Objective

To determine whether the Office of Temporary and Disability Assistance (OTDA) is overseeing contracted Providers (Providers) and Local Districts of Social Services (Local Districts) to ensure adequate services are being provided to victims of human trafficking (survivors). The audit covered the period from January 2019 through May 2024.

About the Program

Human trafficking is recognized in two main forms—sex and labor trafficking, defined as the use of force, fraud, or coercion to compel commercial sex or labor. Article 10-D of the New York State Social Services Law created a framework for serving survivors of human trafficking in New York, and OTDA’s Bureau of Refugee Services is responsible for overseeing the Response to Human Trafficking Program (Program) in the State.

OTDA and the Division of Criminal Justice Services (DCJS) are tasked with confirming survivors of human trafficking within 6 business days after referral. Unconfirmed human trafficking survivors may also receive services from Providers, but do so outside of the Program, under other funding. Confirmation benefits include participation in the Program, use of the confirmation letter as documentation during the application process for social services and legal assistance, and documentation to vacate certain criminal charges associated with a survivor’s trafficking situation.

OTDA is required to refer confirmed survivors to services through the Program including case management, temporary shelter and rental assistance, medical and mental health care, legal services, and food assistance. If a survivor appears to be eligible for public assistance benefits, OTDA refers them to the Local Districts to apply for these benefits. Otherwise, OTDA refers them to other social services Providers.

The Polaris Project, a national non-profit organization focusing on raising awareness of and preventing human trafficking and which runs the National Human Trafficking Hotline, conducted a National Survivor Study in 2021 and concluded that “while some survivors find service providers, advocates, or other supports to be valuable, they are far more likely to rely on themselves or other survivors. This could indicate a lack of trust in the institutions and systems that could offer support.”

From January 2019 to October 2023, there were 1,637 referrals for confirmation as a survivor. Of these, OTDA and DCJS confirmed 1,384 survivors, referring 64% to the Local Districts and 36% to Providers to receive services.

Key Findings

Communication, data collection, and documentation weaknesses undermine OTDA’s Program oversight and efforts to ensure that the highest possible number of survivors are receiving services designed to address the physical, financial, and emotional trauma resulting from human trafficking. For example:

• While OTDA knows that survivors are often not engaging with the Local District they are referred to—with 74 of the 139 (53%) sampled confirmed survivors referred not following through with making contact with their Local District—OTDA is not collecting and retaining available information on confirmed survivors who do overcome their hesitancy to engage and receive services from Providers. Nor does it consistently collect information on whether confirmed survivors who are referred to Local Districts for public assistance benefits are then referred to the Providers for additional survivor services. OTDA could more effectively use information about confirmed survivors and the services they receive to better assess and improve the Program.
• OTDA does not effectively track which Provider or Local District they refer confirmed survivors to in its database, and instead relies on a manual process to determine this information as needed. Additionally, Provider annual reports to OTDA do not distinguish between confirmed and unconfirmed survivors in all sections, leaving OTDA unaware of the services that confirmed survivors access and utilize the most through the Program. OTDA also does not have a mechanism to track whether survivors who are referred to Providers have pursued services and could not provide this information to us when requested.
• We analyzed referral and confirmation dates for 1,384 survivors and found 314 (23%) were confirmed more than 6 business days after the referral date. Failing to meet the prescribed time frame goes against the intent of the process—to expeditiously confirm survivors and fill the gap in services experienced while waiting for federal certification—and delayed confirmation may result in delays in the provision of services.
• Providers did not collect required documentation, and we found case files were missing signed applications for services, the offer and/or acceptance of health assessments, needs assessments, and case management plans. This documentation helps OTDA to ensure Providers understand and are meeting Program goals, and its collection and retention would also be helpful for assessing Program performance and suggesting improvements.
• As a result of unclear communication from OTDA and frequent turnover, Local District liaisons, who are responsible for communicating with OTDA and submitting reports containing information such as whether survivors went to the Local District they were referred to and what benefits they applied for, expressed varying understandings of required submissions and time frames and often submitted reports late—or in some cases not at all.
• Officials at one Provider stated they did not understand the benefits of confirmation, and this contributed to the Provider, as of June 2024, utilizing only $254,722 (25%) of $1 million awarded by OTDA despite being halfway through its contract. For the same time period, Providers utilized only 39% of funds allocated to them.

Key Recommendations

• Improve data collection and monitoring efforts to more effectively evaluate Program outcomes and success, including obtaining data through the Local Districts and Providers.
• Develop and implement policies and procedures regarding the documentation that should be retained to support pauses in the confirmation time frame.
• Enhance guidance, including documentation such as standardized forms, and communicate more frequently to Providers to ensure Program goals are met.
• Ensure liaisons’ duties and responsibilities are effectively communicated so they understand their role in the Program.