22 U.S.C. § 7104a — Compliance plan and certification re-

Page 1905 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 7104a ficking Victims Protection Act of 2000 (22 U.S.C. 7102), as amended by subsection (d)(2)). ‘‘(2) ANNUAL REPORT.—Beginning with the first an- nual anti-trafficking report that is required under subsection (b)(1) of section 110 of the Trafficking Vic- tims Protection Act of 2000 (22 U.S.C. 7107) to be sub- mitted after the date of the enactment of this Act, and concurrent with each such subsequent submis- sion for the following 7 years, the Secretary of State shall submit to the relevant congressional commit- tees a report that contains information relating to the number and the locations of United States visa denials based, in whole or in part, on grounds related to human trafficking (as such term is defined in sec- tion 103 of the Trafficking Victims Protection Act of 2000 (22 U.S.C. 7102), as amended by subsection (d)(2)) during the period covered by each such annual anti- trafficking report. ‘‘(f) DEFINITIONS.—In this section: ‘‘(1) LOCATION OF UNITED STATES VISA DENIALS.—The term ‘location of United States visa denials’ means— ‘‘(A) the United States diplomatic or consular post at which a denied United States visa applica- tion was adjudicated; and ‘‘(B) the city or locality of residence of the appli- cant whose visa application was so denied. ‘‘(2) RELEVANT CONGRESSIONAL COMMITTEES.—The term ‘relevant congressional committees’ means— ‘‘(A) the Committee on Foreign Affairs and the Committee on the Judiciary of the House of Rep- resentatives; and ‘‘(B) the Committee on Foreign Relations and the Committee on the Judiciary of the Senate.’’ Executive Documents DELEGATION OF FUNCTIONS For delegation of functions of President under this section, see section 5 of Ex. Ord. No. 13257, Feb. 13, 2002, 67 F.R. 7259, as amended, set out as a note under section 7103 of this title. § 7104a. Compliance plan and certification re- quirement (a) Requirement The head of an executive agency may not pro- vide or enter into a grant, contract, or coopera- tive agreement if the estimated value of the services required to be performed under the grant, contract, or cooperative agreement out- side the United States exceeds $500,000, unless a duly designated representative of the recipient of such grant, contract, or cooperative agree- ment certifies to the contracting or grant offi- cer prior to receiving an award and on an annual basis thereafter, after having conducted due dili- gence, that— (1) the recipient has implemented a plan to prevent the activities described in section 7104(g) of this title, as amended by section 1702, and is in compliance with that plan; (2) the recipient has implemented procedures to prevent any activities described in such sec- tion 7104(g) of this title and to monitor, de- tect, and terminate any subcontractor, sub- grantee, or employee of the recipient engaging in any activities described in such section; and (3) to the best of the representative’s knowl- edge, neither the recipient, nor any subcon- tractor or subgrantee of the recipient or any agent of the recipient or of such a subcon- tractor or subgrantee, is engaged in any of the activities described in such section. (b) Limitation Any plan or procedures implemented pursuant to subsection (a) shall be appropriate to the size and complexity of the grant, contract, or coop- erative agreement and to the nature and scope of its activities, including the number of non- United States citizens expected to be employed. (c) Disclosure The recipient shall provide a copy of the plan to the contracting or grant officer upon request, and as appropriate, shall post the useful and rel- evant contents of the plan or related materials on its website and at the workplace. (d) Guidance The President, in consultation with the Sec- retary of State, the Attorney General, the Sec- retary of Defense, the Secretary of Labor, the Secretary of Homeland Security, the Adminis- trator for the United States Agency for Inter- national Development, and the heads of such other executive agencies as the President deems appropriate, shall establish minimum require- ments for contractor plans and procedures to be implemented pursuant to this section. (Pub. L. 112–239, div. A, title XVII, § 1703, Jan. 2, 2013, 126 Stat. 2094.) Editorial Notes REFERENCES IN TEXT Section 7104(g) of this title, as amended by section 1702, referred to in subsec. (a)(1), means section 7104(g) of this title, as amended by section 1702 of Pub. L. 112–239. CODIFICATION Section was enacted as part of the National Defense Authorization Act for Fiscal Year 2013, and not as part of the Trafficking Victims Protection Act of 2000 which comprises this chapter. Statutory Notes and Related Subsidiaries EFFECTIVE DATE Requirements of section applicable to grants, con- tracts, and cooperative agreements entered into on or after the date that is 270 days after Jan. 2, 2013, and to task and delivery orders awarded on or after Jan. 2, 2013, pursuant to contracts entered before, on, or after such date, see section 7104d(c)(1)(B) of this title. DEFINITIONS Pub. L. 112–239, div. A, title XVII, § 1701, Jan. 2, 2013, 126 Stat. 2092, provided that: ‘‘In this title [title XVII (§§ 1701–1708) of div. A of Pub. L. 112–239, enacting this section and sections 7104b to 7104d of this title, amend- ing sections 7103 and 7104 of this title, section 1351 of Title 18, Crimes and Criminal Procedure, and section 2313 of Title 41, Public Contracts, and enacting provi- sions set out as a note under section 1101 of Title 8, Aliens and Nationality]: ‘‘(1) EXECUTIVE AGENCY.—The term ‘executive agen- cy’ has the meaning given the term in section 133 of title 41, United States Code. ‘‘(2) SUBCONTRACTOR.—The term ‘subcontractor’ means a recipient of a contract at any tier under a grant, contract, or cooperative agreement. ‘‘(3) SUBGRANTEE.