Forced Labor: Better Communication Could Improve Trade Enforcement Efforts Related to Seafood
Released: 2020-06-18T00:00:00

Letter

Background

Illegal, Unreported, and Unregulated Fishing and Forced Labor

Prevalence of Forced Labor in Thailand A 2020 report by the United Nation’s International Labor Organization included research on hundreds of Thai workers employed on seafood vessels or in processing facilities. The report found that nearly 10 percent of interviewees shared circumstances of involuntary work and coercion that, taken together, constituted forced labor. The report concluded that if its selection of interviewees is representative of workers employed across the Thai seafood industry, it would indicate that tens of thousands of workers in Thai fishing and seafood processing are working in forced labor conditions.

Fishing activities are vulnerable to a number of illicit practices, including illegal, unreported, and unregulated (IUU) fishing and forced labor. IUU fishing is a broad term that includes a variety of fishing activities with social, economic, and environmental impacts and concerns all aspects and stages of the capture and marketing of fish, according to the United Nations’ Food and Agriculture Organization. Examples of IUU activities include fishing without a license or in excess of quota for certain species; failing to report catches or making false reports on catches; and conducting unauthorized transshipments, such as transfers of fish to cargo vessels at sea or port, according to NOAA. IUU fishing poses a threat to food security and socioeconomic stability in many parts of the world, according to NOAA documents, and many crew members on fishing vessels that engage in IUU fishing are from poor or underdeveloped areas. In addition, the Food and Agriculture Organization has noted that activities of those engaging in IUU fishing can constitute, lead to, or be associated with organized crime or other crimes, such as human trafficking, that may include forced labor.

The International Labor Organization—an agency within the United Nations that, among other things, sets labor standards—has identified common indicators of forced labor in any work sector, as shown in figure 1. The presence of a single indicator in a given situation may, in some cases, indicate the existence of forced labor; in other cases, several indicators taken together may point to forced labor, according to an International Labor Organization document.

Forced labor can occur at various points along the seafood supply chain—which can be long and complex—with limited visibility at various points, making it difficult to detect (see fig. 2). For example, forced labor may occur if workers are held on fishing vessels for long durations without adequate breaks or the ability to return to land. It may also occur in later stages of seafood processing, such as during filleting and canning the fish for export and sale to consumer, according to an NGO report. Additionally, various NGO reports indicate that during the harvesting and processing stages, seafood caught with forced labor may be combined with legally caught seafood, making illegal shipments more difficult to identify. For example, companies may combine catches from several smaller boats onto a bigger vessel before transporting it to shore for processing. Moreover, some seafood supply chains have an additional layer of complexity because low-value fish may not be directly exported but, rather, used as feed for farm-raised seafood that could eventually be imported into the United States. Forced labor related to this type of situation can be difficult to detect because the source of feed for farm- raised fish is an early step in a supply chain that occurs well before the seafood is imported into the United States, according to CBP officials.

Laws and Regulations Relevant to Detaining Seafood Imports Produced by Forced Labor and Illegal, Unreported, and Unregulated Fishing

Federal law prohibits the import of goods made with forced labor. In particular, section 307 of the Tariff Act of 1930 prohibits the importation of goods, wares, articles, and merchandise mined, produced, or manufactured, wholly or in part, in any foreign country by convict labor, forced labor, or indentured labor under penal sanctions. TFTEA, enacted in February 2016, among other things, amended section 307 of the Tariff Act of 1930 by repealing an exception referred to as the consumptive demand clause. The consumptive demand clause permitted the importation of certain forced labor-produced goods if they were not produced “in such quantities in the United States as to meet the consumptive demands of the United States.” determination that merchandise was produced with forced labor in violation of section 307, the Commissioner will publish a formal finding.

Various other laws and regulations are also relevant to IUU fishing and the importation of illegally harvested seafood into the United States. For example, under the High Seas Driftnet Fishing Moratorium Act, among other things, the Secretary of Commerce is charged with identifying and certifying countries that have fishing vessels engaged in IUU. According to NOAA officials, a negative certification may result in restrictions on the importation of some fish and fish products at a port of entry. NOAA also administers and enforces a number of statutes that include prohibitions on the importation of illegally harvested seafood, most notably the Magnuson-Stevens Fishery Conservation and Management Act and the Lacey Act.

