been a longstanding part of the Cuban people’s tradition of solidarity, since the beginning of the Revolution. As early as 1960 a brigade was sent to Chile following an earthquake there, and to Algeria in 1963, to support the new country recently liberated from colonialism.” The Granma article included the reflection of four Cuban doctors who have participated in such missions and who treasure the positive impact of those experiences on their professional and personal lives.[8]
  • Fifth, this Report does not cite to the relevant legal definition of “forced labor” to assess this claim. Most pertinent is Article 2(2) of the Forced Labour Convention, 1930, which states, in part, ”the term forced or compulsory labour shall not include . . .  any work or service which forms part of the normal civic obligations of the citizens of a fully self-governing country.” (Emphasis added.)[9]

Moreover, as a previous post noted, a respected international journalist, Alma Guillermoprieto, recently reported that Cuban medical doctors serving on the island now earn $67 per month, but $500 per month when serving on a foreign medical mission.

The $67 monthly salary for Cuban physicians in Cuba compared with the $24 or $27 monthly income of other Cubans is a result of Cuba’s adoption of a “pyramid” compensation system whereby highly trained workers like physicians earn more than lower-skilled workers like busboys. This system, however, is being undermined by lower-skilled workers like gas-station attendants and waiters earning additional income from stealing and illegally selling gasoline and from earning tips in hard currency at restaurants and hotels serving foreign tourists. Indeed, Raúl Castro in his speech at the April 2016 Congress of the Communist Party of Cuba called this the “inverted pyramid” problem that had to be solved.

Finally all of this discussion about Cuba’s foreign medical mission program is precipitated by the U.S. Cuban Medical Personnel Parole Program that allows such personnel to apply for parole into the U.S. For reasons previously provided, this program is unjustified and should be ended as soon as possible.[10]

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[1] U.S. State Dep’t, Trafficking in Persons Report 2016 (June 30, 2016).

[2] U. S. State Dep’t, Ambassador-at-Large to Monitor and Combat Trafficking in Persons Susan Coppedge on the 2016 Trafficking in Persons Report (June 30, 2016).

[3] U.S. State Dep’t, Trafficking in Persons Report 2016 : Country Narratives–Cuba, at 146-47 (June 30, 2016).

[4] Senator Corker, Corker: U.S. Must Lead Global Effort to End Human Trafficking and Modern Slavery (June 30, 2016). Senator Cardin, Cardin Statement on State Dept. Trafficking in Persons Report (June 30, 2016).

[5] Senator Menendez, Menendez Reacts to State Department 2016 Trafficking in Persons Report (June 30, 2016); Senator Rubio, Rubio Comments On State Department’s 2016 Trafficking in Persons Report (June 30, 2016).

[6] U.S. State Dep’t, [Secretary Kerry’s] Remarks at the 2016 Trafficking in Persons Report Ceremony (June 30, 2016).

[7] Erisman, Brain Drain Politics: the Cuban Medical Professional Parole Programme, Int’l J. Cuban Studies 269, 286-87 (2012).

[8] Ledn, Cuban doctors share their experiences in internationalist missions, Granma (Nov. 26, 2015).

[9] This and other parts of the definition of “forced or compulsory labour” were reaffirmed in Article 1(3) of the Protocol of 2014 to the Forced Labour Convention, 1930.

[10] New York Times Calls for End of U.S. Program for Special Immigration Relief for Cuban Medical Personnel, dwkcommentaries.com (Nov. 23, 2014); New York Times Calls for End to Special U.S. Immigration Programs for Cubans, dwkcommentaries.com (Dec. 21, 2015).

 

 

U.S. Upgrades Cuba in State Department’s Annual Report on Human Trafficking

2015_TIP_REPORT_Cover_200_1On July 27 the U.S. Department of State released its 2015 Trafficking in Persons Report, which is “the U.S. Government’s principal diplomatic tool to engage foreign governments on human trafficking” and “ the world’s most comprehensive resource of governmental anti-human trafficking efforts.”

In this Report, the Department placed 187 countries into one of the following four tiers based on the extent of their governments’ efforts to comply with the “minimum standards for the elimination of trafficking” found in Section 108 of the Trafficking Victims Protection Act:

  • TIER 1 [Thirty-one] countries whose governments fully comply with the Trafficking Victims Protection Act’s (TVPA) minimum standards.
  • TIER 2 [Eighty-nine] countries whose governments do not fully comply with the TVPA’s minimum standards, but are making significant efforts to bring themselves into compliance with those standards.
  • TIER 2 WATCH LIST [Forty-four] countries whose governments do not fully comply with the TVPA’s minimum standards, but are making significant efforts to bring themselves into compliance with those standards AND: a) The absolute number of victims of severe forms of trafficking is very significant or is significantly increasing; b) There is a failure to provide evidence of increasing efforts to combat severe forms of trafficking in persons from the previous year; or c) The determination that a country is making significant efforts to bring itself into compliance with minimum standards was based on commitments by the country to take additional future steps over the next year.
  • TIER 3 [Twenty-three] countries whose governments do not fully comply with the minimum standards and are not making significant efforts to do so.”

At the Department’s release of this Report, Secretary of State John Kerry made comments. In part, he said, “the purpose of this document is not to scold and it’s not to name and shame. It is to enlighten and to energize, and most importantly, to empower people. . . . [We] want to bring to the public’s attention the full nature and scope of a $150 billion illicit trafficking industry. . . . We want to provide evidence and facts that will help people who are already striving to achieve reforms to alleviate suffering and to hold people accountable. We want to provide a strong incentive for governments at every level to do all that they can to prosecute trafficking and to shield at-risk populations.”

Additional comments and responses to journalists’ questions were provided at the launch of this Report by Sarah Sewell, Under Secretary of State for Civilian Security, Democracy and Human Rights. She pointed out that “in this year’s report, some 18 countries moved up in the tier rankings, some 18 countries moved down in the tier rankings” and quoted the above statutory definitions of the different rankings.

The Report’s Assessment of Cuba’s Record on Human Trafficking

In the 2015 Report Cuba was placed in the Tier 2 Watch List, which was an upgrade from the prior year’s report that had Cuba in Tier 3.[1] The new Report states that although “information on the scope of sex trafficking and forced labor in Cuba is limited, [c]hild sex trafficking and child sex tourism occur within Cuba. Cuban authorities report people from ages 13 to 20 are most vulnerable to human trafficking in Cuba. Traffickers also subject Cuban citizens to forced prostitution in South America and the Caribbean. . . . “

As a result, the Report concludes, “The Government of Cuba does not fully comply with the minimum standards for the elimination of trafficking; however, it is making significant efforts to do so. For the second consecutive year, the government reported efforts to address sex trafficking, including the prosecution and conviction of 13 sex traffickers in 2013 and the provision of services to victims in those cases. The Cuban government reported at the beginning of 2015 that the Ministry of Labor and Social Security assumed the lead role in a committee responsible for combating gender and sexual violence, including sex trafficking. The penal code does not criminalize all forms of human trafficking, though the government reported continuing efforts to amend its criminal code, including bringing it into conformity with the requirements of the 2000 UN TIP Protocol, to which it acceded in July 2013. . . .”

In addition, the Report states the Cuban “government did not report any trafficking-specific shelters, but offered services to trafficking victims through centers for women and families harmed by violence. The Federation of Cuban Women, a government affiliated non-governmental organization, provided some outreach and education about human trafficking within the context of violence against women, but did not specifically address it as a crime involving sex trafficking and forced labor or affecting men and boys.”

