FY2020 Foreign Operations Appropriations: Targeting Foreign Corruption and Human Rights Violations

FY2020 Foreign Operations Appropriations: Targeting Foreign Corruption and Human Rights Violations

link to page 1

Updated April 17, 2020
FY2020 Foreign Operations Appropriations: Targeting Foreign
Corruption and Human Rights Violations
To promote anti-corruption and human rights, the United
Key Elements of SFOPS Section 7031(c) on
States prohibits foreign corrupt actors and human rights
“Anti-Kleptocracy and Human Rights”
violators from entering the United States. Currently,
Who may be found ineligible for U.S. entry? Foreign
Congress provides for such a visa restriction in Section
officials and, by association, their immediate family members.
7031(c) of the Department of State, Foreign Operations,
What derogatory activity triggers a designation?
and Related Programs Appropriations Act, 2020 (SFOPS,
Significant corruption, including corruption related to natural
Division G, P.L. 116-94; 8 U.S.C. 1182 note). A variation
resources extraction, or a gross violation of human rights.
of this provision has been in annual foreign operations
appropriations since FY2008.
Are designations confidential? The Secretary of State may
designate individuals publicly or privately, but consular records
This provision requires the Secretary of State to bar from
pertaining to the refusal or approval of U.S. entry for designated
U.S. entry foreign officials about whom the Secretary has
individuals are not to be considered confidential.
credible information indicating that they “have been
Under which circumstances may exceptions or waivers
involved, directly or indirectly, in significant corruption,
apply to allow individuals otherwise restricted from
including corruption related to the extraction of natural
entering the United States to visit? Exceptions to Section
resources, or a gross violation of human rights.” The visa
7031(c) include those whose entry would further important U.S.
restriction extends to immediate family members of the
law enforcement objectives or whose entry is required to fulfil
foreign kleptocrat or human rights violator. A pending U.S.
U.S. obligations under the United Nations (U.N.) Headquarters
visa application need not exist to designate individuals.
Agreement. The Secretary of State may also waive restrictions
Moreover, designations may be issued publicly—despite
for compelling national interest reasons or because
Section 222(f) of the Immigration and Nationality Act
circumstances that caused the designation have sufficiently
(INA; 8 U.S.C. 1202(f)), which states generally that records
changed.
pertaining to the issuance or refusal of U.S. visas or permits
How does Congress conduct oversight of Section
are to be kept confidential.
7031(c)’s implementation? The Secretary of State is required
to submit a report to the Appropriations, Foreign
The origins of Section 7031(c) can be traced to FY2008
Relations/Foreign Affairs, and Judiciary Committees not later
appropriations, which barred from U.S. entry foreign
than 30 days after enactment and every 90 days thereafter
kleptocrats involved in the extraction of natural resources
describing its use during the previous 12 months and whether
(see Figure 1). Beginning in FY2012, Congress broadened
any exceptions or waivers were invoked. Unclassified portions of
the provision to address “significant corruption.” In
the report are required to be posted on the State Department
FY2014, Congress expanded the provision again, this time
website.
to target foreign officials involved in “a gross violation of
human rights.” In FY2015, Congress further clarified that
When does the requirement end? Section 7031(c) wil end
designations may be made publicly or privately. For
on September 30, 2020, unless Congress extends it by a
FY2020, Congress added that the provision applies to
continuing resolution or restated in a new law. The provision has
foreign officials involved “directly or indirectly” in
continued without interruption since FY2008.
corruption or a human rights violation.
Figure 1. Legislative History: Origins of Section 7031(c) and Evolution of Its Scope, FY2008-FY2020

Source: CRS, based on legislation available on Congress.gov.
https://crsreports.congress.gov