Under these authorities and others, NOAA enforces a number of trade monitoring programs. For example, NOAA administers the Seafood Import Monitoring Program (SIMP), which establishes permitting, data reporting, and recordkeeping procedures for the importation of 13 species of fish and fish products identified as being at particular risk of IUU fishing or seafood fraud. NOAA also implements the Tuna Tracking and Verification Program, which monitors domestic cannery production and importation of all frozen and processed tuna products to ensure compliance with federal requirements regarding dolphin-safe certification.

Federal Agencies’ and Stakeholder Involvement and Interest in Forced Labor and Seafood- Related Efforts

A number of federal agencies and stakeholders are involved in or have an interest in forced labor and seafood-related efforts. In particular, CBP is responsible for enforcing violations of section 307 as part of its overall efforts to deter and detect violations of U.S. customs and trade laws at the more than 300 ports of entry into the United States. CBP’s enforcement efforts include, but are not limited to, actions to identify, detain, seize or exclude illegitimate imports, including imports produced by forced labor, counterfeits, and goods evading customs duties. After passage of TFTEA in 2016, CBP initiated new efforts to emphasize and focus on enforcement of section 307. Specifically, CBP formally established its Forced Labor Division in March 2018, within its Office of Trade. Since its inception, the Forced Labor Division has grown in size, according to CBP officials, with about 12 staff onboard as of the end of 2019, mainly comprised of analysts and international trade specialists.

The Forced Labor Division does not have staff in other countries, but CBP can leverage foreign attachés from other CBP offices, to the extent they are available, to assist with enforcement of section 307, according to CBP officials. Staff in the Forced Labor Division also collaborate with others throughout CBP, including the Office of Field Operations, which, among other things, oversees operations at U.S. ports.

Other federal agencies, such as the Department of State and the Department of Labor, conduct activities and collect information related to forced labor. According to CBP officials, CBP may use information from these federal agencies to help support its enforcement of section 307 for particular cases, including those involving seafood. Also, since the enactment of TFTEA in 2016, a number of working groups or task forces have been established, primarily involving U.S. federal agencies, to share information collected related to forced labor and imports, in general, as well as illegal activities involving fishing more specifically, in some cases (see app. II).

In addition, numerous stakeholders, such as NGOs, also have an interest in combating forced labor, including forced labor related to the seafood industry. Often stakeholders’ interests in forced labor include other human rights issues or are broader than specific commodities such as seafood. Stakeholders may provide a variety of services to advocate for workers and identify potential forced labor. For example, some NGOs investigate potential human rights abuses of workers in the seafood industry while others focus on collecting data to help other interested stakeholders identify cases of forced labor. Other NGOs may work with importers who have interests in corporate social responsibility by helping them identify potential issues in their supply chain and comply with U.S. laws, including section 307.

CBP’s Process to Enforce Section 307 Has Resulted in One Seafood-Related Withhold Release Order as of March 2020 CBP Uses a Four-Phase Process to Enforce Violations of Seafood and Other Imports Produced with Forced Labor under Section 307

CBP enforces section 307 involving seafood imports generally following the same process it uses for any other goods suspected of being produced with forced labor imported into the United States, such as apparel, electronics, or consumer products. CBP carries out its process through its Forced Labor Division, in collaboration with other offices across CBP. According to CBP documents and officials, the process CBP uses to enforce section 307 generally includes four phases: (1) assessing leads to determine whether to initiate a case; (2) investigating cases; (3) reviewing information for legal sufficiency to propose a WRO; and (4) implementing the WRO and detaining shipments (see fig. 3). An importer has several options if CBP detains its shipment, including contesting the WRO or deciding not to enter the good into U.S. commerce.