The Report’s forced labor allegation is focused on Cuba’s “foreign medical missions, which employ more than 51,000 workers in over 67 countries and constitute a significant source of Cuban government income. Some participants in foreign medical missions as well as other sources allege that Cuban officials force or coerce participation in the program; [but] the Cuban government denies these allegations. Some Cubans participating in these work missions have stated the postings are voluntary and well paid compared to jobs within Cuba. There have also been claims that Cuban authorities coerced participants to remain in the program, including by allegedly withholding their passports, restricting their movement, or threatening to revoke their medical licenses or retaliate against their family members in Cuba if participants leave the program. There are also claims about substandard working and living conditions and the existence of ‘minders’ to monitor victims outside of work. Some medical professionals participating in the missions are in possession of their passports when they apply for and obtain special United States visa and immigration benefits, indicating passport retention is not a consistent practice across all work missions.”

Consistent with its denial that its foreign medical missions involve forced labor, the Cuban government “did not recognize forced labor as a problem within Cuba and did not report efforts to prevent forced labor.”

The Report goes on to make the following recommendations for Cuba:  (1) “draft and pass a comprehensive anti-trafficking law that prohibits all forms of human trafficking, including an offense of forced labor;” (2) “vigorously investigate and prosecute sex trafficking and forced labor offenses;” (3) “schedule a visit and engage in robust discussions with the UN special rapporteur on trafficking in persons on all forms of human trafficking;” (4) “provide specialized training for managers in state owned or controlled enterprises in identifying and protecting victims of forced labor and implement policies to verify the absence of coercion in such enterprises;” (5) “train those responsible for enforcing the labor code to screen for trafficking indicators and educate workers about trafficking indicators and where to report trafficking-related violations;” (6) “strengthen efforts, in partnership with international organizations, to provide specialized victim identification and referral training for first responders; (7) establish formal policies and procedures to guide officials in the identification of all trafficking victims and their referral to appropriate services;” (8) “expand upon the Ministry of Labor and Social Security’s anti-trafficking responsibilities to include all forms of trafficking and male as well as female victims, and develop an action plan to address sex trafficking and forced labor for males and females;” and (9) “adopt policies that provide trafficking-specific, specialized assistance for male and female trafficking victims, including measures to ensure identified sex and labor trafficking victims are not punished for unlawful acts committed as a direct result of being subjected to sex trafficking or forced labor.”

Under Secretary Sewell, elaborating on this assessment of Cuba in response to a journalist’s question, said, “Cuba was upgraded to the Tier 2 Watch List because of the progress that the government’s made in addressing and prosecuting sex trafficking, as well as the commitments that the Cuban Government has made to become compliant with the minimum standards. As noted in other cases, a Tier 2 Watch List ranking does not mean that a country is free from problems or free from human trafficking.”

According to Sewell, the Cuban “government reported significant efforts to address sex trafficking, including the conviction of sex traffickers, the provision of services to sex trafficking victims, and continued efforts of the ministry of tourism to address sex tourism and the demand for commercial sex. We also recognize the commitments the government has made to reform its laws to become compliant with the UN Palermo Protocol, which is a significant step, as well as the Cuban Government’s willingness to welcome the UN special rapporteur to the island.”

Nevertheless, Sewell continued, the U.S. has “a number of concerns such as the failure to recognize forced labor as a problem or to act to combat it. And so this will be very much a topic in our dialogue with Cuban officials as we work over the next year to try to help Cuba make more concrete progress in the realm of human trafficking.”

Reactions to the Report’s Assessment of Cuba

News media immediately highlighted the Report’s upgrades of Malaysia and Cuba, and a New York Times editorial was most critical of the assessment of Malaysia. Some U.S. Senators and Representatives launched criticism of those assessments in particular. Prominent with respect to Cuba, as expected, was Senator Robert Menendez (Dem., NJ), who said that by upgrading Malaysia and Cuba the administration had “elevated politics over the most basic principles of human rights” and vowed to do all he could “from hearings to legislation to investigations” to challenge the moves.” Representative Chris Smith (Rep., NJ) was upset by the same upgrades as well as relatively lenient ratings for Vietnam and China and stated the report had “careened off into a new direction where the facts regarding each government’s actions in the fight against human trafficking are given almost no weight when put up against the president’s political agenda.” Similar criticism came from Senator Marco Rubio (Rep., FL). [2]

A Reuters investigation concluded that the State Department’s office responsible for the TIP reports was overruled by senior Department officials on 14 of the 18 upgrades, including Malaysia, Cuba, China, India, Uzbekistan and Mexico. The final decision on disputed rankings this year, said Reuters, was made in meetings attended by some of the State Department’s most senior diplomats, including Deputy Secretary of State Tony Blinken, Under Secretary of State for Political Affairs Wendy Sherman and Kerry’s Chief of Staff, Jonathan Finer.[3]

On July 29 the Chairman (Bob Corker (Rep., TN)) and the Ranking Member (Ben Cardin (Dem., MD)) of the Senate Foreign Relations Committee in a joint letter asked Secretary of State John Kerry for a briefing on the Report in order “to better understand” the basis for its upgrade of several countries, including Malaysia and Cuba. They added, “We recognize that U.S. policy and engagement on trafficking does not exist in a vacuum, and we appreciate the many varied and nuanced trade-offs that are necessary between competing policy issues. We also believe that it is critical that the impartial reliability of the TIP Report be safeguarded and maintained if it is to have utility on this critical issue in the future.” [4]

Senate Foreign Relations Committee Hearing

Under Secretary Sarah Sewell
Under Secretary           Sarah Sewell

On August 6 that Committee held a hearing on this subject with Under Secretary Sewell as its sole witness.[5]

She testified that in “most cases, this assessment process [of different countries’ record on human trafficking] clearly places governments into one of the tiers; in other cases, further discussion among senior Department officials is required to clarify information and assess the totality of government efforts. This ultimately leads to the Secretary of State’s designation of Tier rankings for each country and approval of the TIP Report. Tier rankings do not assess the severity of human trafficking in a given country, but rather that government’s efforts in addressing human trafficking problems over the current reporting period compared to its own efforts in the prior year. Determinations about the direction and quality of that progress in a given country are guided by complex criteria outlined in the TVPA and described on pages 45 through 50 of the TIP Report.”[6]

More specifically for the six countries, including Cuba, that moved up to Tier 2 Watch List this year, Sewell testified, “the Department closely evaluated the efforts those governments had made during the reporting period as well as the commitments they made for next year. Our posts are working with host governments to encourage them to implement the recommendations outlined in this year’s Report, and the TIP Office is finalizing assistance programming strategy to help make those recommendations a reality. I am receiving reports from the field on the frank and focused dialogues Embassy personnel are having with host government officials on how to overcome the challenges they face to better combat this crime and protect their citizens.”

With only Chairman Corker, Ranking Member Cardin and Senator Menendez in attendance, most of the questions focused on the upgrade of Malaysia. Corker, for example, said, “The administration’s policies toward those countries trumped any real regard for humans being trafficked.” The Department, he continued, “threw the trafficking phase under the bus to ensure that . . . [the Administration was] successful with [the Trans-Pacific Partnership (TPP) that included Malaysia].” [7] Menendez added a few comments and questions about the Cuba upgrade.

Sewell declined to answer questions about internal Department discussions about these upgrades and instead repeatedly emphasized that the statutory framework for tier rankings created a complex set of factors to be analyzed and that a Tier 2 Watch List ranking did not indicate a country had a great record on trafficking.[8]

At the conclusion of the hearing, Chair Corker said it had been the “most heartless, lacking of substance” presentation and that he and the two other Senators in attendance had the strong impression that inappropriate political considerations had influenced some or all of the tier upgrades. As a result, the Committee would be asking for the Department to produce records about its internal consideration of the tier rankings. Senator Cardin also said he was interested in exploring whether Congress should amend the relevant statutes in light of what a further hearing might disclose.

