Sexual Assault: DOD and Coast Guard Should Ensure Laws Are Implemented to Improve Oversight of Key Prevention and Response Efforts
GAO-22-103973
Published: Mar 28, 2022. Publicly Released: Mar 28, 2022.
Fast Facts
Sexual assaults in the military continue to increase, although Congress, the Department of Defense, and the Coast Guard have taken actions to prevent and address them.
Congress passed 249 statutory requirements between 2004 and 2019 to improve how the military:
- helps sexual assault victims
- prevents sexual assaults
- manages and oversees prevention efforts
- investigates cases and conducts judicial proceedings
DOD and the Coast Guard have met most of these requirements but not all of them. Also, they don't have enough oversight to know whether some of their efforts are effective.
Our 23 recommendations address these and other issues.
Highlights
What GAO Found
Congress passed 249 statutory requirements directing the Department of Defense (DOD) and the Coast Guard to address prevention of and response to sexual assault incidents, and most remain in force. The statutory requirements covered four broad categories: Victim Assistance and Advocacy (37 percent); Management and Oversight (33 percent); Military Justice and Investigations (21 percent); and Prevention Efforts (9 percent).
DOD fulfilled most of these statutory requirements, such as establishing comprehensive policies to prevent and respond to sexual assault as well as training for sexual assault forensic and nurse examiners. However, DOD partially implemented 24 requirements and did not implement 5 requirements. (See figure.) For example, DOD did not report certain information in annual reports; establish and implement an evaluation plan to assess the effectiveness of the outcomes of its programs and activities related to sexual assault prevention and response; or ensure the tracking of commander compliance for conducting organizational climate assessments.
Implementation Status of Statutory Requirements That the Department of Defense and the Coast Guard Were Directed to Implement, as of February 2022
Until DOD fully implements all of these statutory requirements, such as those related to program evaluations, Congress and DOD may continue to lack necessary data about the effectiveness of programs and activities, which can affect oversight. Additionally, DOD may not ensure compliance with the laws and may not fully implement efforts to support victims and prevent sexual assaults.
The Coast Guard implemented most statutory requirements to prevent and respond to sexual assault. However, the Coast Guard partially implemented five statutory requirements and did not implement one. For example, the Coast Guard established policies for victims who asked to be transferred, but did not meet statutory requirements for timelines to make decisions on whether to transfer victims. In general, without oversight structures that include mechanisms to track and document implementation of statutory requirements, DOD and the Coast Guard may be unable to ensure they are fully meeting their responsibilities to help prevent and respond to sexual assault.
Why GAO Did This Study
Sexual assault is a heinous crime that can have lasting, harmful effects on victims, and contradicts the core values that DOD and the Coast Guard expect servicemembers to follow.
The National Defense Authorization Act (NDAA) for Fiscal Year 2020 includes a provision for GAO to review the armed forces' implementation of statutory requirements related to sexual assault prevention and response from fiscal years 2004 through 2019. This report identifies and describes the status of each statutory requirement for sexual assault prevention and response contained in the NDAAs. It also evaluates the extent to which DOD and the Coast Guard implemented the statutory requirements, and assessed their effectiveness when directed by statute.
GAO reviewed statutory requirements, and assessed information from DOD and the Coast Guard on implementation and effectiveness.
Recommendations
GAO is making 23 recommendations to improve oversight of DOD's and the Coast Guard's sexual assault prevention and response efforts, including that DOD establish an evaluation plan, and that DOD and the Coast Guard establish mechanisms to track and to document that relevant laws are implemented. DOD and the Department of Homeland Security, the parent agency of the Coast Guard, concurred with all 23 recommendations, and each noted respective actions it was taking to address them.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of Defense | The Secretary of Defense should ensure that the Under Secretary of Defense for Personnel and Readiness, in collaboration with the Director of the Sexual Assault Prevention and Response Office and the Secretaries of the military departments, include all required information in DOD annual reports, and if any required information is not included, explain why, and whether there is a plan to include it in future annual reports. (Recommendation 1) |
Open – Partially Addressed
The Department of Defense concurred with this recommendation in March 2022. As of August 2023, the department had updated its data call to the military services and National Guard Bureau for the Fiscal Year 2022 Annual Report Annual Report on Sexual Assault in the Military (published in April 2023). We reviewed this report and identified that it included some required information we identified as missing from prior reports. However, it did not include all required information. We will review the next annual report when it is published.
|
| Department of the Army | The Secretary of the Army should ensure all required information is included in the annual reports. (Recommendation 2) |
Open – Partially Addressed
The Department of Defense concurred with this recommendation in March 2022. As of August 2023, the department had updated its data call to the military services and National Guard Bureau for the Fiscal Year 2022 Annual Report Annual Report on Sexual Assault in the Military (published in April 2023). We reviewed this report and identified that it included some required information we identified as missing from prior reports. However, it did not include all required information. We will review the next annual report when it is published.