Phase 1: Initiation. CBP analysts within the Forced Labor Division assess leads for credibility when deciding whether to initiate cases involving potential forced labor at any point in the supply chain for a particular good. According to CBP officials, an analyst would examine, for example, whether an allegation made by an external party is credible, the goods in question are being imported into the United States, and sufficient information is available on potential forced labor to initiate and build a case. CBP officials told us that they do not have the resources to gather firsthand information on labor practices such as on fishing vessels or processing operations overseas, but that they can initiate cases based on information obtained from external sources. For example, CBP may receive information through its e- allegations system, which is CBP’s online mechanism for the public to report any suspected violations of trade laws or regulations related to the importation of goods into the United States. In addition, CBP may receive an allegation directly from external entities, such as NGOs; letters from industry or other concerned parties; and information from other U.S. government agencies. Publicly available information, such as media reports or NGO publications, can also serve as leads for CBP to self-initiate a case. If CBP’s initial evaluation shows further evaluation is warranted, CBP initiates a case and moves to the next phase.

Phase 2: Investigation. CBP analysts investigate cases by collecting information from various sources to help determine whether the evidence “reasonably but not conclusively” indicates that goods being imported into the United States were produced with forced labor, according to CBP officials. For example, analysts may ask other federal agencies for information, such as import data, or speak with NGOs that may have information about a particular good or supply chain overseas. CBP officials also said they may investigate the strength of the information collected as part of their case development. In doing so, they said the Forced Labor Division uses the International Labor Organization’s forced labor indicators, among other standards, to help evaluate the sufficiency of evidence for forced labor conditions. If there is insufficient evidence to continue investigating a case, the Forced Labor Division may either close or suspend it pending further information, according to CBP officials. If there is sufficient evidence to propose a WRO, the case moves to the next phase.

Phase 3: Legal review. CBP’s Forced Labor Division prepares a package, which includes an assessment of evidence and a justification for a proposed WRO for the goods suspected to be produced with forced labor, and submits it to CBP’s Office of Chief Counsel for legal review. To propose a WRO, CBP officials said that the package must provide sufficient evidence to reasonably but not conclusively indicate a violation of section 307. This entails having sufficient supply chain information showing importation of a good harvested, produced, or otherwise manufactured with forced labor, according to CBP officials. During its legal review, the Office of Chief Counsel may request additional information or have discussions with the Forced Labor Division. If the Office of Chief Counsel determines there is insufficient evidence to proceed with a WRO, then the Forced Labor Division may choose to close the case or suspend it and consider whether to seek additional information for the case. If the Office of Chief Counsel determines there is sufficient evidence to proceed with a WRO, then the Forced Labor Division prepares a WRO package to be presented to the CBP Commissioner for review and approval.

Phase 4: Implementation. Once the CBP Commissioner issues a WRO, CBP is responsible for implementing the parameters of the WRO. According to CBP officials, numerous officials within CBP, including those at U.S. ports and the Centers of Excellence and Expertise, are responsible for implementation. CBP officials located at U.S. ports screen import data to identify, hold, and detain shipments associated with a WRO.

When CBP detains a shipment subject to a WRO at a port of entry, the importer has the option to reexport the shipment to a different country. Alternatively, officials said the importer can contest the detention and provide additional information to show that the shipment did not contain forced labor elements. If CBP determines the importer has provided sufficient evidence, it allows the shipment to enter into U.S. commerce. Should the importer not provide additional information, the shipment can be excluded (not admitted into U.S. commerce) and/or seized and destroyed in certain circumstances, according to CBP officials. A WRO remains in place until the circumstances surrounding the original WRO change to indicate that forced labor is no longer part of the production or manufacturing process, and the CBP Commissioner revokes the order, according to CBP documents. CBP officials said the agency can also issue civil penalties to importers for forced labor violations for importing goods in violation of section 307, where appropriate.