After the hearing, a State Department spokesman said that the Department was waiting for the committee to submit a formal request, “but speaking generally, of course we try to be responsive to Congress.”

Conclusion

I agree that the annual T.I.P. reports are important tools in combatting trafficking in persons and that these reports should be free of political influence. On the other hand, I believe that the relevant statutes appropriately create a complex set of factors that require analysis in reaching conclusions about placing countries in the different tiers and that it is appropriate for senior Department officials to be involved in that process.

With respect to Cuba, for at least the following reasons I disagree with the Report’s assertion that Cuban medical personnel’s participation in foreign medical missions is illegal forced labor:

  • First, the Report admits that “information on the scope of . . . forced labor in Cuba is limited.”
  • Second, the Report admits that there is conflicting information and allegations on the foreign medical mission work. Coercion is alleged by “some participants” and “other sources.” On the other hand, the Cuban government denies these allegations, and other participants “have stated the postings are voluntary and well paid compared to jobs within Cuba.” The Report also concedes there is conflicting information on whether other means, including withholding Cuban passports, are used to coerce or force participants to remain in the program.
  • Third, there apparently has not been any fair adjudicative process to determine which of these conflicting sets of information is valid.
  • Fourth, the accusation of forced labor for such participants has been rejected in a study by Indiana State University’s Emeritus Professor of International Politics and Latin America, Dr. H. Michael Erisman. He says, although there may be “some cases where . . . [Cuban medical professionals] are pressured into accepting overseas assignments, . . . most evidence indicates that the overwhelming majority are motivated by philosophical and/or pragmatic considerations. In the first instance, one needs to understand that the Cuban medical profession . . . is permeated by norms which stress self-sacrifice and service to the community, both at home and abroad. At the core of this ethos is the principle, which is firmly entrenched in the curriculum of the island’s medical schools and reinforced throughout one’s career, that health care should not be seen as a business driven by a profit motive, but rather as a human right that medical personnel have an unconditional duty to protect. Such convictions often underlie participation in the medical aid brigades. There are, however, also some pragmatic factors that can come into play. Overseas service could . . . help to further one’s professional aspirations and for some assignments the total remuneration involved is more generous than what is available back in Cuba. . . . [T]hese are the considerations which apply to the vast majority of people” in such programs, not involuntary servitude.[9]
  • Fifth, the Report does not cite to the relevant legal definition of “forced labor” to assess this claim. Most pertinent is Article 2(2) of the Forced Labour Convention, 1930, which states, in part, ”the term forced or compulsory labour shall not include . . .  any work or service which forms part of the normal civic obligations of the citizens of a fully self-governing country.” (Emphasis added.) [10] Cuba is a “fully self-governing country” and the participants in the foreign medical missions are Cuban “citizens,” and as Professor Erisman states, such participation is regarded as “part of the normal civic obligations” of such citizens with the appropriate medical qualifications.
  • Sixth, relevant to this issue, but not mentioned in the Report, is the fact that medical education in Cuba (at the Latin American School of Medicine) is free. As a result requiring medical graduates to pay the country back by such participation seems entirely appropriate and may indeed be a contractual or quasi-contractual obligation. Indeed, as Professor Erisman reports, Cuban medical professionals, especially doctors, may apply to leave Cuba after they have obtained their free medical education and thereafter provided three to five years of service in the country.

We now await the Committee’s formal request for Department documents, the production of such documents and additional hearings on the subject. In the meantime, as always, I welcome comments of correction or amplification.

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[1] A prior post examined in detail the prior human trafficking report about Cuba.

[2] Reuters, U.S. Softens View of Malaysia, Cuba in Human Trafficking Report, N.Y. Times (July 27, 2015); Reuters, Obama Administration Faces Criticism Over Human Trafficking Report, N.Y. Times (Aug. 3, 2015); Editorial: Obama Administration Ignores Malaysia’s Trafficking Record, N. Y. Times (July 31, 2015); Menendez, Press Release: Sen. Menendez on Human Trafficking Report Politicization (July 27, 2015); Rubio, Press Release: Rubio: State Department’s Human Trafficking Report Should Be Based on Reality Not Politics (July 27, 2015).

[3] Reuters, Special Report-U.S. State Department Watered Down Human Trafficking Report, N.Y. Times (Aug. 3, 2015).

[4] Reuters, Lawmakers Want State Briefing on Trafficking Report, N.Y. Times (July 29, 2015); U.S. Sen. Foreign Relations Comm., Press Release: Senators Cardin and Corker Request Briefing on State Department’s Trafficking in Person Report in Letter to Secretary Kerry (July 29, 2015); Reuters, Lawmakers to Demand Full Accounting on Human Trafficking Report, N.Y. Times (Aug. 4, 2015).

[5] Senate Foreign Relations Comm., Review of the 2015 Trafficking in Persons Report (Aug. 6, 2015); Hattem, Senators accuse State Dept. of picking politics over human trafficking, The Hill (Aug. 6, 2015); Reuters, Top Senator Demands State Department Documents on Human Trafficking Report, N.Y. Times (Aug. 6, 2015); Assoc. Press, Senators Demand Documents Over Malaysia Trafficking Upgrade, N.Y. Times (Aug. 6, 2015); Corker, Corker Fears Politicization of State Department’s 2015 Human Trafficking Report Over Questionable Upgrades (Aug. 2015); Cardin, Senator Cardin Statement Regarding 2015 Human Trafficking Report (Aug. 6, 2015).

[6] Sarah Sewell, Testimony to Senate Foreign Relations Committee (Aug. 6, 2015).

[7] Secretary of State Kerry, who was in Malaysia on the day of the hearing, categorically denied that politics had played any role in the ranking of Malaysia. “I personally signed off on it. And I had zero conversation with anybody in the administration about the Trans-Pacific Partnership relative to this decision — zero. The reason I made this decision was based on the recommendation of my team, because Malaysia has passed additional legislation in 2014, they’ve consulted with civil society, they drafted amendments to Malaysia’s anti-trafficking law in order to allow the country’s flawed victim protection regime to change.” (Assoc. Press, Kerry: Malaysia Trafficking Upgrade Not Due to Trade Talks, N.Y. Times (Aug. 6, 2015); Reuters, Kerry Says ‘Zero Communication’ on Trade Pact and Malaysian Trafficking Record,  N.Y. Times (Aug. 6, 2015).

[8] The text of the U.S. statutes regarding trafficking in persons is set forth on a State Department web page and the Report contains a summary of “forced labor” without any mention of the exceptions to the definition discussed below.

[9] Erisman, Brain Drain Politics: the Cuban Medical Professional Parole Programme, Int’l J. Cuban Studies 269, 286-87 (2012).

[10] This and other parts of the definition of “forced or compulsory labour” were reaffirmed in Article 1(3) of the Protocol of 2014 to the Forced Labour Convention, 1930.

 

 

U.S.’ Latest Assessment of Cuba’s Record on Human Trafficking

As mentioned in a prior post about the recent U.S. Department of State’s Trafficking in Persons Annual Report 2014, the Department gave Cuba the worst ranking (Tier 3). This post examines that assessment (Report at 148-50).

Positive Aspects of Cuban Record on Trafficking

Even though the Report reached an overall negative evaluation of Cuba’s record on this subject, a close examination of the Report uncovers many positive comments about that record.

First, the Report admits that on July 20, 2013, Cuba acceded to the 2000 UN TIP Protocol, a key multilateral treaty on the subject.[1]

The Report conceded that Cuba prohibits some forms of human trafficking through the following laws: Article 299.1 (pederasty with violence); Article 300.1 (lascivious abuse); Article 302 (procuring and trafficking in persons); Article 303 (sexual assault); Article 310.1 (corruption of minors for sexual purposes); Article 312.1 (corruption of minors for begging); and Article 316.1 (sale and trafficking of a child under 16).