link to page 2 link to page 2 FY2020 Foreign Operations Appropriations: Targeting Foreign Corruption and Human Rights Violations
Public Designations
To combat kleptocracy, administrations have used
Although the State Department has been authorized to
Presidential Proclamation (PP) 7750 of January 12, 2004, to
publicly designate individuals pursuant to 7031(c) since
suspend U.S. entry of foreign public officials engaged in
FY2015, the first such designation occurred in 2018
bribery, corruption, misappropriation of public funds, or
(Adriatik Llalla of Albania). Since then, more than 150
interference with judicial, electoral, or other public
individuals from more than 30 countries, including
processes that results in serious adverse effects on U.S.
immediate family members, have been publicly identified
national interests. PP7750 draws on authority pursuant to
pursuant to 7031(c). In the first three months of 2020, the
Section 212(f) of the INA. Alien spouses, children, and
State Department publicly identified 30 individuals,
dependent household members who are beneficiaries of
including 20 primary and 10 family designations (see Table
corruption are also ineligible for U.S. entry. To target
1). Among those publicly designated under 7031(c), many
human rights violators, administrations have also used
are current and former politicians, military officials, and
PP8697 of August 4, 2011, to suspend U.S. entry of aliens
bureaucrats at the highest levels of government.
implicated in human rights and humanitarian law violations.
Human rights violators account for 70% of all public
Several additional country-specific visa restrictions are in
primary designations; in some such cases, however,
effect, due in part to human rights concerns, and Congress
multiple individuals have been designated for the same
has enacted statutes that restrict U.S. entry for individuals
human rights violation (e.g., 17 Saudis for the murder of
from specific countries.
dissident and journalist Jamal Khashoggi, 13 Salvadorans
for the 1989 extrajudicial killings of six Jesuit priests and
Global Magnitsky and Other Sanctions
two others, and four Burmese military officials for the
Of the 77 primary individuals (excluding immediate family
extrajudicial killings of Rohingya). In 2019, two
members) publicly designated as of April 2020 pursuant to
corruption-related private listings were converted into
7031(c), 35 (45.5%) have also been targeted for Treasury
public designations: Norbert Basengezi Katintima and
Department sanctions. Some of these double-listed
Marcellin Mukolo Basengezi from the Democratic Republic
individuals are sanctioned under country-specific programs
of the Congo (DRC). In 2020, the State Department
(i.e., DRC, Venezuela, and Zimbabwe sanctions). Most
designated an Iranian Islamic Revolutionary Guard Corps
double-listed individuals (80%), however, are designated
(IRGC) Brigadier General as a human rights violator; in
pursuant to Executive Order (E.O.) 13818 of December 20,
2019, the State Department designated the IRGC as a
2017, which implements the Global Magnitsky Human
Foreign Terrorist Organization.
Rights Accountability Act (P.L. 114-328; 22 U.S.C. 2656
note).
Table 1. Public 7031(c) Designations, Jan.-Mar. 2020
Like 7031(c), Global Magnitsky sanctions can be used to
Date Country Name
Reason
subject foreign kleptocrats and human rights violators to
Jan-2 Cuba
Leopoldo Cintra Frias
HR
U.S. visa restrictions—though the criteria for designation
under these programs differ slightly (“serious human rights
Jan-13 Moldova
Vladimir Plahotniuc
C
abuse” or “corruption” under E.O. 13818, and “a gross
violation of human rights” or “significant corruption” under
Jan-17 Iran
Hassan Shahvarpour
HR
7031(c)). Unlike 7031(c), E.O. 13818 also freezes assets of
Jan-29 El Salvador 13 former military officials
HR
and blocks transactions with targeted individuals (but not of
immediate family members). Also unlike 7031(c), all E.O.
Jan-31 Tanzania
Paul Christian Makonda
HR
13818 designations are public.
Feb-5 Bulgaria
Andon Mitalov
C
Policy Outlook
Feb-14 Sri Lanka Shavendra Silva
HR
Congress may seek to evaluate the value of Section 7031(c)
Feb-28 Mexico
Roberto Sandoval Castañeda C
as a policy tool and compare its implementation to other
anticorruption and human rights tools. Potentially relevant
Source: CRS compilation of State Department documents.
questions include, How effective has Section 7031(c) been
Note: HR=human rights; C=corruption.
in promoting anti-corruption and human rights policy
Other Visa Restrictions
objectives? What factors should influence whether a corrupt
official or human rights abuser is publicly or privately
Foreign corrupt actors and human rights violators may also
designated under 7031(c)? What constitutes credible
be subject to visa restrictions under Section 212 of the INA
information for designation under 7031(c)? Under what
(8 U.S.C. 1182), which provides broad executive branch
circumstances might concurrent application of 7031(c) and
authority to block entry in service of U.S. interests and
financial sanctions bolster their respective impacts, and
foreign policy. Included among the grounds for U.S. visa
When is the use of one tool more applicable or appropriate
ineligibility and admission are conviction of a crime
than another?
involving moral turpitude, participation in genocide,
commission of acts of torture or extrajudicial killings,
Liana W. Rosen, Specialist in International Crime and
particularly severe violations of religious freedom,
Narcotics
significant trafficking in persons, and recruitment and use
of child soldiers.
Michael A. Weber, Analyst in Foreign Affairs
IF10905
https://crsreports.congress.gov

FY2020 Foreign Operations Appropriations: Targeting Foreign Corruption and Human Rights Violations

Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan shared staff to
congressional committees and Members of Congress. It operates solely at the behest of and under the direction of Congress.
Information in a CRS Report should not be relied upon for purposes other than public understanding of information that has
been provided by CRS to Members of Congress in connection with CRS’s institutional role. CRS Reports, as a work of the
United States Government, are not subject to copyright protection in the United States. Any CRS Report may be
reproduced and distributed in its entirety without permission from CRS. However, as a CRS Report may include
copyrighted images or material from a third party, you may need to obtain the permission of the copyright holder if you
wish to copy or otherwise use copyrighted material.

https://crsreports.congress.gov | IF10905 · VERSION 12 · UPDATED