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Evaluation of the Department of Defense Combating Trafficking in Persons Program

DODIG-2014-079

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Objective

The objective for this project was to review DoD Combating Trafficking in Persons program performance and compliance with DoD Instruction 2200.01, “Combating Trafficking in Persons (CTIP),” September 15, 2010.   This capping report summarizes findings resulting from our multi-year review which began in 2009, in response to the requirement for the Inspectors General of the Department of Defense, Department of State, and United States Agency for International Development to investigate a sample of contracts for which there was a heightened risk that contractors may engage in acts related to trafficking in persons.

We performed field work from 2009 to 2012 and follow-up in 2013.  The team visited 67 Department of Defense organizations at 46 installations.  We conducted over 280 briefings, interviews, and sensing sessions with over 300 military and Department of Defense civilian personnel, and over 200 contractor personnel.  The team reviewed Department of Defense Component policies, procedures, and available Combating Trafficking in Persons inspection reports.

Observations

As a result of our program review, site visits, and interviews the DoD OIG found several examples of positive actions by DoD Components to combat trafficking in persons:

  • The Defense Procurement and Acquisition Policy Office, Office of the Under Secretary of Defense for Acquisition, Technology, and Logistics has drafted guidance to implement changes in United States Government and Department of Defense policy regarding Combating Trafficking in Persons.
  • The Army and Air Force Exchange Service developed a “Bill of Workers Rights” and were proactive in addressing allegations of trafficking in persons in the United States Central Command area of operations.
  • On their own initiative, the Army Contracting Command-Kuwait and the Defense Contract Management Agency incorporated Combating Trafficking in Persons into contract quality assurance.

In addition, the DoD OIG found:

  • Department of Defense Combating Trafficking in Persons programs did not meet current U.S. Government and Department of Defense policy statements.
  • Most DoD Components had not reviewed their Combating Trafficking in Persons programs.
  • The Office of the Under Secretary of Defense for Personnel and Readiness had not completed any routine reviews of Department of Defense Components’ self-assessments of their Combating Trafficking in Persons programs.
  • The Joint Staff and combatant commands have not adequately addressed Combating Trafficking in Persons in operational and contingency plans.
  • Department of Defense Combating Trafficking in Persons training compliance was incomplete and did not provide specific Combating Trafficking in Persons training for certain job functions.

Recommendations, Management Comments, and Our Response

Recommendation 1

Under Secretary of Defense for Personnel and Readiness, publish updated Department of Defense Combating Trafficking in Persons guidance that:

  1. Fully incorporates U.S. Government Combating Trafficking in Persons policy, taking into consideration Department of Defense Combating Trafficking in Persons Task Force findings.
  2. Reinforces Department of Defense Component reporting requirements regarding CTIP metrics and relevant information.
  3. Specifies, in detail, Combating Trafficking in Persons program elements for Department of Defense acquisition; investigation and law enforcement; operational planning; and training functions.
  4. Establishes a clear and comprehensive process for reporting trafficking in persons incidents and sharing information among appropriate Department of Defense organizations.

Under Secretary of Defense for Personnel and Readiness

The Office of the Under Secretary of Defense for Personnel and Readiness concurred with Recommendations 1.a, 1.b, 1.c, and 1.d, and provided plans for revising DoD CTIP guidance accordingly. 

Our Response

The DoD OIG finds the comments of the Office of the Under Secretary of Defense for Personnel and Readiness to be responsive to Recommendations 1.a, 1.b, 1.c, and 1.d.  No further comments are required at this time. 

Revised Recommendation 2

Under Secretary of Defense for Personnel and Readiness, expand program monitoring by the Combating Trafficking in Persons Program Management Office to include a review of Department of Defense Components’ self-assessments of their Combating Trafficking in Persons programs.  

Under Secretary of Defense for Personnel and Readiness

The Office of the Under Secretary of Defense for Personnel and Readiness non-concurred with the initial draft version of Recommendation 2, and stated that it is the responsibility of the DoD Components to assess their own CTIP programs, and that, at the request of the Combating Trafficking in Persons Program Management Office, Components may provide CTIP program briefings to present their findings and share best practices.

Our Response

In the draft report circulated for management comments, the draft version of Recommendation 2 was:

Under Secretary of Defense for Personnel and Readiness, expand program monitoring by the Combating Trafficking in Persons Program Management Office to include a review of Department of Defense Combating Trafficking in Persons programs.

In response to comments from the Office of the Under Secretary of Defense for Personnel and readiness, the DoD OIG revised text in the discussion and Recommendation 2 to increase clarity, by stating that the Office of the Under Secretary of Defense for Personnel and Readiness needs to review DoD Components’ self-assessments of their CTIP Programs, rather than conducting the reviews of the DoD Components’ CTIP Programs. 

The DoD OIG finds the Office of the Under Secretary of Defense for Personnel and Readiness to be partially responsive to Revised Recommendation 2.  While the Components are responsible for assessing their own CTIP programs, the Office of the Under Secretary of Defense for Personnel and Readiness has the responsibility to monitor Component CTIP compliance, which involves oversight and review of Components’ self-assessments of their CTIP programs.  The DoD OIG requests that the Office of the Under Secretary of Defense for Personnel and Readiness respond to Revised Recommendation 2 by July 16, 2014 with a plan to review DoD Components’ self-assessments of their CTIP programs.