The Report also acknowledges that other parts of the Cuban penal code cover sex trafficking, but then engages in a microscopic criticism of that code because it supposedly does not meet what the U.S. regards as the ideal set of such laws.[2]

Moreover, the Report states that the Cuban government has advised the U.S. that Cuba “intends to amend its criminal code to ensure that it is in conformity with the requirements of the 2000 UN TIP Protocol.” This will be a part of the process “of generally revising its criminal code.” Presumably those forthcoming amendments should satisfy at least some, if not all, of the detailed U.S. criticisms.

The Report says, “For the first time, [in October 2013] the [Cuban] government presented official data on investigations and prosecutions of sex trafficking offenses and convictions of sex trafficking offenders. In 2012, the year covered by . . .[that] official Cuban report, the government reported 10 prosecutions and corresponding convictions of sex traffickers. At least six of the convictions involved nine child sex trafficking victims within Cuba, including the facilitation of child sex tourism in Cuba. The average sentence was nine years’ imprisonment. The government reported that a government employee (a teacher) was investigated, prosecuted, and convicted of a sex trafficking offense. There were no reported forced labor prosecutions or convictions.”

“Victims under 18,” says the U.S. Report, “were clearly identified by the Cuban government in 2012 as trafficking victims, and the perpetrators of these crimes were punished more severely in some cases when the victim was younger than 16.”

The Report continues, Cuban “child protection specialists reportedly provided training to police academy students. Students at the Ministry of Interior academy and police who were assigned to tourist centers reportedly received specific anti-trafficking training. The government reported that employees of the Ministries of Tourism and Education received training to spot indicators of trafficking, particularly among children engaged in commercial sex. The government demonstrated its willingness to cooperate with other governments on investigations of possible traffickers.”

Another concession in the Report was its acknowledging that “the Federation of Cuban Women, a government entity that also receives funding from international organizations, operates 173 Guidance Centers for Women and Families nationwide and reported that these centers provided assistance to 2,480 women and families harmed by violence, including victims of trafficking. These centers assisted the women from their initial contact with law enforcement through prosecution of the offenders. Social workers at the Guidance Centers provided services for victims of trafficking and other crimes such as psychological treatment, health care, skills training, and assistance in finding employment. The four adult trafficking victims identified by the Cuban government reportedly received services at these Guidance Centers.”

Cuban “authorities reported that the Ministry of Education identified other sex trafficking cases while addressing school truancy incidents.”

“The [Cuban] government made efforts to protect victims during the reporting period. Authorities reported that they identified nine child sex trafficking victims and four adult sex trafficking victims linked to the 2012 convictions; authorities reported no identified labor trafficking victims or male victims. Though the government had systems in place to identify and assist a broader group of vulnerable women and children, including trafficking victims, the government did not share any documentation of trafficking-specific procedures to guide officials in proactively identifying trafficking victims among vulnerable groups and referring them to available services.”

“The [Cuban] police encouraged child trafficking victims under the age of 17 to assist in prosecutions of traffickers by operating three facilities where law enforcement and social workers worked together to support the collection of testimony and the treatment of sexually and physically abused children. These victim-centered facilities gathered children’s testimony though psychologist- led videotaped interviewing, usually removing the need for children to appear in court. In addition to collecting testimony, government social workers developed a specific plan for the provision of follow-on services. The facilities assisted the nine identified child trafficking victims and reportedly referred them to longer term psychological care, shelter, and other services as needed.”

“The [Cuban] government asserted that none of the identified victims were [sic] punished, and authorities reported having policies that ensured identified victims were not punished for crimes committed as a direct result of being subjected to human trafficking. There were no reports of foreign trafficking victims in Cuba.”

The Cuban government also “launched a media campaign to educate the Cuban public about trafficking and publicized its anti- trafficking services.” More specifically, according to the U.S. Report, Cuban “state media produced newspaper articles and television and radio programs to raise public awareness about trafficking. Senior public officials, including the Minister of Justice, publicly raised the problem of trafficking. The government maintained an Office of Security and Protection within the Ministry of Tourism charged with monitoring Cuba’s image as a tourism destination and combating sex tourism.”

Negative Aspects of Cuba’s Record

According to the Report, “Cuba is a source country for adults and children subjected to sex trafficking . . . . Child prostitution and child sex tourism occur within Cuba. Cuban authorities report that young people from ages 13 to 20 are most vulnerable to human trafficking in Cuba. Cuban citizens have been subjected to forced prostitution outside of Cuba.”

In addition, the Report addresses the issue of whether or not Cuba engages in forced labor, and an objective reading of that portion of the Report leads to the conclusion that there is no proof of such a practice. The Report asserts that “Cuba is a source country for adults and children subjected to . . . possibly forced labor.” There have been “allegations of coerced labor with Cuban government work missions abroad; the Cuban government denies these allegations. Some Cubans participating in the work missions have stated that the postings are voluntary, and positions are well paid compared to jobs within Cuba. Others have claimed that Cuban authorities have coerced them, including by withholding their passports and restricting their movement. Some medical professionals participating in the missions have been able to take advantage of U.S. visas or immigration benefits, applying for those benefits and arriving in the United States in possession of their passports—an indication that at least some medical professionals retain possession of their passports. Reports of coercion by Cuban authorities in this program do not appear to reflect a uniform government policy of coercion; however, information is lacking. The government arranges for high school students in rural areas to harvest crops, but claims that this work is not coerced.” (Emphases added.)

The scope of trafficking involving Cuban citizens is difficult to verify because of sparse independent reporting . . . .”

As previously mentioned, the Report criticizes Cuba for not having a comprehensive set of laws on the subject. The Report says that although the “Government of Cuba prosecuted and convicted sex trafficking cases, . . . its overall effort was hampered by the absence of a comprehensive legal framework that criminalizes all forms of human trafficking.” The same point was put this way: the “government has yet to establish a legal and policy framework prohibiting all forms of human trafficking and providing explicit victim protections.”

“The government did not operate any shelters or services specifically for adult trafficking victims.”

“The government did not report the existence of an established anti-trafficking task force or structured monitoring mechanism.”

The Report concludes that the “Government of Cuba does not fully comply with the minimum standards for the elimination of trafficking 3] and is not making significant efforts [4] to do so.” The italicized phrases have complex statutory definitions, but the U.S. Report did not say what specific elements of these definitions allegedly were not satisfied, and I will not attempt to identify those elements based upon the rest of the Report.

U.S. Recommendations for Cuba

The U.S. Report made the following recommendations for Cuba:

  • “Revise existing anti-trafficking laws to incorporate a definition of trafficking that is consistent with the 2000 UN TIP Protocol; adopt a definition of a minor for the purposes of human trafficking consistent with the Protocol (under 18 years),” but Cuba, as previously noted, already has said it would be doing so this year.
  • “[C]ontinue and strengthen efforts, in partnership with international organizations, to provide specialized training for police, labor inspectors, social workers, and child protection specialists in identifying and protecting victims of sex trafficking and forced labor, including by having in place clear written policies and procedures to guide officials in the identification of trafficking victims, regardless of age or gender, and their referral to appropriate services;” but as the first word of this recommendation admits, Cuba already is doing most, if not all, of these activities according to the U.S. Report.
  • “[A]dopt policies that provide trafficking-specific, specialized assistance for male and female trafficking victims, including measures to ensure identified sex and labor trafficking victims are not punished for unlawful acts committed as a direct result of being subjected to sex trafficking or forced labor;”
  • “[E]nact and implement policies to ensure no use of coercion in Cuban work-abroad missions,” but the Report had admitted that Cuba denies that it uses coercion;
  • “[P]rovide specialized training for managers of work-abroad missions in identifying and protecting victims of forced labor;”
  • “[C]riminally prosecute both sex trafficking and forced labor; and
  • “C]ontinue funding and expand the victim-centered practices of three government facilities for collection of testimony of young children.

