Military Personnel
Actions Needed to Strengthen Implementation and Oversight of DOD's and the Coast Guard's Sexual Assault Prevention and Response Programs Gao ID: GAO-08-1146T September 10, 2008In 2004, Congress directed the Department of Defense (DOD) to establish a comprehensive policy to prevent and respond to sexual assaults involving servicemembers. Though not required to do so, the Coast Guard has established a similar policy. This statement addresses implementation and oversight of DOD's and the Coast Guard's programs to prevent and respond to sexual assault incidents. Specifically, it addresses the extent to which DOD and the Coast Guard (1) have developed and implemented policies and procedures to prevent, respond to, and resolve reported sexual assault incidents; (2) have visibility over reports of sexual assault in the military; and (3) exercise oversight over reports of sexual assault involving servicemembers. This statement draws on GAO's report on DOD's and the Coast Guard's Sexual Assault Prevention and Response programs issued on August 29, 2008 (GAO-08-924). For this work, GAO reviewed legislative requirements and DOD and Coast Guard guidance, analyzed sexual assault incident data, and obtained through surveys and interviews the perspective of more than 3,900 servicemembers on sexual assault matters. GAO made 11 recommendations to improve implementation of DOD's and the Coast Guard's programs. These include, for example, reviewing and evaluating guidance and training, and improving oversight of the programs. DOD and the Coast Guard concurred with the recommendations.
DOD and the Coast Guard have established policies and programs to prevent, respond to, and resolve reported sexual assault incidents involving servicemembers; however, implementation of the programs is hindered by several factors. GAO found that (1) DOD's guidance may not adequately address some important issues, such as how to implement the program in deployed and joint environments; (2) most, but not all commanders support the programs; (3) required sexual assault prevention and response training is not consistently effective; and (4) factors such as a DOD-reported shortage of mental health care providers affect whether servicemembers who are victims of sexual assault can or do access mental health services. Left unchecked, these challenges can discourage or prevent some servicemembers from using the programs when needed. GAO found, based on responses to its nongeneralizable survey administered to 3,750 servicemembers and a 2006 DOD survey, the most recent available, that occurrences of sexual assault may be exceeding the rates being reported, suggesting that DOD and the Coast Guard have only limited visibility over the incidence of these occurrences. At the 14 installations where GAO administered its survey, 103 servicemembers indicated that they had been sexually assaulted within the preceding 12 months. Of these, 52 servicemembers indicated that they did not report the sexual assault. GAO also found that factors that discourage servicemembers from reporting a sexual assault include the belief that nothing would be done; fear of ostracism, harassment, or ridicule; and concern that peers would gossip. There were also concerns that reporting an incident would negatively affect their careers or unit morale and that a report made using the restricted reporting option would not remain confidential. Although DOD and the Coast Guard have established some mechanisms for overseeing reports of sexual assault, neither has developed an oversight framework--including clear objectives, milestones, performance measures, and criteria for measuring progress--to guide their efforts. GAO's prior work has demonstrated the importance of outcome-oriented performance measures to successful program oversight, and that an effective plan for implementing initiatives and measuring progress can help decision makers determine whether initiatives are achieving desired results. DOD provides information on reports of alleged sexual assaults annually to Congress. However, DOD's report does not include some data that would aid congressional oversight, such as why some sexual assaults could not be substantiated following an investigation. Further, the military services have not provided data that would facilitate oversight and enable DOD to conduct trend analyses. While the Coast Guard voluntarily provides data to DOD for inclusion in its report, this information is not provided to Congress because there is no requirement to do so. Without an oversight framework, as well as more complete data, decision makers in DOD, the Coast Guard, and Congress lack information they need to evaluate the effectiveness of the programs.
GAO-08-1146T, Military Personnel: Actions Needed to Strengthen Implementation and Oversight of DOD's and the Coast Guard's Sexual Assault Prevention and Response Programs
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Testimony:
Before the Subcommittee on National Security and Foreign Affairs,
Committee on Oversight and Government Reform, House of Representatives:
United States Government Accountability Office:
GAO:
For Release on Delivery:
Expected at 10:00 a.m. EDT:
Wednesday, September 10, 2008:
Military Personnel:
Actions Needed to Strengthen Implementation and Oversight of DOD's and
the Coast Guard's Sexual Assault Prevention and Response Programs:
Statement of Brenda S. Farrell, Director: Defense Capabilities and
Management:
GAO-08-1146T:
GAO Highlights:
Highlights of GAO-08-1146T, a testimony before the Subcommittee on
National Security and Foreign Affairs, Committee on Oversight and
Government Reform, House of Representatives.