CBP Tracks Cases of Suspected Forced Labor Violations and Issued One Withhold Release Order for Seafood as of March 2020

CBP’s Forced Labor Division tracks its cases of suspected forced labor violations, including seafood cases, in a case-tracking spreadsheet throughout the various phases of the enforcement process. The spreadsheet notes the status of each case as (1) open and active, (2) suspended, or (3) closed/inactive. At any given time, the Forced Labor Division may be working on a number of seafood cases that are in various phases of the enforcement process, according to CBP officials. Further, officials said the status of these cases changes as new information becomes available. Data CBP provided to us showed a small number of open and active cases as well as suspended cases that were related to seafood. CBP officials stated that they suspended these seafood cases partly because they lacked personnel to obtain additional information to further investigate the cases. In other instances, they said they may suspend cases while waiting for additional information, which may take significant time to obtain.

From February 2016—when TFTEA was enacted—through March 2020, CBP issued 13 WROs for goods suspected of violating section 307, of which one involved seafood, according to CBP data (see table 1). The seafood-related WRO was for all seafood imports caught by the fishing vessel Tunago No. 61, registered in Vanuatu, an island nation in Oceania. After issuing the WRO in February 2019, CBP detained multiple shipments of seafood, according to CBP data, but revoked the order at the end of March 2020. CBP’s other WROs cover a variety of goods such as cotton, toys, food, and agricultural products. Six of the 13 WROs included imports from China, while several WROs included goods from African countries. As of March 2020, CBP officials said they had not issued any civil penalties for forced labor violations involving seafood imports.

CBP Uses Information from a Variety of External Sources to Enforce Section 307 for Seafood but May Be Missing Opportunities to Obtain Key Information from Stakeholders

CBP Uses Information from Media Reports, Other Federal Agencies, and Stakeholders to Initiate and Investigate Forced Labor Cases

CBP officials told us they obtain and use information from a variety of external sources, including media reports, other federal agencies, and stakeholders, that can help them initiate new forced labor-related cases or advance existing ones.

Media Reports

CBP officials said that media reports can be a catalyst for its Forced Labor Division to initiate or investigate a case. For example, CBP officials noted that forced labor in Thailand’s shrimp industry had been in the news since 2015, and in response, CBP collected additional information from companies importing shrimp from Thailand. Additionally, the Forced Labor Division initiated the case that resulted in the seafood-related WRO based partially on news reporting, according to CBP officials. CBP officials also told us that they have formed working relationships with journalists that can be helpful in obtaining information to initiate or investigate cases.

Other Federal Agencies

CBP also uses information on an as-needed basis from a variety of federal agencies to initiate and investigate cases, according to CBP officials.

NOAA. CBP can use certain data collected through NOAA’s trade monitoring programs to help the agency support specific forced labor cases for seafood, according to CBP officials. For example, in the case of the seafood-related WRO, CBP officials told us they used vessel names collected through NOAA’s Tuna Tracking and Verification Program to link specific shipments of tuna to the vessel in question, which CBP officials said was essential information to confirm imports were being made to the United States. This information was available because the seafood in question was one of the species of fish subject to NOAA trade monitoring programs that generate data CBP can access; however, not all species of fish are included in these programs.

Through its trade monitoring programs, NOAA collects harvest-related data, such as the name of the fishing vessel and the species of fish caught, but NOAA officials told us the agency does not collect data specific to labor conditions. NOAA officials and other stakeholders said that there have been discussions regarding potentially expanding the scope of data collected through NOAA’s trade-monitoring programs, such as SIMP, to collect labor-related data. However, the officials noted some potential difficulties in doing so. For example, NOAA officials said that they would need to determine what specific information would be feasible to collect from importers and how it would collect, review, and validate such information. Some NOAA officials raised concern that collecting data on labor conditions may be outside NOAA’s mission; as such, the agency may not have a clear use for the data once collected.

The Department of Labor. CBP officials told us they may use reports published by the Department of Labor for context to inform section 307 investigations, including those involving seafood. CBP officials also said they may reach out to the department on an as-needed basis to seek additional information. According to Department of Labor officials, the department also contacts other U.S. government agencies, including CBP, on an ad-hoc basis to share information.