Cuba’s Reaction

On June 20th the Cuban Ministry of Foreign Affairs responded to the above U.S. assessment. It said the U.S. ignored “the recognition and prestige of our country for their outstanding role in child protection performance, youth and women.”

The Cuban statement noted that Cuba had not requested the U.S. assessment or needed recommendations from the U.S., which was “one of the countries with the greatest problems of trafficking of children and women in the world.” The U.S. “has no moral [right] to rate Cuba, nor to suggest [a] plan of any kind, when it is estimated that the number of U.S. citizens who are trafficked within the country is close to 200,000, where labor exploitation is . . . widespread . . ., where 85% of the [U.S.} legal process . . . [on] this topic are cases of sexual exploitation, and where more than 300 thousand children, [plus] the million who leave their homes, are subject to any form of exploitation.”

“The Government of Cuba categorically rejects as unfounded the [U.S.] unilateral exercise that offends our people. Inclusion [of Cuba] on this list [is] totally politically motivated, as is the designation of Cuba as a state sponsor of international terrorism.” The U.S. Tier 3 designation of Cuba “is aimed to justify the policy of blockade” and “financial sanctions, [which] the Government of the United States increasingly intensifies, causing severe damages to our children, youth, women and all our people.”

Conclusion

Cuba’s statement correctly and legitimately points out that it had never requested the U.S. to assess Cuba’s record on this subject or to make recommendations to Cuba.

Instead, Cuba as a member of the U.N. and its Human Rights Council and as a party to the 2000 UN TIP Protocol implicitly, if not explicitly, has consented to such assessments and recommendations from the Council’s Special Rapporteur on trafficking in persons, especially in women and children, whose mandate includes promoting “the prevention of trafficking in persons in all its forms and the adoption of measures to uphold and protect the human rights of victims; . . . [and making] recommendations on practical solutions with regard to the implementation of the rights relevant to the mandate, including by the identification of concrete areas and means for international cooperation to tackle the issue of trafficking in persons. . . .”

One of the methods for implementation this mandate is for the Special Rapporteur to undertake “country visits in order to study the situation in situ and formulate recommendations to prevent and or combat trafficking and protect the human rights of its victims in specific countries.” Such a visit to Cuba has not yet happened, but it could be done and provide the evaluator with actual experience on the island with the cooperation of the Cuban government, which the U.S. Department of State, of course, did not have.

In any event, I do not have information sufficient to confirm or deny the U.S. assessment of Cuba on human trafficking or Cuba’s rejection of same, but the previously mentioned “unpacking” of the U.S. Report itself leads this reader to conclude that the overall worst rating for Cuba is not justified. Perhaps the U.S. authorizing statute for this report and Cuba’s not yet having amended its criminal code to comply with the UN TIP Protocol meant the State Department was legally unable to give Cuba a different ranking.

Accepting everything said about Cuba in the Report and assuming the State Department legally was unable to give Cuba a higher ranking, it would have been much more productive, in my opinion, for the Report to have said something like the following:

  • The U.S. applauds Cuba for making significant progress on combatting human traffic in 2013. It acceded to the UN TIP Protocol and is in the process of determining how to revise its criminal code to comply with that Protocol. It has prosecuted individuals for violations of its existing laws and has established centers to care for victims of trafficking. It has issued a public report about these prosecutions, has aided and protected victims of these crimes, provided appropriate training to various Cubans to help them identify such situations and conducted media campaigns to educate the public about these matters.
  • The U.S. regrets that U.S. laws governing this Report require this year’s Tier 3 ranking for Cuba, but we anticipate and hope that this will be the last such ranking for the proud Cuban government and people.
  • Because Cuba already is well on the way to improving its laws and practices regarding human trafficking, there is no need for the U.S. to be making recommendations on this subject to Cuba. If, however, Cuba would like any U.S. assistance on this important subject, the U.S. would be glad to respond.

Yes, State Department, such a statement would have been more diplomatic too.

=====================================================

[1] UN TIP Protocol or PROTOCOL TO PREVENT, SUPPRESS AND PUNISH TRAFFICKING IN PERSONS, ESPECIALLY WOMEN AND CHILDREN, SUPPLEMENTING THE UNITED NATIONS CONVENTION AGAINST TRANSNATIONAL ORGANIZED CRIME. This Protocol was adopted because of the conviction that “supplementing the United Nations Convention against Transnational Organized Crime with an international instrument for the prevention, suppression and punishment of trafficking in persons, especially women and children, will be useful in preventing and combating that crime.” There are now 159 states parties, including the U.S. and Cuba, the latter of which acceded with a declaration that, “in accordance with the provisions of Article 15, paragraph 3 of the Protocol, it does not consider itself bound by the provisions of paragraph 2 of that Article” that requires that “[a]ny dispute between two or more States Parties concerning the interpretation or application of this Protocol that cannot be settled through negotiation within a reasonable time shall . . . [under certain conditions] be submitted to arbitration [or] the International Court of Justice.”

[2] The Report says the Cuban “definition of sex trafficking appears to conflate sex trafficking with prostitution and pimping. The law criminalizes adult sex trafficking achieved through force, coercion, or abuse of power or a position of vulnerability, although the use of such means is considered an aggravating factor (to a crime of inducing or benefitting from prostitution), not an integral part of the crime. It does not explicitly include the use of fraud and physical force within the list of aggravating factors that make coercion of prostitution a crime. The provision addressing corruption of minors encompasses many of the forms of child sex trafficking, but its definition of a minor as a child under 16 years old is inconsistent with the definition under the 2000 UN TIP Protocol, which defines a child as any person under the age of 18; this means 16- and 17-year-olds engaged in prostitution for the benefit of a third party would not necessarily be identified as trafficking victims. Although anyone inducing children between the ages of 16 and 18 to engage in prostitution would not be identified as traffickers under Cuban law, forced prostitution is illegal irrespective of age of the victim, and the government has prosecuted individuals benefitting from the prostitution of children.” In addition, the U.S. says,” Both adult and child sex trafficking provisions fail explicitly to criminalize recruitment, transport, and receipt of persons for these purposes.”

[3] The above statutory phrase means: (1)“The government of the country should prohibit severe forms of trafficking in persons and punish acts of such trafficking.” (2)“For the knowing commission of any act of sex trafficking involving force, fraud, coercion, or in which the victim of sex trafficking is a child incapable of giving meaningful consent, or of trafficking which includes rape or kidnapping or which causes a death, the government of the country should prescribe punishment commensurate with that for grave crimes, such as forcible sexual assault.” (3) “For the knowing commission of any act of a severe form of trafficking in persons, the government of the country should prescribe punishment that is sufficiently stringent to deter and that adequately reflects the heinous nature of the offense.” (4) “The government of the country should make serious and sustained efforts to eliminate severe forms of trafficking in persons.”

[4] The above phrase apparently is a short-hand reference to the statutory phrase–“serious and sustained efforts to eliminate severe forms of trafficking in persons”—which has its own statutory definition.

U.N. Human Rights Committee’s Concluding Observations on U.S. Human Rights

As discussed in a prior post, in March 2014, the United Nations’ Human Rights Committee (the Committee) issued a negative evaluation of how the United States of America (U.S.) was implementing and complying with the International Covenant on Civil and Political Rights (ICCPR or Covenant), which is regarded as an important part of the International Bill of Rights. That prior post reviewed the background of the ICCPR and the events leading up to the Committee’s evaluation. Another post looked at the Committee’s recent hearings regarding U.S. human rights.