Why GAO Did This Study:
In 2004, Congress directed the Department of Defense (DOD) to establish
a comprehensive policy to prevent and respond to sexual assaults
involving servicemembers. Though not required to do so, the Coast Guard
has established a similar policy. This statement addresses
implementation and oversight of DOD‘s and the Coast Guard‘s programs to
prevent and respond to sexual assault incidents. Specifically, it
addresses the extent to which DOD and the Coast Guard (1) have
developed and implemented policies and procedures to prevent, respond
to, and resolve reported sexual assault incidents; (2) have visibility
over reports of sexual assault in the military; and (3) exercise
oversight over reports of sexual assault involving servicemembers. This
statement draws on GAO‘s report on DOD‘s and the Coast Guard‘s Sexual
Assault Prevention and Response programs issued on August 29, 2008 (GAO-
08-924). For this work, GAO reviewed legislative requirements and DOD
and Coast Guard guidance, analyzed sexual assault incident data, and
obtained through surveys and interviews the perspective of more than
3,900 servicemembers on sexual assault matters.
GAO made 11 recommendations to improve implementation of DOD‘s and the
Coast Guard‘s programs. These include, for example, reviewing and
evaluating guidance and training, and improving oversight of the
programs. DOD and the Coast Guard concurred with the recommendations.
What GAO Found:
DOD and the Coast Guard have established policies and programs to
prevent, respond to, and resolve reported sexual assault incidents
involving servicemembers; however, implementation of the programs is
hindered by several factors. GAO found that (1) DOD‘s guidance may not
adequately address some important issues, such as how to implement the
program in deployed and joint environments; (2) most, but not all
commanders support the programs; (3) required sexual assault prevention
and response training is not consistently effective; and (4) factors
such as a DOD-reported shortage of mental health care providers affect
whether servicemembers who are victims of sexual assault can or do
access mental health services. Left unchecked, these challenges can
discourage or prevent some servicemembers from using the programs when
needed.
GAO found, based on responses to its nongeneralizable survey
administered to 3,750 servicemembers and a 2006 DOD survey, the most
recent available, that occurrences of sexual assault may be exceeding
the rates being reported, suggesting that DOD and the Coast Guard have
only limited visibility over the incidence of these occurrences. At the
14 installations where GAO administered its survey, 103 servicemembers
indicated that they had been sexually assaulted within the preceding 12
months. Of these, 52 servicemembers indicated that they did not report
the sexual assault. GAO also found that factors that discourage
servicemembers from reporting a sexual assault include the belief that
nothing would be done; fear of ostracism, harassment, or ridicule; and
concern that peers would gossip. There were also concerns that
reporting an incident would negatively affect their careers or unit
morale and that a report made using the restricted reporting option
would not remain confidential.
Although DOD and the Coast Guard have established some mechanisms for
overseeing reports of sexual assault, neither has developed an
oversight framework”including clear objectives, milestones, performance
measures, and criteria for measuring progress”to guide their efforts.
GAO‘s prior work has demonstrated the importance of outcome-oriented
performance measures to successful program oversight, and that an
effective plan for implementing initiatives and measuring progress can
help decision makers determine whether initiatives are achieving
desired results. DOD provides information on reports of alleged sexual
assaults annually to Congress. However, DOD‘s report does not include
some data that would aid congressional oversight, such as why some
sexual assaults could not be substantiated following an investigation.
Further, the military services have not provided data that would
facilitate oversight and enable DOD to conduct trend analyses. While
the Coast Guard voluntarily provides data to DOD for inclusion in its
report, this information is not provided to Congress because there is
no requirement to do so. Without an oversight framework, as well as
more complete data, decision makers in DOD, the Coast Guard, and
Congress lack information they need to evaluate the effectiveness of
the programs.
