MONITORING INTERNATIONAL LABOR STANDARDS

TECHNIQUES AND SOURCES OF INFORMATION

Committee on Monitoring International Labor Standards

Center for Education

Division of Behavioral and Social Sciences and Education and

Policy and Global Affairs Division

NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS
Washington, DC
www.nap.edu



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Monitoring International Labor Standards: Techniques and Sources of Information MONITORING INTERNATIONAL LABOR STANDARDS TECHNIQUES AND SOURCES OF INFORMATION Committee on Monitoring International Labor Standards Center for Education Division of Behavioral and Social Sciences and Education and Policy and Global Affairs Division NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, DC www.nap.edu

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Monitoring International Labor Standards: Techniques and Sources of Information THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by Contract/Grant No. J-9-K-1-0021 between the National Academy of Sciences and the U.S. Department of Labor. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. Library of Congress Cataloging-in-Publication Data National Academies (U.S.). Committee on Monitoring International Labor Standards. Monitoring international labor standards : techniques and sources of information / Committee on Monitoring International Labor Standards, Center for Education, Division of Behavioral and Social Sciences and Education, and Policy and Global Affairs Division. p. cm. Includes bibliographical references. ISBN 0-309-09134-9 (pbk.)—ISBN 0-309-52974-3 (pdf) 1. Labor laws and legislation, International. 2. Labor policy. I. National Research Council (U.S.). Center for Education. II. National Research Council (U.S.). Policy and Global Affairs. III. Title. K1705.N38 2004 344.01—dc22 2004001870 Additional copies of this report are available from the National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu. Printed in the United States of America. Copyright 2004 by the National Academy of Sciences. All rights reserved. Suggested citation: National Research Council. (2004). Monitoring International La bor Standards: Techniques and Sources of Information. Committee on Monitoring International Labor Standards. Center for Education, Division of Behavioral and Social Sciences and Education and Policy and Global Affairs Division. Washington, DC: The National Academies Press.

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Monitoring International Labor Standards: Techniques and Sources of Information THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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Monitoring International Labor Standards: Techniques and Sources of Information COMMITTEE ON MONITORING INTERNATIONAL LABOR STANDARDS THEODORE H. MORAN (Chair), School of Foreign Service, Georgetown University JARL BENGTSSON, Consultant, Organisation for Economic Cooperation and Development, Paris, France THOMAS DONALDSON,1 Wharton School of Business, University of Pennsylvania MARIA S. EITEL, Vice President and Senior Advisor for Corporate Responsibility, Nike; and President, Nike Foundation, Beaverton, OR KIMBERLY ANN ELLIOTT, Institute for International Economics and Center for Global Development, Washington, DC GARY FIELDS, Department of International and Comparative Labor, School of Industrial and Labor Relations, Cornell University THEA LEE, Public Policy Department, AFL-CIO, Washington, DC LISA M. LYNCH, Fletcher School of Law and Diplomacy, Tufts University DARA O’ROURKE, Environmental Justice, Globalization, Industrial Ecology Labor, University of California at Berkeley HOWARD PACK, Wharton School of Business, University of Pennsylvania EDWARD POTTER, U.S. Council for International Business and McGuiness, Norris & Williams, LLP, Washington, DC S.M. (MO) RAJAN, Industry Consultant, Former Director, Labor and Human Rights, Levi Strauss & Company, San Francisco, CA GARE A. SMITH, Foley Hoag LLP, Attorneys at Law, Washington, DC T.N. SRINIVASAN,2 Department of Economics, Yale University AURET VAN HEERDEN, Fair Labor Association, Washington, DC HEATHER WHITE,3 Verité, San Francisco, CA FAHRETTIN YAGCI, Africa Region Office, The World Bank, Washington, DC 1   Resigned October 2002. 2   Resigned May 2003. 3   Resigned November 2002.

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Monitoring International Labor Standards: Techniques and Sources of Information NEVZER G. STACEY, Study Director PETER HENDERSON, Deputy Study Director MARGARET HILTON, Senior Program Officer GEORGE REINHART, Senior Program Officer CRISPIN RIGBY, Program Officer JOHN SISLIN, Program Officer MONICA ULEWICZ, Program Officer CYRA CHOUDHURY, Research Associate (until February 2003) STACEY KOZLOUSKI, Research Assistant JOHN SHEPHARD, Research Assistant (until August 2003) LINDA DePUGH, Administrative Assistant ELIZABETH BRIGGS HUTHNANCE, Administrative Assistant

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Monitoring International Labor Standards: Techniques and Sources of Information Preface The past half century has witnessed growing attention to the treatment of workers around the world. The U.S. Department of Labor is committed to helping improve working conditions and ensuring compliance with international labor standards. The Bureau of International Labor Affairs (ILAB) of the U.S. Department of Labor has contracted with the National Academies to create a system to monitor international labor standards. The contract states: The international labor standards that information will be collected on are those included in the 1998 ILO [International Labour Organization] Declaration of Fundamental Principles and Rights at Work, with the additional of “acceptable conditions of work.” These are: Freedom of Association and the Right to Collective Bargaining, Forced or Compulsory Labor, Child Labor, and Discrimination. To carry out this contract, the National Research Council (NRC) of the National Academies convened the Committee on Monitoring International Labor Standards to provide expert advice on how best to assess compliance with international labor standards. The committee has prepared a report and the structure for a web-based database that identify indicators of compliance or noncompliance, providing a framework for carrying out the assessment. To carry out its task, the committee commissioned papers, held workshops, convened domestic and international forums, and consulted with experts from international, governmental, and nongovernmental organiza-