Now we examine the Committee’s report of concluding observations that resulted from the hearings and all the evidence on that subject.

The Committee’s Concluding Observations[1]

After considering the written materials and the testimony and remarks at the hearing, on March 26, 2014, the Committee adopted its 11-page report (Concluding observations on the fourth report of the United States of America). Given the hostile nature of the Committee members’ comments during the hearing, it is not surprising that the report was very critical of the U.S.[2]

With respect to various topics, the Committee expressed its regrets or concerns about the U.S. record and then made the recommendations outlined below.

Applicability of the Covenant at national level.[3] The U.S. should: “(a) Interpret the Covenant in good faith, in accordance with the ordinary meaning to be given to its terms in their context, including subsequent practice, and in the light of its object and purpose and review its legal position so as to acknowledge the extraterritorial application of the Covenant under certain circumstances . . . .(b) [I]dentify ways to give greater effect to the Covenant at federal, state and local levels, taking into account that the obligations under the Covenant are binding on the State party as a whole. . . . (c) [E]nsure that effective remedies are available for violations of the Covenant, including . . . proposing to the Congress implementing legislation to fill any legislative gaps. . . . [and considering] acceding to the Optional Protocol to the Covenant providing for an individual communication procedure. [4] (d) Strengthen and expand existing mechanisms mandated to monitor the implementation of human rights at federal, state, local and tribal levels . . . . (e) Reconsider its position regarding its reservations and declarations to the Covenant with a view to withdrawing them.”[5]

Accountability for past human rights violations. The U.S. should: “[E]nsure that all cases of unlawful killing, torture or other ill-treatment, unlawful detention, or enforced disappearance are effectively, independently and impartially investigated, that perpetrators, including, in particular, persons in command positions, [6] are prosecuted and sanctioned, and that victims are provided with effective remedies. The responsibility of those who provided legal pretexts for manifestly illegal behavior should also be established. [7] The State party should also consider the full incorporation of the doctrine of ‘command responsibility’ in its criminal law and declassify and make public the report of the Senate Special Committee on Intelligence into the CIA secret detention programme.”

Racial disparities in the criminal justice system and Racial profiling. The U.S. should: “[R]obustly address racial disparities in the criminal justice system . . . [and] effectively combat and eliminate racial profiling by federal, state and local law enforcement officials . . . .”[8]

Death penalty. The U.S. should: “(a) take measures to effectively ensure that the death penalty is not imposed as a result of racial bias; (b) strengthen safeguards against wrongful sentencing to death and subsequent wrongful execution by ensuring inter alia effective legal representation for defendants in death penalty cases, including at the post-conviction stage; (c) ensure that retentionist states [those that maintain the death penalty] provide adequate compensation for the wrongfully convicted; (d) ensure that lethal drugs for executions originate from legal, regulated sources, and are approved by the U.S. Food and Drug Administration (FDA) and that information on the origin and composition of such drugs is made available to individuals scheduled for execution; [9] (e) consider establishing a moratorium on the death penalty at the federal level and engage with retentionist states with a view to achieving a nationwide moratorium;” [f] Consider acceding to on the Second Optional Protocol to the Covenant aiming at the abolition of the death penalty on or before July 11, 2116, the 25th anniversary of its entry into force.

Targeted killing using unmanned aerial vehicles (drones). The U.S. should: “revisit its position regarding legal justifications for the use of deadly force through drone attacks [and] . . . (a) ensure that any use of armed drones complies fully with its obligations under article 6 of the Covenant, including in particular with respect to the principles of precaution, distinction and proportionality in the context of an armed conflict; (b) subject to operational security, disclose the criteria for drone strikes, including the legal basis for specific attacks, the process of target identification and the circumstances in which drones are used; (c) provide for independent supervision and oversight over the specific implementation of regulations governing the use of drone strikes; (d) in armed conflict situations, take all feasible measures to ensure the protection of civilians in specific drone attacks and to track and assess civilian casualties, as well as all necessary precautionary measures in order to avoid such casualties; (e) conduct independent, impartial, prompt and effective investigations of allegations of violations of the right to life and bring to justice those responsible; (f) provide victims or their families with an effective remedy where there has been a violation, including adequate compensation, and establish accountability mechanisms for victims of allegedly unlawful drone attacks who are not compensated by their home governments.”

Gun violence. The U.S. should: “[T]ake all necessary measures to abide by its obligation to effectively protect the right to life. . . . [including] (a) continue its efforts to effectively curb gun violence, including through the continued pursuit of legislation requiring background checks for all private firearm transfers in order to prevent possession of arms by persons recognized as prohibited individuals under federal law . . . ; and (b) review Stand Your Ground Laws to remove far-reaching immunity and ensure strict adherence to the principles of necessity and proportionality when using deadly force in self-defence.”

Excessive use of force by law enforcement officials. The U.S. should: “(a) step up its efforts to prevent the excessive use of force by law enforcement officers by ensuring compliance with the 1990 UN Basic Principles on the Use of Force and Firearms by Law Enforcement Officers; (b) ensure that the new CBP [U.S. Customs and Border Protection] directive on use of deadly force is applied and enforced in practice; and (c) improve reporting of excessive use of force violations and ensure that reported cases of excessive use of force are effectively investigated, alleged perpetrators are prosecuted and, if convicted, punished with appropriate sanctions, that investigations are re-opened when new evidence becomes available, and that victims or their families are provided with adequate compensation.”

Legislation prohibiting torture. The U.S. should: “[E]nact legislation to explicitly prohibit torture, including mental torture, wherever committed and ensure that the law provides for penalties commensurate with the gravity of such acts, whether committed by public officials or other persons acting on behalf of the State, or by private persons. . . . [and] ensure the availability of compensation to victims of torture.”[10]

Non-refoulment [ban on returning persecuted to persecutor]. The U.S. should: “[S]trictly apply the absolute prohibition against refoulement under articles 6 and 7 of the Covenant, [11] continue exercising the utmost care in evaluating diplomatic assurances, and refrain from relying on such assurances where it is not in a position to effectively monitor the treatment of such persons after their . . . return to other countries and take appropriate remedial action when assurances are not fulfilled.”

Trafficking and forced labour. The U.S. should: “[C]ontinue its efforts to combat trafficking in persons, inter alia by strengthening its preventive measures, increasing victim identification and systematically and vigorously investigating allegations of trafficking in persons, prosecuting and punishing those responsible and providing effective remedies to victims, including protection, rehabilitation and compensation. [T]ake all appropriate measures to prevent the criminalization of victims of sex trafficking, including child victims, to the extent that they have been compelled to engage in unlawful activities. [R]eview its laws and regulations to ensure full protection against forced labour for all categories of workers and ensure effective oversight of labour conditions in any temporary visa program. [R]einforce its training activities and provide training to law enforcement and border and immigration officials, . . . [and] other relevant agencies. . . .”

Immigrants. The U.S. should: “review its policies of mandatory detention and deportation of certain categories of immigrants in order to allow for individualized decisions, to take measures ensuring that affected persons have access to legal representation, and to identify ways to facilitate access of undocumented immigrants and immigrants residing lawfully in the U.S. for less than five years and their families to adequate health care, including reproductive health care services.”

Domestic violence. The U.S. should: “[S]trengthen measures to prevent and combat domestic violence, as well as to ensure that law enforcement personnel appropriately respond to acts of domestic violence. [E]nsure that cases of domestic violence are effectively investigated and that perpetrators are prosecuted and sanctioned. [E]nsure remedies for all victims of domestic violence, and take steps to improve the provision of emergency shelter, housing, child care, rehabilitative services and legal representation for women victims of domestic violence. [T]ake measures to assist tribal authorities in their efforts to address domestic violence against Native American women.”

