Human Trafficking: Implementation of Related Statutory Provisions, Law Enforcement Efforts, and Grant Funding
Published: 2016-06-28T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: Human trafficking involves the exploitation of a person typically through force, fraud, or coercion for the purpose of forced labor, involuntary servitude, or commercial sex. Human trafficking victims include women, men and transgender individuals; adults and children; and foreign nationals and U.S. citizens or nationals who are diverse with respect to race, ethnicity, and sexuality, among other factors. Over the few decades, Congress has taken legislative action to help combat human trafficking and ensure that victims have access to needed services. The executive branch also has several initiatives to address human trafficking in the United States and assist victims. The Justice for Victims of Trafficking Act of 2015 (JVTA) includes two provisions for GAO to study efforts to combat human trafficking. This testimony summarizes GAO’s May 2016 and June 2016 reports that were related to the JVTA. Specifically, this testimony addresses (1) federal efforts to implement certain provisions across six human trafficking-related statutes, including the JVTA; (2) any challenges faced by federal and selected state law enforcement and prosecutorial agencies when addressing human trafficking; and (3) federal grant programs to combat trafficking and assist trafficking victims, as well as the extent to which there is any duplication across these grant programs.
section_title: What GAO Found
paragraphs: GAO identified 105 provisions across six human trafficking-related statutes that called for the establishment of a program or initiative. Many of the provisions identified more than one entity that is responsible for implementing the programs or initiatives. The breakdown of whether or not federal entities reported taking actions to implement these provisions is as follows:
For 91 provisions, all responsible federal entities reported taking action to implement the provision.
For 11 provisions, all responsible federal entities reported that they had not taken action to implement the provision.
For 2 provisions, at least one of the responsible federal entities reported that they had not taken action to implement the provision or they did not provide a response.
For 1 provision, none of the responsible federal entities provided a response.
GAO identified 42 grant programs with awards made in 2014 and 2015 that may be used to combat human trafficking or to assist victims of human trafficking, 15 of which are intended solely for these purposes. Although some overlap exists among these human trafficking grant programs, federal agencies have established processes to help prevent unnecessary duplication. For instance, in response to recommendations in a prior GAO report, DOJ requires grant applicants to identify any federal grants they are currently operating under as well as federal grants for which they have applied. In addition, agencies that participate in the grantmaking committee of the Senior Policy Operating Group (SPOG)—an entity through which federal agencies coordinate their efforts to combat human trafficking—are to share grant solicitations and information on proposed grant awards, allowing other agencies to comment on proposed grant awards and determine whether they plan to award funding to the same organization.

section_title: Letter
paragraphs: I am pleased to be here today to discuss our recently completed work on  human trafficking.
Sometimes perceived to be a foreign issue, human trafficking— the  exploitation of a person typically through force, fraud, or coercion for such  purposes as forced labor, involuntary servitude or commercial sex—is  occurring in the United States. Human trafficking victims include women,  men and transgender individuals; adults and children; and foreign  nationals and U.S. citizens or nationals who are diverse with respect to  race, ethnicity, and sexuality, among other factors. Human trafficking can  take place in rural, suburban, and urban settings throughout the country,  and often involves victims who are already vulnerable—such as missing  and runaway youth or persons dealing with substance abuse addictions.
Over the past few decades, Congress has taken numerous legislative  actions to help combat human trafficking and ensure that victims have  access to needed services. The Justice for Victims of Trafficking Act of  2015 (JVTA) contained a provision for GAO to assess federal and  selected state efforts to implement provisions in six human trafficking- related statutes— JVTA, Trafficking Victims Protection Reauthorization  Act of 2005, Trafficking Victims Protection Act of 2000, Victims of Child  Abuse Act of 1990, Runaway and Homeless Youth Act, and Missing  Children’s Assistance Act. Federal agencies, including the Departments  of Justice (DOJ) and Homeland Security (DHS), have taken steps to  combat human trafficking in the United States and to assist victims, often  through grant programs.
My testimony today summarizes our analysis of federal agencies’ efforts  to implement provisions and our observations regarding federal and  selected state law enforcement efforts to combat human trafficking in the  United States. Specifically, this testimony addresses:  (1)  actions federal agencies have taken to implement programs and  initiatives that were authorized by the six statutes;  (2)  challenges federal and selected state law enforcement and  prosecutorial agencies have faced when combating human trafficking  in the United States; and  (3)  grant programs intended to combat human trafficking and assist  victims in the United States, and federal agencies’ efforts to reduce  the potential for duplication across those grant programs.