The Department of State. CBP officials said they may use reports published by the Department of State for contextual information in their enforcement of section 307, including investigation of cases involving seafood. CBP officials also said that the Department of State may include CBP in official communications from embassies discussing potential instances of forced labor. Department of State officials also said that they may reach out to CBP on a case-by-case basis regarding issues of potential forced labor detected in the course of their work overseas.

Stakeholders

CBP officials said they may use information from stakeholders to initiate or investigate cases. For example, CBP officials stated that they have reached out to NGOs to obtain clarification on sources used in NGOs’ reports for specific cases. Stakeholders can also submit information or allegations proactively to the agency. CBP officials said that firsthand information collected in-country, including victim accounts, can be beneficial for initiating or investigating forced labor cases. We found many stakeholders collect such information. For example, a representative from one NGO told us that its organization conducts interviews with laborers from fishing vessels once the vessels dock to gather information on labor payment practices, which can serve as an indicator of potential forced labor.

However, CBP officials said they also face challenges using information provided by stakeholders because information is often insufficient to initiate or investigate a forced labor case. For example, CBP officials said that information they receive from NGOs might not provide sufficient detail on the supply chain that includes the alleged forced labor, including the manufacturer or vessel committing forced labor, or the connection to a U.S. importer. Additionally, these officials told us that information from stakeholders may conflate poor working conditions with forced labor.

CBP May Be Missing Opportunities to Obtain Key Information Stakeholders Collect Related to Seafood and Forced Labor

Firsthand Account of Abuse and Potential Forced Labor Involving Workers on Fishing Vessels In its 2019 Seabound report, Greenpeace included testimonials of migrant fishers that detailed abuse and violent conditions on fishing vessels: “I witnessed horrible torture. We were working even on midnights. When the Fishing Master was angry, he hit my friend’s head near his left ear. After that he was forced to continue working until the work was finished and only then was he allowed to rest. In the morning when we woke up for breakfast, we found him dead in his room. The Captain wrapped up my dead friend’s body with a blanket and then stored him in the freezer.”

According to stakeholders we interviewed and our review of information on CBP’s website, CBP has not clearly communicated its information needs externally. Representatives from 14 of the 18 NGOs we interviewed indicated that they had some uncertainty about the types and level of information CBP needs to investigate forced labor cases in the seafood industry. For example, representatives from one NGO said it was not clear what constituted a credible allegation for CBP, or what information CBP needs to make a section 307 determination. Additionally, representatives from two NGOs managing a grant program designed to support nonprofit organizations collecting firsthand evidence of forced labor said that they were unable to obtain specific guidance from CBP on the types of information the agency needs. As a result, these representatives said they could not communicate to potential grantees the specific kinds of information that would be most useful to submit to CBP. In asking CBP officials about this, CBP confirmed that the NGOs had reached out but they misunderstood the goals of the grant program at the time.

CBP could improve the quality of information it receives from stakeholders, including NGOs, by better communicating what information is most useful to initiate and investigate forced labor cases, including those involving seafood, according to stakeholders. Of the 14 stakeholders that told us there was uncertainty, 11 indicated that additional or clearer information about the agency’s information needs could result in more reporting of information to CBP. For example, representatives from one NGO said there was reluctance among stakeholders that may have limited resources to develop an allegation without knowing whether it is helpful, and that they would be more likely to do so with a better understanding of CBP’s needs. Similarly, representatives from another NGO said it is not worth dedicating the time and resources to develop an allegation without a clear sense of the types of information CBP is looking for to investigate its forced labor cases. Many of these stakeholders indicated that they are collecting firsthand information about potential forced labor in seafood supply chains in countries where labor violations are prevalent, which is information CBP officials told us could benefit forced labor investigations.

CBP officials said they have communicated in general about their information needs for forced labor cases, and that requisite information varies by case, including for seafood cases. The agency’s website contains some information, including a reference to a regulation identifying information individuals are to submit to CBP when making a forced labor allegation. However, CBP does not indicate what specific information to submit such as the timing or location of alleged forced labor activities. Similarly, CBP does not provide examples of the type of information—such as photos or testimonials from victims—that could be useful information for initiating or investigating cases.