Corporal punishment. The U.S. should: “Take practical steps, including through legislative measures where appropriate, to put an end to corporal punishment in all settings. [E]ncourage non-violent forms of discipline as alternatives to corporal punishment and . . . conduct public information campaigns to raise awareness about its harmful effects. [P]romote the use of alternatives to the application of criminal law to address disciplinary issues in schools.”

Non-consensual psychiatric treatment. The U.S. should: “[E]nsure that non-consensual use of psychiatric medication, electroshock and other restrictive and coercive practices in mental health services is generally prohibited. Non-consensual psychiatric treatment may only be applied, if at all, in exceptional cases as a measure of last resort where absolutely necessary for the benefit of the person concerned provided that he or she is unable to give consent, for the shortest possible time, without any long-term impact, and under independent review. . . . [P]romote psychiatric care aimed at preserving the dignity of patients, both adults and minors.”

Criminalization of homelessness. The U.S. should: “[E]ngage with state and local authorities to: (a) abolish criminalization of homelessness laws and policies at state and local levels; (b) ensure close cooperation between all relevant stakeholders . . . to intensify efforts to find solutions for the homeless in accordance with human rights standards; and (c) offer incentives for decriminalization and implementation of such solutions, including by providing continued financial support to local authorities implementing alternatives to criminalization and withdrawing funding for local authorities criminalizing the homeless.”

Conditions of detention and use of solitary confinement. The U.S. should: “[M]onitor conditions of detention in prisons, including private detention facilities, with a view to ensuring that persons deprived of their liberty be treated in accordance with the requirements of articles 7 and 10 of the Covenant [12] and the UN Standard Minimum Rules for the Treatment of Prisoners. . . . [I]mpose strict limits on the use of solitary confinement, both pretrial and following conviction, in the federal system, as well as nationwide, and abolish the practice in respect of anyone under the age of 18 and prisoners with serious mental illness. . . . [B]ring detention conditions of prisoners on death row in line with international standards.”

Detainees at Guantanamo Bay. The U.S. should: “[E]xpedite the transfer of detainees designated for transfer, including to Yemen, as well as the process of periodic review for Guantánamo detainees, and ensure either their trial or immediate release, and the closure of the Guantánamo facility. [E]nd the system of administrative detention without charge or trial and ensure that any criminal cases against detainees held in Guantánamo and military facilities in Afghanistan are dealt with within the criminal justice system rather than military commissions and that those detainees are afforded the fair trial guarantees enshrined in article 14 of the Covenant.” [13]

NSA surveillance. The U.S. should: “(a) take all necessary measures to ensure that its surveillance activities, both within and outside the [U.S.], conform to its obligations under the Covenant, including article 17; [14] in particular, measures should be taken to ensure that any interference with the right to privacy complies with the principles of legality, proportionality and necessity regardless of the nationality or location of individuals whose communications are under direct surveillance; (b) ensure that any interference with the right to privacy, family, home or correspondence be authorized by laws that (i) are publicly accessible; (ii) contain provisions that ensure that collection of, access to and use of communications data are tailored to specific legitimate aims; (iii) are sufficiently precise specifying in detail the precise circumstances in which any such interference may be permitted; the procedures for authorizing; the categories of persons who may be placed under surveillance; limits on the duration of surveillance; procedures for the use and storage of the data collected; and (iv) provide for effective safeguards against abuse; (c) reform the current system of oversight over surveillance activities to ensure its effectiveness, including by providing for judicial involvement in authorization or monitoring of surveillance measures, and considering to establish strong and independent oversight mandates with a view to prevent abuses; (d) refrain from imposing mandatory retention of data by third parties;(e) ensure that affected persons have access to effective remedies in cases of abuse.”

Juvenile justice and life without parole sentences. The U.S. should: “prohibit and abolish all juvenile life without parole sentences irrespective of the crime committed, as well as all mandatory and non-homicide related sentences of life without parole. . . . [15] ensure that all juveniles are separated from adults during pretrial detention and after sentencing and that juveniles are not transferred to adult courts. . . . [encourage] states that automatically exclude 16 and 17 year olds from juvenile court jurisdictions . . . to change their laws.”

Voting rights. The U.S. should: “ensure that all states reinstate voting rights to felons who have fully served their sentences, provide inmates with information about their voting restoration options and remove or streamline lengthy and cumbersome state voting restoration procedures, as well as review automatic denial of the vote to any imprisoned felon, regardless of the nature of the offence. [T]ake all necessary measures to ensure that voter identification requirements and the new eligibility requirements do not impose excessive burdens on voters resulting in de facto disenfranchisement. [P]rovide . . . full voting rights of residents of Washington, D.C.”

Rights of indigenous people. The U.S. should: “adopt measures to effectively protect sacred areas of indigenous peoples against desecration, contamination and destruction and ensure that consultations are held with the communities that might be adversely affected by State party’s development projects and exploitation of natural resources with a view to obtaining their free, prior and informed consent for the potential project activities.”

Other. The U.S. should: “widely disseminate the Covenant, the text of the . . . [recent U.S. report to the Committee], the written responses that . . . [the U.S.] has provided in response to the list of issues drawn up by the Committee and the present concluding observations so as to increase awareness among the judicial, legislative and administrative authorities, civil society and non-governmental organizations . . . [in the U.S.] as well as the general public.” “[For] its fifth periodic report, . . . continue its practice of broadly consulting with civil society and non-governmental organizations. [P]rovide, within one year, relevant information on its implementation of the Committee’s recommendations regarding accountability for [past human rights violations, gun violence, detainees at Guantanamo Bay and NSA surveillance]. [Submit] its next periodic report . . . [on March 28, 2019 with] specific, up-to-date information on all . . . [the Committee’s] recommendations and on the Covenant as a whole.”

Conclusion

One of the overriding issues in the Committee’s review was the geographical coverage of the entire treaty, whether it applies to U.S. conduct outside the U.S. territory, but where it has jurisdiction. The proper conclusion to this issue, in this blogger’s opinion, is that it does so apply or does have extraterritorial application. This conclusion was succinctly stated by the Committee’s Chairperson, Sir Nigel Rodley, during the hearing as noted in a prior post.

Essentially the same conclusion was reached in an October 2010 memo by Harold Koh, then the U.S. State Department’s Principal Legal Adviser.[16] After what he described as an “exhaustive review,” he stated, “an interpretation of Article 2(1) [of the ICCPR] that is truer to the Covenant’s language, context, object and purpose, negotiating history, and subsequent understandings of other States Parties, as well as the interpretations of other international bodies, would provide that in fact, . . . [a] state incurs obligations to respect Covenant rights — is itself obligated not to violate those rights through its own actions or the actions of its agents– in those circumstances where a state exercises authority or effective control over the person or context at issue.”[17]

Civil society organizations in the U.S. lauded the Committee’s “scathing report” and characterized the review as an opportunity for the Obama Administration to meaningfully improve its human rights legacy. The Electronic Frontier Foundation, among other groups, welcomed the Committee’s explicit recognition of the extraterritorial nature of the State’s obligations and its specific recommendations regarding surveillance, and urged immediate implementation by the United States.

The U.S. press coverage of this important international critique of U.S. human rights was pathetic. I did not find any such coverage in the Washington Post and the Wall Street Journal, two respected national newspapers.

The New York Times, on the other hand, had limited coverage. Before the hearings, the Times published one article on the then likely U.S. rejection of the treaty’s having extraterritorial effect along with the actual text of the contrary opinion on that issue by Harold Koh. Later the Times had an article about the first day of the Committee’s hearings that was primarily about the U.S.’ actual rejection of the treaty’s extraterritoriality with two short paragraphs about other issues. Finally the Times had an exceedingly short article about the Committee’s report that touched only on a few of its issues (drone strikes; the virtual lack of any U.S. investigation and prosecutions for alleged unlawful killings; use of torture and authors of legal memoranda purportedly justifying torture in the so called “war on terror;” and the call for publication of the U.S. Senate’s investigation of the CIA’s secret rendition program (turning over suspects to other countries)).

