Follow-up on Smuggling Interdiction and Trade Compliance Program

Submitting OIG:

Report Description:

OIG evaluated SITC’s corrective actions from a prior audit report and the controls over the identification of internet sales of prohibited products for calendar year 2019.

Date Issued:

Wednesday, September 29, 2021

Agency Reviewed / Investigated:

Department of Agriculture

Submitting OIG-Specific Report Number:

33601-0004-23

Component, if applicable:

Animal Plant Health Inspection Service

Location(s):

Agency-Wide

Type of Report:

Audit

Questioned Costs:

Funds for Better Use:

Number of Recommendations:

View Document:

Attachment	Size
33601-0004-23FR508FOIAredactedpublic.pdf	7.95 MB

Recommendation Number	Recommendation Status	Significant Recommendation	Additional Details
3	Open	Yes	FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM
Develop and implement oversight procedures for SITC management and supervisors to periodically review benchmarks and performance metrics and implement corrective actions if the metrics are not being achieved to address prior audit Recommendation 2.
4	Open	Yes	FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM
Require supervisors to periodically review SITC officers’ adherence to SITC requirements in selecting markets to visit to address prior audit Recommendations 4, 5, and 8. The supervisor reviews should include monitoring whether SITC officers perform timely follow-up market surveys at higher-risk markets and implement appropriate corrective actions, if needed.
5	Open	Yes	FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM
Implement procedures for SITC supervisors to require compliance checks to ensure that the previously identified pathways were closed to address prior audit Recommendation 9.
8	Open	Yes	FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM
In coordination with OGC, determine the appropriate authorities required to effectively regulate e-commerce businesses. Based on OGC’s determination, implement the applicable policies to ensure SITC will be able to effectively identify buyers and sellers of prohibited products.
9	Open	Yes	FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM
Establish a process to strengthen SITC’s ability to receive the necessary data to identify buyers of prohibited products.

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

Open

Yes

FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM

Develop and implement oversight procedures for SITC management and supervisors to periodically review benchmarks and performance metrics and implement corrective actions if the metrics are not being achieved to address prior audit Recommendation 2.

Open

Yes

FOLLOW-UP ON SMUGGLING INTERDICTION AND TRADECOMPLIANCE PROGRAM

Require supervisors to periodically review SITC officers’ adherence to SITC requirements in selecting markets to visit to address prior audit Recommendations 4, 5, and 8. The supervisor reviews should include monitoring whether SITC officers perform timely follow-up market surveys at higher-risk markets and implement appropriate corrective actions, if needed.