This statement is based on a report that we issued in May 2016 and  another report that we issued earlier today. For our work on efforts to  implement provisions in certain human trafficking-related statutes, we  reviewed the six statutes and identified the provisions that called for the  establishment of a program or initiative. We identified the federal entities  designated as the lead or co-lead for implementing the provisions and  asked them to identify any actions taken to implement the provisions and  to provide supporting documentation of those actions. Given the number  of provisions included in the six statutes, the multiple federal entities  responsible for implementing the provisions, and the timeframe in which  we were to complete this review, we did not independently assess the  extent to which the provisions were implemented. Instead, we reviewed  the documentation provided by each entity to determine whether they had  taken any action or no action towards implementing the provision. For  those entities that did not take any action, we asked them to explain the  reason why. For our work on law enforcement efforts and grants to  combat human trafficking, we reviewed trafficking data and agency  documents, and conducted 32 interviews with federal, state and local law  enforcement officials and prosecutors in four jurisdictions. We selected  those jurisdictions based on the number of human trafficking tips they  received, receipt of human trafficking task force funding and geographic  variation. These officials’ perspectives cannot be generalized to all  jurisdictions but they provide insights into anti-trafficking efforts. For our  work on grant programs, we reviewed grant documentation and  interviewed federal officials responsible for administering human  trafficking-related grant programs and grantees. Further details on the  scope and methodology for our previously issued reports are available  within each published product. We conducted the work on which this  statement is based in accordance with generally accepted government  auditing standards.
subsections: section_title: Background
paragraphs: Several components within DOJ, DHS, and the Departments of Defense,  Labor, and State have responsibility for investigating and prosecuting  human trafficking crimes, as shown in figure 1.
In addition to federal investigative and prosecutorial agencies, other  agencies play a role in helping to identify human trafficking, such as  DHS’s Transportation Security Administration (TSA), U.S. Citizenship and  Immigration Services (USCIS), U.S. Customs and Border Protection,  Federal Emergency Management Agency, and Coast Guard. These  agencies may encounter human trafficking victims in their daily  operations, including at airports, land borders, and seaports. The Equal  Employment Opportunity Commission (EEOC) and the Department of  Labor’s Wage and Hour Division may encounter human trafficking when  conducting investigations related to their statutory authority. For example,  EEOC investigates alleged violations of Title VII of the Civil Rights Act of  1964, which prohibits employment discrimination based on, race, color,  religion, sex, and national origin, which in certain circumstances involve  human trafficking victims.
In addition to investigating and prosecuting human trafficking crimes,  federal agencies, primarily DOJ and the Department of Health and  Human Services (HHS), support state and local efforts to combat human  trafficking and assist victims. Several components within DOJ’s Office of  Justice Programs, including the Office of Juvenile Justice and  Delinquency Prevention, Office for Victims of Crime, Bureau of Justice  Assistance (BJA), and National Institute of Justice (NIJ), administer  grants to help support state and local law enforcement in combating  human trafficking and to support nongovernmental organizations and  others in assisting trafficking victims or conducting research on human  trafficking in the United States. HHS also provides grant funding to  entities to provide services and support for trafficking victims, primarily  through components of the Administration for Children and Families  (ACF), including the Children’s Bureau, Family and Youth Services  Bureau, and Administration for Native Americans.  Further, ACF  established the Office on Trafficking in Persons in 2015 to coordinate  anti-trafficking responses across multiple systems of care. Specifically,  HHS supports health care providers, child welfare, social service  providers, and other first responders likely to interact with potential victims  of trafficking through a variety of grant programs. These efforts include  integrated and tailored services for victims of trafficking, training and  technical assistance to communities serving high-risk populations, and  capacity-building to strengthen coordinated regional and local responses  to human trafficking.
section_title: Federal Entities Have Taken Actions to Implement Most of the Provisions across Six Human Trafficking-Related Statutes
paragraphs: In our May 2016 report, we identified 105 provisions across the six  statutes that we reviewed that called for the establishment of a program  or initiative. Many of the provisions identified more than one entity that is  responsible for implementing the programs or initiatives. The breakdown  of whether or not federal entities reported taking actions to implement  these provisions is as follows:
For 91 provisions, all responsible federal entities reported taking  action to implement the provision.