To view the full product, including the scope and methodology, click on
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-1146T]. For more
information, contact Brenda S. Farrell at (202) 512-3604 or
farrellb@gao.gov.
[End of section]
Mr. Chairman and Members of the Subcommittee:
Thank you for the opportunity to be here today for this follow-up
hearing to discuss issues related to the Department of Defense's (DOD)
and the Coast Guard's programs to prevent, respond to, and resolve
reported incidents of sexual assault. Sexual assault is a crime that
contradicts the core values that DOD, the military services,[Footnote
1] and the Coast Guard expect servicemembers to follow, such as
treating their fellow members with dignity and respect. Recognizing
this, in 2004 Congress directed the Secretary of Defense to develop a
comprehensive policy for DOD on the prevention of and response to
sexual assaults involving servicemembers, including an option that
would enable servicemembers to confidentially disclose an incident of
sexual assault. Since 2005, active duty servicemembers have had two
options for reporting an alleged sexual assault: (1) restricted, which
allows victims of sexual assault to disclose a sexual assault incident
to specific individuals and receive medical care and other victim
advocacy services without initiating a criminal investigation, and (2)
unrestricted, which entails notification of the chain of command and
may trigger a criminal investigation. Although these requirements do
not apply to the Coast Guard, which is overseen by the Department of
Homeland Security, the Coast Guard has adopted similar reporting
options.
Mr. Chairman, you have recognized the need to shed light on this
important issue. Specifically, you and the Ranking Member asked GAO to
examine sexual assault prevention and response programs at the military
academies as well as at military installations within DOD and the Coast
Guard and during deployments. In response, we issued a report in
January 2008 that reviewed programs to address sexual assault and
sexual harassment at the military and Coast Guard academies.[Footnote
2] Also, on July 31, 2008, we testified before the subcommittee on our
preliminary observations on DOD's and the Coast Guard's Sexual Assault
Prevention and Response Programs.[Footnote 3] Further, on August 29,
2008, we issued a comprehensive report that expanded upon the
preliminary observations we discussed during the July hearing that
examines implementation and oversight of sexual assault prevention and
response programs for the active duty servicemembers in DOD and the
Coast Guard, including during deployments.[Footnote 4]
My testimony today summarizes the findings and recommendations of our
comprehensive August 2008 report. Specifically, in my remarks today I
will discuss the extent to which DOD and the Coast Guard:
* have developed and implemented policies and programs to prevent,
respond to, and resolve sexual assault incidents involving
servicemembers;
* have visibility over reports of sexual assault involving
servicemembers; and:
* exercise oversight over reports of sexual assault involving
servicemembers.
To conduct our work, we reviewed legislative requirements; reviewed
DOD's, the military services', and the Coast Guard's guidance and
requirements for the prevention of, response to, and resolution of
sexual assault; analyzed sexual assault incident data; and visited 15
military installations in the United States and overseas to assess
implementation of the programs. At the installations we visited, we met
with sexual assault prevention and response program coordinators;
victim advocates; judge advocates; medical and mental health personnel;
criminal investigative personnel; law enforcement personnel; chaplains;
various military commanders, including company and field grade
officers; and senior enlisted servicemembers. We also obtained the
perspective of more than 3,900 servicemembers by administering a total
of 3,750 confidential surveys to a nonprobability sample of randomly
selected servicemembers and conducting more than 150 one-on-one,
structured interviews with randomly selected servicemembers at 14 of
the 15 installations we visited. Our survey is the first since 2006 to
obtain the perspectives of selected servicemembers in each military
service and the Coast Guard on sexual assault issues, and the first to
assess sexual assault issues in the Coast Guard since the restricted
reporting option became available in December 2007. Because we did not
select survey and interview participants using a statistically
representative sampling method, our survey results and the comments
provided during our interview sessions are nongeneralizable and
therefore cannot be projected across DOD, a service, or any single
installation we visited. However, the survey results and comments
provide insight into the command climate and implementation of sexual
assault prevention and response programs at each location at the time
of our visit.
We conducted this performance audit from July 2007 through August 2008
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.