|
| Department of the Navy | The Secretary of the Navy should ensure that the Navy and the Marine Corps include all required information in the annual reports. (Recommendation 3) |
Open – Partially Addressed
The Department of Defense concurred with this recommendation in March 2022. As of August 2023, the department had updated its data call to the military services and National Guard Bureau for the Fiscal Year 2022 Annual Report Annual Report on Sexual Assault in the Military (published in April 2023). We reviewed this report and identified that it included some required information we identified as missing from prior reports. However, it did not include all required information. We will review the next annual report when it is published.
|
| Department of the Air Force | The Secretary of the Air Force should ensure all required information is included in the annual reports. (Recommendation 4) |
Open – Partially Addressed
The Department of Defense concurred with this recommendation in March 2022. As of August 2023, the department had updated its data call to the military services and National Guard Bureau for the Fiscal Year 2022 Annual Report Annual Report on Sexual Assault in the Military (published in April 2023). We reviewed this report and identified that it included some required information we identified as missing from prior reports. However, it did not include all required information. We will review the next annual report when it is published.
|
| Department of Defense | The Secretary of Defense should ensure that the Under Secretary of Defense for Personnel and Readiness—in collaboration with the Director of the Sexual Assault Prevention and Response Office and the Secretaries of the military departments—sets a timeframe to establish, and establishes, an evaluation plan and mechanisms for assessing the effectiveness of the SAPR program and related activities—such as policies and training—in achieving its intended outcomes, as required by section 1602(c) and 1612(a) and (b) of the Ike Skelton National Defense Authorization Act (NDAA) for Fiscal Year 2011 and section 545(a) of the NDAA for Fiscal Year 2017. (Recommendation 5) |
Open
In March 2022, the Department of Defense concurred with this recommendation. As of May 2023, the department stated this recommendation has a future estimated date of completion but did not provide the estimated date. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Army | The Secretary of the Army should review and update guidance, and set a timeframe for completion, to ensure compliance with statutory requirements related to the consistent tracking of command climate assessments in the applicable database, as required by section 1721 of the NDAA for Fiscal Year 2014 and Army guidance. (Recommendation 6) |
Open
In March 2022, the Department of Defense concurred with this recommendation. As of May 2023, the department stated this recommendation has a future estimated date of completion of October 2024. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Navy | The Secretary of the Navy should ensure that the Commandant of the Marine Corps reviews and updates Marine Corps guidance, and sets a timeframe for completion, to ensure compliance with statutory requirements related to including command climate information in commanders' performance evaluations and assessments, as required by section 508 of the Carl Levin and Howard P. "Buck" McKeon NDAA for Fiscal Year 2015. (Recommendation 7) |
Open
In March 2022, the Department of Defense concurred with this recommendation. In August 2022, the department provided us Marine Corps guidance we had already identified in the report as not requiring that information about whether allegations of sexual assault are properly managed or that a victim of criminal activity can report the criminal activity without fear of retaliation be captured in Marine Corps performance evaluations (or Fitness Reports in the Marine Corps). When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Air Force | The Secretary of the Air Force should review and update guidance, and set a timeframe for completion, to ensure compliance with statutory requirements related to including command climate information in commanders' performance evaluations and assessments, as required by section 508 of the NDAA for Fiscal Year 2015. (Recommendation 8) |
Closed – Implemented
In March 2022, the Department of Defense concurred with this recommendation. In June 2023, DOD officials provided updated Air Force guidance that addresses the statutory requirement (published in March 2022). By taking this action the Air Force will be in compliance with this longstanding statutory requirement aimed at improving commander accountability for ensuring a healthy and effective organizational climate.