For 11 provisions, all responsible federal entities reported that they  had not taken action to implement the provision.
For 2 provisions, at least one of the responsible federal entities  reported that they had not taken action to implement the provision or  they did not provide a response.
For 1 provision, none of the responsible federal entities provided a  response.
The provisions cover various types of activities to address human  trafficking and related issues, including: Grants (33), Coordination and  Information Sharing (29), Victim Services (28), Reporting Requirements  (26), Training and Technical Assistance (25), Research (24), Criminal  Justice (20), Public Awareness (14), and Penalties and Sanctions (7).
Agency officials provided various explanations for why they had not taken  any actions to implement certain provisions for which they were  designated as the lead or co-lead. For example, in three cases, officials  cited that funding was not appropriated for the activity.
section_title: Selected Law Enforcement Officials and Prosecutors Reported Lack of Victim Cooperation, Limited Services, and Difficulty Detecting Victims as Challenges, and Have Taken Steps to Mitigate Them
paragraphs: In June 2016, we reported that federal, state and local law enforcement  officials and prosecutors identified several challenges with investigating  and prosecuting human trafficking, including a lack of victim cooperation,  limited availability of services for victims, and difficulty identifying human  trafficking. The officials told us that obtaining the victim’s cooperation is  important because the victim is generally the primary witness and source  of evidence. However, the officials said that obtaining and securing  victims’ cooperation is difficult, as victims may be unable or unwilling to  testify due to distrust of law enforcement or fear of retaliation by the  trafficker, among other reasons. According to these officials, victim  service programs, such as those that provide mental health and  substance abuse services have helped improve victim cooperation;  however, the availability of services is limited. Further, the officials  reported that identifying and distinguishing human trafficking from other  crimes such as prostitution can be challenging. Federal, state, and local  agencies have taken or are taking actions to address these challenges,  such as increasing the availability of victim services through grants and  implementing training and public awareness initiatives.
With respect to training, we reported that federal agencies have  implemented several initiatives to train judges, prosecutors, investigators  and others on human trafficking. For example, in accordance with the  JVTA, the Federal Judicial Center provided training to federal judges and  judicial branch attorneys, including judicial law clerks, on human  trafficking through a webinar in August 2015.  The training walked  participants through the provisions of the JVTA and addressed how child  exploitation manifests in human trafficking cases, among other things.  According to Federal Judicial Center officials, 1,300 registered viewers  participated in the webinar, which is now available for on-demand viewing  on the Federal Judicial Center website. In addition, DHS’s Immigration  and Customs Enforcement, Homeland Security Investigations provides a  human trafficking training course that uses video scenarios and group  discussions to teach its agents how to identify human trafficking, how to  distinguish human trafficking from smuggling, and how to conduct victim- centered investigations, among other things. Similarly, the Federal  Bureau of Investigation provides annual specialized training in the  commercial sexual exploitation of children and dealing with victims of  child sex trafficking.
We reported that some federal agencies also have efforts related to  increasing public awareness of human trafficking. For example,  In January 2016, DOJ’s Office for Victims of Crime released  resources to raise awareness and serve victims, including a video  series called “The Faces of Human Trafficking” and posters to be  used for outreach and education efforts of service providers, law  enforcement, prosecutors, and others in the community. The video  series includes information about sex and labor trafficking,  multidisciplinary approaches to serving victims of human trafficking,  effective victim services, victims’ legal needs, and voices of survivors.
Since 2010, DHS, through the Blue Campaign, reported it has worked  to raise public awareness about human trafficking, leveraging  partnerships with select government and nongovernmental entities to  educate the public to recognize human trafficking and report  suspected instances. According to DHS officials, Blue Campaign  posters are displayed in public locations including airports and bus  stops.