Summary:
DOD has taken steps, in response to congressional direction, to develop
and implement policies and programs to prevent, respond to, and resolve
reported sexual assault incidents, and the Coast Guard has taken
similar steps on its own initiative. However, we found that DOD's
guidance may not adequately address some important issues, such as how
to implement the program in deployed and joint environments. We also
found that implementation is hindered by (1) the lack of support from
some commanders, (2) training that is not consistently effective, and
(3) limitations on access to mental health services. Further, based on
responses to our survey and a 2006 DOD survey, we found that
occurrences of sexual assault may be exceeding the rates being
reported, suggesting that DOD and the Coast Guard have only limited
visibility over the incidence of these occurrences. DOD and the
military services provide information on reports of alleged sexual
assaults annually to Congress in accordance with statutory
requirements. However, DOD's report does not include some data that
would aid congressional oversight, such as why some sexual assaults
could not be substantiated following an investigation. Further, while
the Coast Guard voluntarily provides data to DOD for inclusion in its
report, this information is not provided to Congress because there is
no requirement to do so. Importantly, we also found that while DOD and
the Coast Guard have established some mechanisms for overseeing reports
of sexual assaults involving servicemembers, both lack an oversight
framework--including clear objectives, milestones, performance
measures, and criteria for measuring progress--to guide their efforts.
DOD also lacks key information needed to evaluate the effectiveness of
the department's sexual assault prevention and response program. GAO
made 11 recommendations to improve implementation of DOD's and the
Coast Guard's programs. These include, for example, reviewing and
evaluating guidance and training, and improving oversight of the
programs. DOD and the Coast Guard concurred with the recommendations.
Implementation of Sexual Assault Prevention and Response Programs Is
Hindered by a Number of Factors:
DOD has taken positive steps to respond to congressional direction by
developing and implementing policies and a program to prevent, respond
to, and resolve reported sexual assault incidents involving
servicemembers, and the Coast Guard has on its own initiative taken
similar steps. However, DOD's guidance may not adequately address some
important issues, and implementation of the program is hindered by
several factors. To their credit, DOD and the Coast Guard have issued
guidance for preventing and responding to reports of sexual assault and
have established offices to oversee sexual assault matters.[Footnote 5]
The military services and the Coast Guard have also established and
staffed key positions to manage programs at installations and require
servicemembers to receive periodic training on their respective sexual
assault prevention and response programs. However, DOD's guidance may
not adequately address some important issues, such as how to implement
the program when operating in deployed or joint environments. Program
officials we met with overseas told us that DOD's guidance does not
sufficiently take into account the realities of operating in a deployed
environment, in which unique living and social circumstances can
heighten the risks for sexual assault and program resources are more
widely dispersed than they are in the United States, which can make
responding to a sexual assault challenging. For example, at one
installation we found no criminal investigative presence, and program
officials told us that it can take 48 hours or longer for the criminal
investigative organization with jurisdiction to respond to some sexual
assaults. Further, we identified a number of factors that hinder
implementation of the programs, including the following.
While Most Commanders Support the Programs, Some Do Not:
At the installations we visited, we generally found that commanders--
that is, company and field grade officers[Footnote 6]--had taken
actions to address incidents of sexual assault and were generally
supportive of sexual assault prevention and response programs. However,
at some of these installations we found evidence that not all
commanders supported the program. Further, we found that implementation
of the programs may be hindered at some installations where key program
coordinator positions are a collateral duty. DOD's guidance calls for
commanders and other leaders to advocate a strong sexual assault
prevention and response program, and the Coast Guard's guidance
similarly calls for commanders and other leaders to ensure compliance
with Coast Guard policies and procedures. At the installations we
visited, commanders told us that they set a zero tolerance policy for
incidents of sexual assault, communicated the respective policies at
command briefings, understood their roles and responsibilities in
supporting the programs, and understood the need to protect victims.