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Monitoring International Labor Standards: Techniques and Sources of Information tions. The report and the database system it proposes examine existing sources of information on country-level compliance with labor standards, discuss their strengths and weaknesses, and integrate them into a system to serve the needs of ILAB’s day-to-day work. Further information about the committee’s activities may be found on the committee’s website at www.nas.edu/internationallabor. The report is the result of the committee’s discussions at the public workshops and its deliberations in closed meetings. Such work is inevitably collaborative and the committee is deeply indebted to and appreciative of the participation of attendees at the workshops and forums. We would like to thank International Labour Organization (ILO) staff for sharing their knowledge and expertise on these important issues with us. This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We thank the following individuals for their participation in the review of this report: Jere Behrman, Population Studies Center, University of Pennsylvania; Leon Gordenker, Center of International Studies, Princeton University; Eivind Hoffmann, International Labour Organization, Geneva, Switzerland; Evance Kalula, Kramer Law School, University of Cape Town, South Africa; Phyllis Kritek, School of Nursing, Virginia Commonwealth University; Richard M. Locke, Sloan School of Management, Massachusetts Institute of Technology; Elliot J. Schrage, Columbia University School of Business and Council on Foreign Relations; Prakash Sethi, Zicklin School of Business, Baruch College; Rudra Sil, Department of Political Science, University of Pennsylvania; Robert M. Stern, Gerald Ford School of Public Policy, University of Michigan; and J. Edward Taylor, Department of Agricultural Economics, University of California at Davis. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations nor did they see the final draft of the report before its release. The review of this report was overseen by Douglas S. Massey, Department of Sociology and Public Policy, Princeton University, and Samuel

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Monitoring International Labor Standards: Techniques and Sources of Information H. Preston, School of Arts and Sciences, University of Pennsylvania. Appointed by the National Research Council, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. We also thank Anne Zollner and Robert Bednarzik of ILAB for providing us with critical information that contributed to our understanding of relevant policies. Finally, we thank the staff for their hard work, and we particularly thank Crispin Rigby, Monica Ulewicz, and Margaret Hilton for their outstanding contribution to the study. Theodore H. Moran, Chair Nevzer G. Stacey, Study Director Committee on Monitoring International Labor Standards

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Monitoring International Labor Standards: Techniques and Sources of Information Contents     EXECUTIVE SUMMARY   1      Report and Database,   3      Recommendations,   7 1   INTRODUCTION AND OVERVIEW   11      Committee Charge and Focus,   12      The ILO and Core Labor Standards,   17      An Approach to Assessing Compliance,   21      Using the Database and Other Sources of Information,   22      Conclusions and Recommendations,   29      Annex: Hypothetical Demonstration of the Matrix Framework,   30      References,   32 2   OFFICIAL AND NONGOVERNMENTAL SOURCES OF INFORMATION   33      Overview of the Database,   34      Information from International Organizations,   38      Information from National Agencies,   52      Information from Nongovernmental Organizations,   58      References,   67

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Monitoring International Labor Standards: Techniques and Sources of Information 3   INFORMATION FROM NONGOVERNMENTAL LABOR MONITORING SYSTEMS   69      New Systems of Labor Monitoring,   71      Codes of Conduct,   72      Internal Firm Compliance Monitoring,   73      External Monitoring and Certification,   78      Independent Investigations and Verification,   87      Information Disclosure,   90      Evaluation,   92      Conclusions,   96      Recommendations,   98      References,   99 4   FREEDOM OF ASSOCIATION AND THE RIGHT TO COLLECTIVE BARGAINING   104      Definitions,   104      Assessing Compliance,   109      Sources of Information,   120      Conclusions and Recommendations,   131      References,   132 5   FORCED OR COMPULSORY LABOR   135      ILO Conventions and Declaration,   136      Definitions,   140      Assessing Compliance,   148      Sources of Information,   154      Recommendation,   159      References,   159 6   CHILD LABOR   161      Understanding Child Labor,   162      Definitions,   167      Assessing Compliance,   170      Sources of Evidence,   176      Conclusions and Recommendations,   192      References,   194

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Monitoring International Labor Standards: Techniques and Sources of Information 7   DISCRIMINATION   197      Definitions,   198      Assessing Compliance,   204      Sources of Information,   212      Conclusions and Recommendations,   221      References,   223 8   ACCEPTABLE CONDITIONS OF WORK   224      Definitions,   227      Assessing Compliance,   238      Information Sources,   241      Conclusion and Recommendations,   244      References,   245 9   HUMAN CAPITAL AND INTERNATIONAL LABOR STANDARDS COMPLIANCE   247      The Development Context for Labor Standards,   249      Role of Education,   251      Education Measures,   261      Recommendation and Research Agenda,   263      References,   266     APPENDIXES     A   DATABASE DESCRIPTION   271 B   BIOGRAPHICAL SKETCHES OF COMMITTEE MEMBERS   286

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