In addition, CBP officials said that their e-allegations system provides a means for stakeholders to submit allegations of potential forced labor, among other things, to the agency. However, as of April 2020, the instructions for submitting an allegation do not include specifics on the types of information CBP needs to initiate or investigate cases, such as whether photographs or firsthand accounts of forced labor could be helpful. CBP officials agreed with the need to better communicate to stakeholders the types of information that are helpful for initiating or investigating forced labor cases. They said that the Forced Labor Division had begun considering how it might do so but, to date, had yet to identify further details such as the approach it might take.

Federal standards for internal control establish that management should externally communicate the necessary quality information to achieve an agency’s objectives. For example, an agency should use appropriate methods to communicate quality information so that external parties can help the agency achieve its objectives. With better communication to stakeholders about the types of information it needs to initiate and investigate forced labor cases, CBP may be able to improve its enforcement efforts through enhanced information from stakeholders.

Conclusions

The exploitation of labor in the seafood supply chain is a global issue that, according to a recent United Nations report, affects millions of people working in the fishing sector. With the United States importing billions of dollars’ worth of seafood in 2018 and reliant on those imports for much of the seafood it consumes, it is important that CBP take action to detect and prevent imports produced with forced labor from entering the country. Following the enactment of TFTEA in February 2016, CBP created the Forced Labor Division and placed an increased emphasis on detecting forced labor in imports, including seafood. CBP officials told us they do not have the resources to gather firsthand information on labor practices. To this end, CBP uses information from a variety of sources, including external stakeholders such as NGOs, to initiate and investigate cases. However, stakeholders are unclear about the types of information CBP needs to initiate and investigate cases because CBP has not clearly communicated this information. As a result, CBP may be missing opportunities to obtain key information that stakeholders collect specific to forced labor in the seafood industry—information that could enhance CBP’s enforcement efforts.

Recommendation for Executive Action

The Acting Commissioner of CBP should better communicate to stakeholders the types of information stakeholders could collect and submit to CBP to help the agency initiate and investigate forced labor cases related to seafood and, as appropriate, other goods. (Recommendation 1)

Agency Comments and Our Evaluation

We provided a draft of this report to the Departments of Commerce, Homeland Security, Justice, Labor, State, and the U.S. Agency for International Development for review and comment. We received written comments from the Department of Homeland Security and the U.S. Agency for International Development, which are reproduced in appendixes III and IV, respectively. The Department of Homeland Security concurred with our recommendation and noted that CBP is committed to continued collaboration and communication with stakeholders about the types of information needed to develop forced labor cases and improve enforcement efforts of section 307 of the Tariff Act of 1930, as amended. CBP described the actions it plans to take to address the recommendation, including steps to improve collaboration and information sharing during meetings with working groups. In addition, the Departments of Commerce, Homeland Security, Justice, Labor, and State provided technical comments, which we incorporated as appropriate.

We are sending copies of this report to the appropriate congressional committees; the Secretaries of Commerce, Homeland Security, Justice, Labor, and State; and the Administrator of the U.S. Agency for International Development. In addition, the report is available at no charge on the GAO website at http://www.gao.gov.

If you or your staff have any questions about this report, please contact Anne-Marie Fennell at (202) 512-3841 or fennella@gao.gov or Kimberly Gianopoulos at (202) 512-8612 or gianopoulosk@gao.gov. Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report. GAO staff who made key contributions to this report are listed in appendix V.

Appendix I: Objectives, Scope, and Methodology

The objectives of this report are to examine (1) the process U.S. Customs and Border Protection (CBP) uses to enforce section 307 for seafood imports and the results of its civil enforcement actions and (2) the external sources of information CBP uses to help carry out enforcement of section 307 specific to seafood imports and stakeholder perspectives on CBP’s communication of information needs.