|
| Department of Defense | The Secretary of Defense should review and update policy or establish policy, and set a timeframe for completion, to ensure alignment with sexual assault prevention and response statutory requirements, specifically section 1741(a)-(c) and (f) of the NDAA for Fiscal Year 2014, in coordination with Secretary of the Army as the DOD Executive Agent of the United States Military Entrance Processing Command. (Recommendation 9) |
Open
In March 2022, the Department of Defense concurred with this recommendation. In August 2022, DOD requested closure of this recommendation but provided us guidance documents we had already stated in our report did not align with section 1741 of the NDAA for Fiscal Year 2014. As of December 2023, DOD has not provided further details regarding the status of this recommendation. In order to close this recommendation, the Secretary of Defense, in coordination with the Secretary of the Army as the DOD Executive Agent of the United States Military Entrance Processing Command, needs to review and update policy or establish policy, and set a timeframe for completion, to ensure alignment with sexual assault prevention and response statutory requirements from section 1741(a)-(c) and (f) of the NDAA for Fiscal Year 2014. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Army | The Secretary of the Army should review and update policy or establish policy, and set a timeframe for completion, to ensure alignment with sexual assault prevention and response statutory requirements, specifically section 582(a) of the NDAA for Fiscal Year 2012, and section 520(a) of the NDAA for Fiscal Year 2018. (Recommendation 10) |
Open
In March 2022, the Department of Defense concurred with this recommendation. As of May 2023, the department stated this recommendation has a future estimated date of completion, but did not provide the estimated date. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Navy | The Secretary of the Navy should review and update policy or establish policy, and set a timeframe for completion, to ensure alignment with sexual assault prevention and response statutory requirements, specifically section 1741(a)-(c) and (f) of the NDAA for Fiscal Year 2014. (Recommendation 11) |
Open
In March 2022, the Department of Defense concurred with this recommendation. As of May 2023, the department stated this recommendation has a future estimated date of completion but did not provide the estimated date. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Navy | The Secretary of the Navy should ensure that the Commandant of the Marine Corps reviews and updates policy or establishes policy, and sets a timeframe for completion, to ensure alignment with sexual assault prevention and response statutory requirements, specifically, section 1745(a)-(c) of the NDAA for Fiscal Year 2014 and updates such policies for compliance with the statute. (Recommendation 12) |
Open
In March 2022, the Department of Defense concurred with this recommendation. In August 2022, the department provided Marine Corps guidance we had already identified in the report as not requiring that a notation of convictions of non-judicial punishment or punitive administration action for sexual offenses may not be placed in the restricted section of the personnel service record. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of the Army | The Secretary of the Army should take steps to ensure compliance with section 535(a)-(b) of the NDAA for Fiscal Year 2018 by—for example— documenting relevant actions in policy or other relevant guidance. (Recommendation 13) |
Closed – Implemented
In March 2022, the Department of Defense concurred with this recommendation. As a result of this recommendation, the Army updated its Future Soldiers Sexual Harassment/Assault Response and Prevention Training for individuals enlisted under the delayed entry program to include required elements. With this update, the Army addressed the statutory requirement that individuals entering through the delayed entry program receive training that will build their capacity to meet the organizational need of preventing sexual assault in the military.
|
| Department of the Navy | The Secretary of the Navy should take steps to ensure compliance with section 535(a)-(b) of the NDAA for Fiscal Year 2018 by—for example— documenting relevant actions in policy or other relevant guidance. (Recommendation 14) |
Closed – Implemented
In March 2022, the Department of Defense concurred with this recommendation. As a result of this recommendation, the Navy updated its training materials, including the Navy START guide, for individuals entering through the delayed entry program to demonstrate that it addressed required sexual assault prevention and response elements. With this update, the Navy addressed the statutory requirement that individuals entering under the delayed entry program receive training that will build their capacity to meet the organizational need of preventing sexual assault in the military.
|
| Department of the Air Force | The Secretary of the Air Force should take steps to ensure compliance with section 535(a)-(b) of the NDAA for Fiscal Year 2018 by—for example—documenting relevant actions in policy or other relevant guidance. (Recommendation 15) |
Closed – Implemented
In March 2022, the Department of Defense concurred with this recommendation. As a result of this recommendation, the Air Force developed a Sexual Assault Prevention and Response course for delayed entry program participants. With this update, the Air Force has addressed the statutory requirement that individuals entering under the delayed entry program receive training that will build their capacity to meet the organizational need of preventing sexual assault in the military.
|
| Department of the Army | The Secretary of the Army should ensure that the Superintendent of the United States Military Academy West Point takes steps to document actions, including the dissemination of the resource guide, taken in accordance with section 545(a)-(c) of the John S. McCain NDAA for Fiscal Year 2019. (Recommendation 16) |
Open
In March 2022, the Department of Defense concurred with this recommendation. In August 2022, the department stated that the United States Military Academy (USMA), to ensure further dissemination of resource guide to all students, sent the guide to all incoming students for the Class of 2026 via the mandatory EverFi training module, which all students are required to complete prior to their arrival at USMA. However, the department did not provide documentation, such as copy of the EverFi training module, to support the distribution of the resource guide to new students via the training module. Additionally, the department did not address or provide documentation that USMA students who report being victims of sexual assault are given or prompted to access the mobile app as soon as practicable. As of December 2023, the department had not provided further updates regarding this recommendation. In order to close this recommendation, the Secretary of the Army should ensure that the Superintendent of the United States Military Academy West Point take steps to document actions, including the dissemination of the resource guide, taken in accordance with section 545 of the John S. McCain NDAA for Fiscal Year 2019.