The results of our nongeneralizable survey supported these statements;
at the 14 installations where we administered our survey, the
percentage of servicemembers who indicated that they thought their
direct supervisor (military or civilian) would address sexual assault,
should it occur at their current location, ranged from 91 to 98
percent. However, we also found evidence that some commanders did not
support the programs. For example, at 3 of the installations we visited
program officials told us of meeting with resistance from commanders
when attempting to advertise, in barracks and work areas, the programs
or the options for reporting a sexual assault. Also, some program
officials told us that commanders do not support the programs because
they do not understand them or do not consider sexual assault matters
to be a priority in the military. Program officials also told us that
they lacked the resources to promote the programs and raise
servicemembers' awareness of sexual assault matters. Further, some key
program coordinators, such as Sexual Assault Response Coordinators or
Employee Assistance Program Coordinators, lack the time and resources
to devote to the programs. Neither DOD nor the Coast Guard has
performed a systematic analysis to evaluate their processes for
staffing key program coordinator positions, and thus both are hindered
in their ability to ensure that key installation-level program
officials can effectively perform their duties in implementing the
programs.
Training Is Not Consistently Effective:
Although DOD and the Coast Guard require that all servicemembers
receive periodic training on their respective sexual assault prevention
and response programs, our survey, interviews, and discussions with
servicemembers and program officials revealed that most but not all
servicemembers are receiving the required training, and that some who
have received it still would not know or were not sure how to report a
sexual assault using the restricted reporting option. We also found
that neither DOD nor the Coast Guard has systematically evaluated the
effectiveness of the training provided to date. Some servicemembers
told us that the training they received was not engaging and,
therefore, they did not pay attention, and others said that
servicemembers do not always take the training seriously. For example,
while the majority of respondents to our survey indicated that they had
received required sexual assault prevention and response training and
would know how to report a sexual assault using the restricted
reporting option, as table 1 shows, the percentage of servicemembers we
surveyed who indicated that they would not know or were not sure of how
to report a sexual assault using the restricted reporting option,
despite having received the training ranged from 13 to 43 percent at
the seven installations we surveyed in the United States and from 13 to
28 percent at the seven installations where we administered the survey
overseas.
Table 1: Percentage of Selected Servicemembers Who Reported Receiving
Required Sexual Assault Prevention and Response Training and Also
Reported They Would Not Know or Were Not Sure of How to Report a Sexual
Assault Using the Restricted Reporting Option:
Installation: United States: Camp Lejeune;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 68%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 32.
Installation: United States: Fort Bliss;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 81%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 19%.
Installation: United States: Fort Drum;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 84%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 16%.
Installation: United States: Integrated Support Command Portsmouth[A];
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 60%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 40%.
Installation: United States: Lackland Air Force Base;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 87%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 13%.
Installation: United States: Marine Corps Base Quantico;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 57%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 43%.
Installation: United States: Naval Station Norfolk;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 78%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 22%.
Installation: Overseas: Al Udeid Air Base;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 85%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 15%.
Installation: Overseas: Balad Air Base;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 82%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 18%.
Installation: Overseas: Camp Arifjan;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 83%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 17%.
Installation: Overseas: Camp Ramadi;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 87%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 13%.
Installation: Overseas: Camp Stryker;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 72%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 28%.
Installation: Overseas: Logistics Support Area Anaconda;
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 82%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 18%.
Installation: Overseas: Naval Support Activity Bahrain[B];
Percentage of selected servicemembers who reported having received
required training and also reported that they would know how to report
a sexual assault using the restricted reporting option: 78%;
Percentage of selected servicemembers who reported having received
required training and also reported that they would not know or were
not sure how to report a sexual assault using the restricted reporting
option: 22%.
Source: GAO.
[A] Includes servicemembers from Yorktown Training Center, Virginia.
[B] Includes Coast Guard members under the operational command of U.S.
Central Command.
[End of table]
Servicemembers who have not received the required training or who have
received training that is not effective may not know how to mitigate
the possibility of being sexually assaulted or how to seek assistance
if needed, and they are at risk for not knowing how to report an
assault in a way that does not limit their option to seek treatment
while maintaining confidentiality.
Access to Mental Health Services May Be Limited:
DOD and the Coast Guard require that sexual assault victims be made
aware of available mental health services, and in 2007, DOD's Mental
Health Task Force recommended that DOD take action to address factors
that may prevent some servicemembers from seeking mental health care.