To examine the process the Department of Homeland Security’s CBP uses to enforce section 307 for seafood imports, we reviewed laws, regulations, and CBP documents and data pertaining to section 307 enforcement. These laws included section 307 of the Tariff Act of 1930 and the Trade Facilitation and Trade Enforcement Act of 2015 (TFTEA). We interviewed CBP officials from the Office of Trade and Office of Field Operations, in both Washington, D.C., and the field, who are involved in forced labor detection and enforcement about the steps in CBP’s process to enforce section 307. In addition, we interviewed officials from U.S. Immigration and Customs Enforcement to learn about their involvement in addressing section 307. We examined CBP’s efforts to enforce section 307 since TFTEA was enacted, in February 2016, through March 2020, the most currently available information at the time of our review. We examined CBP’s enforcement of section 307 but did not include other forced labor laws in the scope of our review.

To describe the results of CBP’s civil enforcement actions, we looked at enforcement actions CBP took from February 2016—when TFTEA was enacted—through March 2020. We reviewed CBP’s list of civil enforcement actions pertaining to all commodities it published on its website. In addition, we collected and analyzed information specific to seafood from a spreadsheet that CBP uses to track cases, which contains information on all of its active, suspended, and inactive forced labor investigations pertaining to section 307. CBP provided us with updated versions of this case-tracking spreadsheet in July 2019, November 2019, and March 2020. To assess the reliability of the data, we interviewed CBP officials about the accuracy and completeness of the data and discussed each seafood case to understand the data represented in the various fields, such as how the seafood case originated and what the outcome of the case was. We also discussed in detail the information that led to the one seafood withhold release order (WRO) CBP issued in February 2019. Based on our interviews with CBP officials, we determined that the seafood case data were sufficiently reliable for the purposes of describing CBP’s enforcement actions.

To describe the external sources of information CBP uses to help carry out enforcement of section 307 for seafood, we conducted interviews with CBP officials, including officials in the Office of Trade, which includes the Forced Labor Division, and the Office of Field Operations, to learn about the types of information they gather from external sources and how they might use that information. In addition, we interviewed various other federal agencies and stakeholders that collect information that could be relevant to CBP’s enforcement of section 307. We identified these agencies by interviewing CBP officials about the external sources of information they use to help enforce section 307 cases.

Federal agencies. We interviewed the following agencies:

Department of Commerce’s National Oceanic and Atmospheric Administration (NOAA),

Department of Justice,

Department of Labor,

Department of State,

U.S. Immigration and Customs Enforcement, and

U.S. Agency for International Development.

We also interviewed officials from NOAA about the Seafood Import Monitoring Program and other trade-related programs that collect data aimed at preventing illegal, unreported, and unregulated seafood from entering the United States. In addition, we reviewed documents provided by NOAA that focused on trade programs that CBP could use as a source of information to help carry out enforcement of section 307. We interviewed officials from the Departments of State and Labor about each agency’s reports on human trafficking and forced labor and obtained copies of and reviewed their reports.

Stakeholders. We interviewed current and former representatives from 18 nongovernmental organizations (NGOs) that have interests in forced labor in the seafood industry. Our original scope included 19 NGOs, but we eliminated one NGO from our scope since an official from this organization told us its responses would not vary from those we received from a larger parent NGO, and officials we interviewed did not have separate viewpoints on the extent to which they understood CBP’s information needs. We identified NGOs using internet searches for groups focused on seafood and forced labor and the recommendations of officials from federal agencies and NGOs we interviewed. We also selected NGOs that represented a variety of goals and missions, including those focused on helping U.S. importers remain compliant with section 307 and those focused on assistance to survivors of forced labor overseas. We asked representatives from each NGO a standard set of questions that addressed, among other things, information they may share with CBP. Statements these stakeholders made are not generalizable to all stakeholders but provide perspectives on information for enforcing section 307.