|
| Department of the Navy | The Secretary of the Navy should ensure that the Superintendent of the United States Naval Academy takes steps to document actions taken in accordance with section 545(a)-(c) of the John S. McCain NDAA for Fiscal Year 2019. (Recommendation 17) |
Open – Partially Addressed
In March 2022, the Department of Defense concurred with this recommendation. As of July 2023, the Navy had updated its resource guide to provide assurance that leadership will take appropriate corrective action. However, the guide did not include a thorough explanation of prohibited conduct, including examples, nor did they provide sufficient documentation to show that students who reported being victims of sexual assault were provided the guide as soon as practicable.
|
| Department of the Air Force | The Secretary of the Air Force should ensure that the Superintendent of the United States Air Force Academy takes steps to document actions, including the dissemination of the resource guide, taken in accordance with section 545(a)-(c) of the John S. McCain NDAA for Fiscal Year 2019. (Recommendation 18) |
Open
In March 2022, the Department of Defense concurred with this recommendation. As of June 2023, the Air Force provided a draft copy of a resource guide that took steps to include all required information. When the final resource guide is issued, we will review it and provide updated information.
|
| Department of Defense | The Secretary of Defense should ensure that the Under Secretary of Defense for Personnel and Readiness, in collaboration with the Director of the Sexual Assault Prevention and Response Office and the Secretaries of the military departments, establishes an oversight structure that includes mechanisms to consistently track and document implementation of ongoing and future NDAA statutory requirements related to sexual assault prevention and response to ensure compliance with applicable laws and improve oversight of its SAPR program. (Recommendation 19) |
Open
In March 2022, the Department of Defense concurred with this recommendation. As of December 2023, the department stated this recommendation has a future estimated date of completion of September 2024. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| Department of Homeland Security | The Secretary of Homeland Security should ensure that the Commandant of the Coast Guard, in collaboration with the Director of Health, Safety & Work Life Directorate, reviews and updates policy or establishes policy, and sets a timeframe for completion, to ensure alignment with sexual assault prevention and response statutory requirements, specifically, sections 1712 and 1745(a)-(c) of the NDAA for Fiscal Year 2014. (Recommendation 20) |
Open – Partially Addressed
In March 2022, the Department of Homeland Security concurred with this recommendation. In November 2023, the department provided updated guidance that addressed section 1745(a)-(c). However, to address section 1712 the department provided the guidance that we identified in our review as not aligning with expedited transfer policy timeliness requirements. When we confirm what actions the agency has taken to address section 1712, we will provide updated information.
|
| Department of Homeland Security | The Secretary of Homeland Security should ensure that the Commandant of the Coast Guard, in collaboration with the Director of Health, Safety & Work Life Directorate, implements the education and training on sexual assault prevention and response for individuals enlisted under a delayed entry program by—for example—documenting such training in policy or other relevant guidance to ensure compliance with section 535(a)-(b) of the NDAA for Fiscal Year 2018. (Recommendation 21) |
Open
In March 2022, the Department of Homeland Security concurred with this recommendation. As of September 2023, Coast Guard officials stated they had implemented training on sexual assault prevention, response, and recovery for all individuals enlisted in the Coast Guard under a delayed entry program. Officials explained that while sexual assault prevention and response training for delayed entry program recruits was provided by a contractor for fiscal years 2022 and 2023, beginning in 2024 recruits will complete an online training program and capture compliance via Form CG-3307. When the issued form is provided, we will review it and provide updated information.
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| Department of Homeland Security | The Secretary of Homeland Security should ensure that the Commandant of the Coast Guard publishes quarterly reports related to the processing and outcomes of claims reviewed by the Discharge Review Boards to ensure compliance with section 521(b) of the NDAA for Fiscal Year 2018. (Recommendation 22) |
Open
In March 2022, the Department of Homeland Security concurred with this recommendation. As of May 2023, the department stated that the Coast Guard's Office of Military Personnel Policy had reconstituted the Discharge Review Board program and brought on additional temporary staff to assist in reducing the backlog. They further stated they estimated that they would begin the required quarterly reporting in December 2023.
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| Department of Homeland Security | The Secretary of Homeland Security should ensure that the Commandant of the Coast Guard, in collaboration with the Director of Health, Safety & Work Life Directorate, establishes an oversight structure that includes mechanisms to consistently track and document implementation of ongoing and future NDAA statutory requirements related to sexual assault prevention and response to ensure compliance with applicable laws and improve oversight of its SAPR program. (Recommendation 23) |
Closed – Implemented
In March 2022, the Department of Homeland Security concurred with this recommendation. As a result of our recommendation, the Coast Guard updated its guidance for tracking legislative requirements. The guidance now requires that all requirements related to sexual assault be tracked and followed through to completion, to include documenting the actions taken by the Coast Guard to implement the requirement. With this update to the guidance for tracking legislative requirements, they addressed its oversight responsibilities set forth by applicable laws and regulations, as well as be responsive to congressional and other stakeholders requests for such information.
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