However, we found that several factors--including a DOD-reported
shortage of mental health care providers, the logistical challenges of
operating overseas or in geographically remote locations, and
servicemembers' perceptions of a stigma associated with mental health
care--can affect whether servicemembers who are victims of sexual
assault can or do access mental health services. Further, we could find
no indication that either DOD or the Coast Guard has performed an
analysis to aid in addressing barriers to mental health care
specifically for victims of sexual assault. To their credit, DOD and
the Coast Guard screen servicemembers for mental health concerns, such
as post-traumatic stress disorder, which can afflict victims of sexual
assault. Officials at some of the installations we visited told us that
one barrier to ensuring that victims of sexual assault receive mental
health care if they desire it is the lack of adequate resources and
staff at some installations. Some mental health care officials we spoke
with overseas said that the shortage of providers can make it even more
difficult for servicemembers to seek mental health care, for any
reason, in overseas locations or geographically remote locations in the
United States. However, we did find that the military services were
taking steps to address this challenge. For example, DOD has
established a memorandum of understanding with the Public Health
Service to enable its uniformed providers to work in military treatment
facilities. Perceptions of stigma may also discourage servicemembers
from seeking mental health care following a sexual assault, but DOD
recently took steps that may encourage servicemembers to do so by
successfully advocating a revision to Standard Form 86, Questionnaire
for National Security Positions.[Footnote 7] Under the revision,
applicants no longer need to disclose certain noncourt-ordered mental
health care treatment received in the preceding 7 years if it was (1)
strictly marital, family, or grief related, as long as it was not
related to violence committed by the servicemember, or (2) strictly
related to adjustments following service in a military combat
environment. Further, in an April 2008 memorandum from the Secretary of
Defense, DOD noted that professional care for mental health issues
should not be perceived as jeopardizing an individual's security
clearance.[Footnote 8] However, officials with DOD's Sexual Assault
Prevention and Response Office told us that it is unclear whether these
steps will encourage servicemembers who are victims of sexual assault
to seek mental health care and whether the revisions apply to
servicemembers who have been sexually assaulted and seek mental health
care.
Survey Data Suggest That Occurrences of Sexual Assault May Exceed Rates
Reported:
We found, based on responses to our nongeneralizable survey
administered to 3,750 servicemembers and a 2006 DOD survey, the most
recent available, that occurrences of sexual assault may be exceeding
the rates being reported, suggesting that DOD and the Coast Guard have
only limited visibility over the incidence of these occurrences. We
recognize that the precise number of sexual assaults involving
servicemembers is not possible to determine, and that studies suggest
that sexual assaults are generally underreported in the United States.
Nonetheless, our findings indicate that some servicemembers may choose
not to report sexual assault incidents for a variety of reasons. In
fiscal year 2007, DOD received 2,688 reports of alleged sexual assault,
brought with either the restricted or unrestricted reporting option,
involving servicemembers as either the alleged offenders or victims.
The Coast Guard, which did not offer the restricted reporting option
during fiscal year 2007, received 72 reports of alleged sexual assault
brought with the unrestricted reporting option during that time period.
However, servicemembers told us that they were aware of alleged sexual
assault incidents involving other servicemembers that were not reported
to program officials, and a 2006 Defense Manpower Data Center survey
found that of the estimated 6.8 percent of women and 1.8 percent of men
who experienced unwanted sexual contact[Footnote 9] during the prior 12
months, the majority chose not to report it. At the 14 installations
where we administered our survey, 103 servicemembers indicated that
they had been sexually assaulted within the preceding 12 months.
[Footnote 10] Of these, 52 servicemembers indicated that they did not
report the sexual assault. Notably, respondents to our survey revealed
a number of reasons that discouraged servicemembers from reporting a
sexual assault incident. Commonly cited reasons by survey respondents
at the installations we visited included (1) the belief that nothing
would be done; (2) fear of ostracism, harassment, or ridicule by peers;
and (3) the belief that their peers would gossip about the incident.
There were also concerns that reporting an incident would negatively
affect their careers or unit morale and that a report made using the
restricted reporting option would not remain confidential.