To describe stakeholder perspectives on CBP’s communication of information needs, we interviewed stakeholders about their perspectives of CBP’s information needs. Specifically, we asked about the extent to which they understood CBP’s information needs for enforcement of section 307, the extent to which they have shared information with CBP about potential forced labor they have identified, and factors that may affect their sharing information with CBP. In some cases, NGO representatives we interviewed told us their organizations were unable to share information with CBP because of external factors, such as nondisclosure agreements or differing information collection objectives, but they noted that CBP actions could affect the likelihood of other stakeholders sharing information. Statements these stakeholders made are not generalizable to all stakeholders but provide perspectives on information sources. We also interviewed CBP officials about the extent to which information stakeholders provided was sufficient to use in initiating and investigating section 307 cases.

To evaluate CBP’s communication of its information needs to initiate or investigate forced labor cases as part of its section 307 enforcement process, we interviewed CBP officials about how the agency communicates its information needs to initiate or investigate forced labor cases as part of its section 307 enforcement process. We also reviewed CBP documents and the agency’s website to identify what information CBP provided to the public about its information needs. We compared the agency’s existing communication efforts to federal standards for internal control, as appropriate. We assessed the agency’s procedures to determine whether CBP communicated information to external parties through appropriate methods. We also assessed the quality of available information to ensure it was appropriate, current, complete, and accessible, among other things.

We conducted this performance audit from February 2019 to June 2020 in accordance with generally accepted government auditing standards. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based on our audit objectives.

Appendix II: Working Groups Focused on Forced Labor and Combating Illegal Activities in the Fishing Industry

Since the enactment of the Trade Facilitation and Trade Enforcement Act of 2015 (TFTEA), a number of working groups or task forces have been established, primarily involving U.S. federal agencies, to focus on forced labor and imports in general as well as combating illegal activities in the seafood supply chain more specifically in some cases.

Interagency Working Group on Forced Labor. The Department of Homeland Security established this working group in 2017. According to U.S. Customs and Border Protection (CBP) officials, the group’s purpose is information sharing and collaboration on forced labor topics with interagency partners, which include officials from the Departments of Labor, State, and Justice and the National Oceanic and Atmospheric Administration (NOAA), among other federal agencies. CBP officials stated that the group generally meets monthly.

Task Force on Human Trafficking in Fishing in International Waters. In 2017, the Senate Appropriations Committee directed the Department of Justice to lead a multi-agency task force to examine the issue of human trafficking in seafood supply chains and report to Congress on the status of such issues, along with any related funding, policy recommendations, and legal decisions. Department of Justice officials said they launched the task force in October 2018, and it includes officials from NOAA; the Departments of Homeland Security, Justice, State, Labor, and Treasury; and the Office of the United States Trade Representative. Department of Justice officials said they drafted a report that identified relevant legal and jurisdictional issues, with recommendations to help further efforts to limit human trafficking in fishing in international waters. As of March 2020, the draft was undergoing interagency review and no publication date had been specified, according to the officials.

Commercial Customs Operations Advisory Committee Forced Labor Working Group. The Commercial Customs Operations Advisory Committee is a longstanding public-private partnership between the federal government and the private sector. It advises the Department of Homeland Security on matters involving commercial operations, including significant changes that are proposed to CBP regulations, policies, or practices. After the enactment of TFTEA, a working group within the committee’s Intelligent Enforcement Subcommittee—the Forced Labor Working Group—began discussing a variety of issues related to the implementation of section 307, according to CBP officials. The officials said that in 2017 the Forced Labor Working Group sought information from several nongovernmental organizations knowledgeable about labor and human rights in sectors involving seafood and other goods to obtain their insights that could then be shared with CBP.

Appendix III: Comments from the Department of Homeland Security

Appendix IV: Comments from the U.S. Agency for International Development

Appendix V: GAO Contacts and Staff Acknowledgments

GAO Contacts

Staff Acknowledgments

In addition to the contacts named above, Alyssa M. Hundrup (Assistant Director), Christine Broderick (Assistant Director), Christina Werth (Assistant Director), Andrea Riba Miller (Analyst in Charge), and Emily Norman made key contributions to this report. Martin De Alteriis, Patricia Moye, Sheryl Stein, Sara Sullivan, and Nicole Willems also contributed to the report.