Finally, the Committee’s critique can be taken as an agenda for change by U.S. human rights advocates. Such change will not happen quickly given the dysfunctionality of the U.S. political system and culture. As President Obama frequently says, change does not come easily.                                                                 —————————————————————–

[1] This summary of the Committee’s concluding observations is based upon the observations themselves plus extensive articles about them in the Guardian, Reuters, Human Rights Watch, Amnesty International, the American Civil Liberties Union and a very short New York Times article.

[2] Before making its criticisms, the Committee noted its “appreciation [for] the many [U.S.] efforts undertaken, and the progress made in protecting civil and political rights.” The Committee then welcomed the U.S. Supreme Court’s abolition of the death penalty for offenders who were under the age of 18 when the crimes were committed (Roper v. Simmons (2005)); the U.S. Supreme Court’s recognition of extraterritorial habeas corpus for aliens detained at Guantanamo Bay (Boumediene v. Bush (2008)); the expansion of rights for such detainees (Presidential Executive Orders 13491 and 13493); and the U.S. President’s support of the U.N. Declaration of the Rights of Indigenous Peoples.

[3] This issue concerned Article 2(1) of the ICCPR, which states, “Each State Party . . . undertakes to respect and to ensure to all individuals within its territory and subject to its jurisdiction the rights recognized in the present Covenant, without distinction of any kind, such as race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status.” (Emphasis added.)

[4] The Optional Protocol to the ICCPR allows alleged victims of an alleged violation by a State Party of any of the rights set forth in the Covenant to submit a communication of complaint to the Committee, and after it has received a response from that State Party, the Committee shall submit ”its views” [akin to an advisory opinion] on the matter to the alleged victim and State Party.

[5] The U.S. reservations and understandings to its ratification of the treaty were covered in a prior post.

[6] “Persons in command positions” presumably include former President George W. Bush, Vice President Dick Cheney and Secretary of Defense Donald Rumsfeld.

[7] “Those who provided legal pretexts” presumably include John Yoo, Alberto Gonzalez and four other lawyers who in the George W. Bush Administration were authors of legal memoranda justifying the so-called “enhanced interrogation” techniques. At least some of these memoranda are available online. The issue of their legal responsibility for such memoranda has been raised in at least three proceedings. First, under Spain’s previous version of its universal jurisdiction statute, a Spanish court opened a criminal investigation regarding these six lawyers, but later the case was stayed when the Spanish court asked the U.S. for information about any U.S. investigation of such allegations. Second, Mr. Yoo was sued in U.S. federal court for money damages and declaratory relief by an individual who had been arrested and detained for interrogation in a military brig in the U.S. for three and a half years, but the U.S. Court of Appeals for the Ninth Circuit in May 2012 held that Mr. Yoo was entitled to immunity and thus reversed the district court’s denial of Yoo’s dismissal motion. Third, in January 2010, the U.S. Department of Justice’s Office of Professional Responsibility concluded that Yoo and another lawyer had used flawed legal reasoning in these memoranda, but that this had not constituted professional misconduct This issue also has been raised in other contexts. In the midst of all this, Yoo continues vigorously to assert the validity of the memoranda and thus his innocence.

[8] One of the Committee’s concerns that prompted this recommendation was, in the Committee’s words, “surveillance of Muslims undertaken by . . . the New York Police Department (NYPD) in the absence of any suspicion of wrongdoing.” On April 15th (or nearly three weeks after the issuance of the Committee’s report), the NYPD announced that it was terminating this program. This decision was welcomed by Muslim Advocates and the Center for Constitutional Rights of New York City while lamenting that the NYPD did not say it was ending its broad surveillance practices.

[9] There is litigation in U.S. courts over lethal drugs used in executions under death penalty laws. In Oklahoma, for example, a state trial court on March 26, 2014, decided that a state law mandating secrecy for the identity of suppliers of such drugs was unconstitutional. On April 21st the Oklahoma Supreme Court stayed two executions so that the court could resolve “grave constitutional claims.” Since then there has been an unseemly intra-state squabble over whether that court had the power to stay the executions with the Oklahoma Governor vowing to conduct the executions as previously scheduled, a state legislator introducing a resolution to impeach the court’s judges who voted for the stay and the Supreme Court itself on April 23rd vacating the stay.

[10] The U.S. has a criminal torture statute, 18 U.S.C. sec. 2340A. It states, “Whoever outside the United States commits or attempts to commit torture shall be fined under this title or imprisoned not more than 20 years, or both, and if death results to any person from conduct prohibited by this subsection, shall be punished by death or imprisoned for any term of years or for life.” (Emphasis added.) Thus, this criminal statute does not apply if the torture occurs in the U.S. In addition, the U.S. has the Torture Victims Protection Act (TVPA) that provides for a civil action for money damages by an “individual” who has been subjected to “torture” against an “individual, who, under actual or apparent authority, or color of law, of any foreign nation” committed the torture. (Emphasis added.) Thus, this statute does not apply if the torture is committed by someone acting under U.S. law.

[11] The ICCPR’s Article 6 bans arbitrary deprivation of life and any derogation from the genocide treaty while its Article 7 bans torture or cruel, inhuman or degrading treatment or punishment.

[12] The ICCPR’s Article 7 bans “torture . . . [and] cruel, inhuman or degrading treatment or punishment while its Article 10 requires all inmates to be “treated with humanity and respect for the dignity of the human person,” separation of accused persons from convicts and juveniles from adults and in facilities whose aims shall be “reformation and social rehabilitation” of inmates.

[13] Article 14 of the ICCPR contains detailed provisions that in the U.S. would be regarded as constitutional criminal due process rights.

[14] Article 17 of the ICCPR says “[e]veryone has the right to the protection of law against . . . arbitrary or unlawful interference with his privacy, family, home or correspondence, . . . [and] unlawful attacks on his honour and reputation.”

[15] The Committee’s report recognized with satisfaction that the U.S. Supreme Court had decided under the U.S. Constitution’s Eighth Amendment’s ban on “cruel and unusual punishment” that (a) sentences of life without parole for juveniles for non-homicide crimes were not permitted (Graham v. Florida (2010)); and (b) mandatory sentences of life without parole for juveniles for homicide were not permitted (Miller v. Alabama (2012)).

[16] Koh is one of the U.S.’ preeminent international lawyers. He has taught at the Yale Law School since 1985 except for his years as the State Department’s Legal Adviser (2009-2013) and as U.S. Assistant Secretary of State for Democracy, Human Rights and Labor (1998-2001). He served as the Dean of the Yale Law School (2004-2009) and returned to Yale in 2013 as the Sterling Professor of International Law. He has received many awards and holds degrees from Harvard University (B.A. and J.D.) and the University of Oxford (B.A. and M.A.)

[17] The Koh memorandum also stated that the contrary 1995 opinion by the Department’s Legal Adviser was “not compelled by either the language or the negotiating history of the Covenant . . . [and] that the 1995 Interpretation is in fact in significant tension with the treaty’s language, context, and object and purpose, as well as with interpretations of importantU.S. allies, the Human Rights Committee and the ICJ [International Court of Justice], and developments in related bodies of law [and, therefore,] was no longer tenable.” Nevertheless, the U.S. continues to rely on the 1995 opinion for its resistance to extraterritorial application of the ICCPR. The Koh memorandum was published by the New York Times along with a discussion of the document a week prior to the Committee’s hearings, and it is safe to assume that copies of same were provided to all the Committee members before the hearings.