HHS established the “Look Beneath the Surface” public awareness  campaign through its Rescue and Restore Victims of Human  Trafficking program. These materials, which included posters,  brochures, fact sheets, and cards with tips on identifying victims, were  available in eight languages.
section_title: Some Overlap Exists Across Human Trafficking Grant Programs, but Agencies Have Processes to Minimize Grant Duplication
paragraphs: In June 2016, we also reported that in addition to training and public  awareness, federal agencies have established grant programs to, among  other things, increase the availability of services to assist human  trafficking victims. We identified 42 grant programs with awards made in  2014 and 2015 that may be used to combat human trafficking or to assist  victims of human trafficking, 15 of which are intended solely for these  purposes. According to our prior work addressing overlap and  duplication:
Overlap occurs when multiple granting agencies or grant programs  have similar goals, engage in similar activities or strategies to achieve  these goals, or target the same or similar beneficiaries.
Duplication occurs when a single grantee uses grant funds from  different federal sources to pay for the exact same expenditure or  when two or more granting agencies or grant programs engage in the  same or similar activities or provide funding to support the same or  similar services to the same beneficiaries.
Each of the15 grant programs that are intended solely to combat human  trafficking contained at least some potential overlap with other human  trafficking grant programs in authorized uses. For instance, funding under  each of the 15 grant programs can be used for either collaboration or  training purposes. Similarly, 9 of the 15 grant programs provide support  for direct services to victims of human trafficking. Further, of the 123  organizations that were awarded grants specific to human trafficking in  fiscal years 2014 or 2015, 13 received multiple grants for either victim  services or for collaboration, training, and technical assistance from DOJ  and HHS. Of the 13, 7 had multiple grants that could be used for victim  services, and 3 had multiple grants that could be used for collaboration,  training, and technical assistance.
We also reported in June 2016 that there are circumstances in which  some overlap or duplication may be appropriate. For example, overlap  can enable granting agencies to leverage multiple funding streams to  serve a single purpose. However, coordination across the administering  granting agencies is critical for such leveraging to occur. On the other  hand, there are times when overlap and duplication are unnecessary,  such as if a grantee uses multiple funding streams to provide the same  services to the same beneficiaries. DOJ and HHS each have intra-agency  processes in place to prevent unnecessary duplication. According to DOJ  and HHS officials, each agency operates an internal working group to  allow the components administering human trafficking grants to  communicate on a regular basis. For example, HHS officials indicated  that offices that administer human trafficking grant programs meet  monthly to exchange information, which may include grant-related  announcements and coordination of anti-trafficking activities. DOJ has  taken action to implement recommendations from a prior GAO report to  identify overlapping grant programs and mitigate the risk of unnecessary  grant award duplication in its programs.  In response to these  recommendations, DOJ also requires grant applicants to identify in their  applications any federal grants they are currently operating under as well  as federal grants for which they have applied.
DOJ and HHS officials also reported that they routinely shared grant  announcements with one another in an informal manner. For instance,  HHS officials noted that DOJ and HHS meet bi-weekly during co-chair  meetings for the Senior Policy Operating Group (SPOG) Victim Services  Committee and both agencies participate in the SPOG Grantmaking  Committee meetings, which provide opportunities to share information for  the purposes of coordination and collaboration. Since 2006, the SPOG  has provided a formal mechanism for all agencies administering human  trafficking grants to communicate with one another. According to the  SPOG guidance, which was updated in March 2016, participating  agencies are to share information with members of the grants committee  prior to final decisions in at least one of the following ways: (1) share  plans for programs containing anti-trafficking components during the grant  program development process; (2) notify the SPOG of grant solicitations  within a reasonable time after they are issued; or (3) notify SPOG partner  agencies of proposed funding recipients prior to announcing the award.  Further, agencies are also to share information with members of the  Grantmaking Committee after final decisions are made.
Chairman Grassley, Ranking Member Leahy, and Members of the  Committee, this completes my prepared statement. I would be pleased to  respond to any questions that you may have at this time.
section_title: GAO Contact and Staff Acknowledgments
paragraphs: If you or your staff have any questions about this testimony, please  contact Gretta L. Goodwin, Acting Director, Homeland Security and  Justice at (202) 512-8777 or goodwing@gao.gov. Contact points for our  Offices of Congressional Relations and Public Affairs may be found on  the last page of this statement. GAO staff who made key contributions to  this testimony are Kristy Love, Assistant Director; Kisha Clark, Analyst-in  Charge; Paulissa Earl; Marycella Mierez; and Amanda Parker. Key  contributors for the previous work on which this testimony is based are  listed in each product.
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