—The term ‘subgrantee’ means a recipient of a grant at any tier under a grant or coop- erative agreement. ‘‘(4) UNITED STATES.—The term ‘United States’ has the meaning provided in section 103(12) [now 103(15)] of the Trafficking Victims Protection Act of 2000 (22 U.S.C. 7102(12) [now 7102(15)]).’’ Page 1906 TITLE 22—FOREIGN RELATIONS AND INTERCOURSE § 7104b § 7104b. Monitoring and investigation of traf- ficking in persons (a) Referral and investigation (1) Referral If the contracting or grant officer of an exec- utive agency for a grant, contract, or coopera- tive agreement receives credible information that a recipient of the grant, contract, or co- operative agreement; any subgrantee or sub- contractor of the recipient; or any agent of the recipient or of such a subgrantee or subcon- tractor, has engaged in an activity described in section 7104(g) of this title, as amended by section 1702, including a report from a con- tracting officer representative, an auditor, an alleged victim or victim’s representative, or any other credible source, the contracting or grant officer shall promptly refer the matter to the agency’s Office of Inspector General for investigation. The contracting officer may also direct the contractor to take specific steps to abate an alleged violation or enforce the requirements of a compliance plan imple- mented pursuant to section 7104a of this title. (2) Investigation An Inspector General who receives a referral under paragraph (1) or otherwise receives cred- ible information that a recipient of the grant, contract, or cooperative agreement; any sub- grantee or subcontractor of the recipient; or any agent of the recipient or of such a sub- grantee or subcontractor, has engaged in an activity described in section 7104(g) of this title, as amended by section 1702, shall promptly review the referral or information and determine whether to initiate an inves- tigation of the matter. In the event that an In- spector General does not initiate an investiga- tion, the Inspector General shall document the rationale for the decision not to investigate. (3) Criminal investigation If the matter is referred to the Department of Justice for criminal prosecution, the In- spector General may suspend any investiga- tion under this subsection pending the out- come of the criminal prosecution. The Inspec- tor General shall notify the head of the execu- tive agency that awarded the contract, grant, or cooperative agreement of an indictment, in- formation, or criminal complaint against the recipient of a contract, grant, or cooperative agreement; any subgrantee or subcontractor of the recipient; or any agent of the recipient or of a subgrantee or subcontractor. If the crimi- nal investigation results in a decision not to prosecute, the Inspector General shall prompt- ly determine whether to resume any investiga- tion that was suspended pursuant to this para- graph. In the event that an Inspector General does not resume an investigation, the Inspec- tor General shall document the rationale for the decision. (b) Report Upon completion of an investigation under subsection (a), the Inspector General shall sub- mit a report on the investigation to the head of the executive agency that awarded the contract, grant, or cooperative agreement. The report shall include the Inspector General’s conclu- sions regarding whether or not any allegations that the recipient of a grant, contract, or coop- erative agreement; any subcontractor or sub- grantee of the recipient; or any agent of the re- cipient or of such a subcontractor or subgrantee, engaged in any of the activities described in sec- tion 7104(g) of this title, as amended by section 1702, are substantiated. (c) Remedial actions (1) In general Upon receipt of an Inspector General’s re- port substantiating an allegation that the re- cipient of a contract, grant, or cooperative agreement; any subgrantee or subcontractor of the recipient; or any agent of the recipient or of a subgrantee or subcontractor, engaged in any of the activities described in section 7104(g) of this title, as amended by section 1702, or notification of an indictment, informa- tion, or criminal complaint for an offense under subsection (a)(3), the head of agency shall refer the matter to the agency suspen- sion and debarment official and consider tak- ing one or more of the following remedial ac- tions: (A) Requiring the recipient to remove an employee from the performance of work under the grant, contract, or cooperative agreement. (B) Requiring the recipient to terminate a subcontract or subgrant. (C) Suspending payments under the grant, contract, or cooperative agreement until such time as the recipient of the grant, con- tract, or cooperative agreement has taken appropriate remedial action. (D) Withholding award fees, consistent with the award fee plan, for the performance period in which the agency determined the contractor or subcontractor engaged in any of the activities described in such section 7104(g) of this title. (E) Declining to exercise available options under the contract. (F) Terminating the contract for default or cause, in accordance with the termination clause for the contract. (2) Savings clause Nothing in this subsection shall be con- strued as limiting the scope of applicable rem- edies available to the Federal Government. (3) Mitigating factor Where applicable, the head of an executive agency may consider whether the contractor or grantee had a plan in place under section 7104a of this title, and was in compliance with that plan at the time of the violation, as a mitigating factor in determining which rem- edies, if any, should apply. (4) Aggravating factor Where applicable, the head of an executive agency may consider the failure of a con- tractor or grantee to abate an alleged viola- tion or enforce the requirements of a compli- ance plan when directed by a contracting offi- cer pursuant to subsection (a)(1) as an aggra- vating factor in determining which remedies, if any, should apply.