Recommendation 3.a

Under Secretary of Defense for Personnel and Readiness, update Department of Defense Combating Trafficking in Persons policy to require combatant command joint plans, and other relevant documents to include Combating Trafficking in Persons guidance and information, where necessary. 

Under Secretary of Defense for Personnel and Readiness

The Office of the Under Secretary of Defense for Personnel and Readiness concurred with Recommendation 3.a, and provided a plan to address the matter in future CTIP guidance, in coordination with the Joint Staff and Combatant Commands. 

Our Response

The DoD OIG finds the comments of the Office of the Under Secretary of Defense for Personnel and Readiness to be responsive to Recommendation 3.a.  No further comments are required at this time. 

Recommendation 3.b

Director, Joint Staff, in coordination with commanders of the combatant commands:

  1. Assess Combating Trafficking in Persons as part of routine operations and force planning and deployment.
  2. Review joint plans, deployment orders and post-conflict plans for inclusion of Combating Trafficking in Persons considerations.
  3. Monitor implementation of Combating Trafficking in Persons policies during all operations.

Joint Staff

The Vice Director, Joint Staff, concurred with Recommendations 3.b.1, 3.b.2, and 3.b.3, and provided a plan for addressing the matters.

Our Response

The DoD OIG finds the comments of the Vice Director, Joint Staff, to be responsive to Recommendations 3.b.1, 3.b.2, and 3.b.3.  No further comments are required at this time.

Revised Recommendation 4.a

Under Secretary of Defense for Personnel and Readiness:

  1. Implement the stated intent of the Deputy Secretary of Defense requiring Department of Defense contractors to complete annual Combating Trafficking in Persons training by publishing it in Department of Defense policy. 
  2. In coordination with the Under Secretary of Defense for Acquisition, Technology, and Logistics, the director of the Joint Staff, and the secretaries of the military departments, develop and implement specialized Combating Trafficking in Persons training for legal counsel and strategic planners. 

Under Secretary of Defense for Personnel and Readiness

The Office of the Under Secretary of Defense for Personnel and Readiness non-concurred with draft Recommendation 4.a.1 and stated that the CTIP Instruction assigns them the responsibility to develop overall guidance for DoD CTIP, rather than to enforce compliance.  The Office of the Under Secretary of Defense for Personnel and Readiness concurred with draft Recommendations 4.a.2 and 4.a.3, and provided a plan to require DoD contractors to complete annual CTIP training, as well as to develop and provide additional specialized CTIP training. 

Our Response

In the draft report circulated for management comments, the draft version of Recommendation 4.a.1 was:

Under Secretary of Defense for Personnel and Readiness: Enforce Department of Defense Component compliance with the requirement to conduct annual Combatting Trafficking in Persons awareness training for all Component members.

In response to comments from the Office of the Under Secretary of Defense for Personnel and Readiness, the DoD OIG deleted draft Recommendation 4.a.1, regarding Office of the Under Secretary of Defense for Personnel and Readiness enforcement of CTIP awareness training requirements, added a discussion on the subject in Observation 4, and changed draft Recommendations 4.a.2 and 4.a.3 to Revised Recommendations 4.a.1 and 4.a.2. 

The DoD OIG finds the comments of the Office of the Under Secretary of Defense for Personnel and Readiness to be responsive to Revised Recommendation 4.a.1 and 4.a.2.  No further comment is required at this time. 

Recommendation 4.b

Under Secretary of Defense for Acquisition, Technology and Logistics, upon issuance of a Department of Defense policy requirement for Department of Defense contractors to complete annual Combating Trafficking in Persons training, request that the Defense Federal Acquisition Regulation Supplement address this training requirement. 

Under Secretary of Defense for Acquisition, Technology and Logistics

The Office of the Under Secretary of Defense for Acquisition, Technology and Logistics concurred with Revised Recommendation 4.b in this report, and stated they would develop a plan to implement the requirement once a DoD policy requirement is issued. 

Our Response

In the draft report circulated for management comments, the draft version of Recommendation 4.a.2 was:

Under Secretary of Defense for Personnel and Readiness,:  In coordination with the Under Secretary of Defense for Acquisition, Technology, and Logistics, implement the stated intent of the Deputy Secretary of Defense requiring Department of Defense contractors to complete annual Combating Trafficking in Persons training.

Based on comments from and discussion with representatives of the Office of the Under Secretary of Defense for Personnel and Readiness, and the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics, the DoD OIG revised draft Recommendation 4.a.2, splitting it into Revised Recommendation 4.a.1 and a newly created Recommendation 4.b, to better align with current responsibilities of both Offices. 

The DoD OIG finds the comments of the Office of the Under Secretary of Defense for Acquisition, Technology and Logistics to be responsive to Recommendation 4.b.  No further comment is required at this time.