While DOD and the Coast Guard Have Established Some Mechanisms for
Oversight, They Lack an Oversight Framework:
While DOD and the Coast Guard have established some mechanisms for
overseeing reports of sexual assaults involving servicemembers, both
lack an oversight framework, and DOD lacks key information needed to
evaluate the effectiveness of the department's sexual assault
prevention and response program. DOD's instruction charges the Sexual
Assault Prevention and Response Office (within the Office of the Deputy
Under Secretary of Defense for Plans) with identifying and managing
trends and establishing program evaluation, quality improvement, and
oversight mechanisms to evaluate the effectiveness of the sexual
response prevention and response program. Our prior work has
demonstrated the importance of outcome-oriented performance measures to
successful program oversight, and that an effective plan for
implementing initiatives and measuring progress can help decision
makers determine whether initiatives are achieving their desired
results.[Footnote 11] However, neither DOD nor the Coast Guard has
developed an oversight framework that includes clear objectives,
milestones, performance measures, or criteria for measuring progress.
While DOD and the military services provide information on reports of
alleged sexual assaults annually to Congress in accordance with
statutory requirements, its report does not include some data that
would aid congressional oversight, such as why some sexual assaults
could not be substantiated following an investigation. Further, because
some of the data collection elements are not clear, some data included
in DOD's annual reports to Congress are open to misinterpretation and
may not provide the information needed to facilitate congressional
oversight or understanding of victims' use of the reporting options. In
addition, the military services are not providing DOD with installation-
and case-specific data beyond those statutorily required for inclusion
in the department's annual report. Without such data, DOD lacks the
means to fully execute its oversight role. Congress also lacks
visibility over extent to which sexual assaults involving Coast Guard
members occur. While the Coast Guard voluntarily provides the data to
DOD for inclusion in its report, this information is not provided to
Congress because there is no requirement to do so. To provide oversight
of DOD's program, in 2004 Congress directed the Secretary of Defense to
establish the Defense Task Force on Sexual Assault in the Military
Services to undertake an examination of matters relating to sexual
assault in which members of the Armed Forces are either victims or
offenders. Although DOD considers the task force's work to be an
important oversight element, the task force only began its review in
August 2008. Without an oversight framework, as well as more complete
data, decision makers in DOD, the Coast Guard, and Congress lack
information they need to evaluate and oversee the programs.
Recommendations from Our August 2008 Report:
In our recently issued report, we suggested that Congress may wish to
improve oversight of sexual assault incidents in the Coast Guard by
requiring the Coast Guard to annually submit to Congress sexual assault
incident and program data that are methodologically comparable to those
required of DOD. We also made a number of recommendations to improve
implementation of sexual assault prevention and response programs and
improve oversight of the programs in DOD and the Coast Guard. With
regard to DOD, to improve program implementation we recommended that
the agency review and evaluate its guidance for the prevention of and
response to sexual assault, to ensure that adequate guidance is
provided to effectively implement the program in deployed environments
and joint environments; evaluate its processes for staffing and
designating key installation-level program positions, to ensure that
these individuals have the ability and resources to fully carry out
their responsibilities; review and evaluate its training, to ensure
that the military services are meeting requirements and to enhance
training effectiveness; systematically evaluate any factors that may
prevent or discourage servicemembers from accessing mental health
services following a sexual assault; and emphasize to all levels of
command their responsibility for supporting the program, and review the
extent to which resources are available to raise servicemembers'
awareness of sexual assault matters. To enhance program oversight, we
recommended that DOD develop an oversight framework to guide continued
program implementation and evaluate program effectiveness; take
specific steps to improve the usefulness of its annual report to
Congress as an oversight tool; direct the service secretaries to
provide installation-level incident data to the Sexual Assault
Prevention and Response Office; and direct the Defense Task Force on
Sexual Assault in the Military Services to begin its examination
immediately, now that all members of the task force are appointed. With
regard to the Coast Guard, we recommended that it evaluate its
processes for staffing key installation-level program positions, to
ensure that these individuals have the ability and resources to fully
carry out their responsibilities, and that it develop an oversight
framework to guide continued program implementation and evaluate
program effectiveness. In written comments on a draft of our report,
both DOD and the Coast Guard concurred with all of our recommendations.
Concluding Observations:
In closing, we want to recognize that DOD and the Coast Guard have
taken positive steps to prevent, respond to, and resolve reported
incidents of sexual assault. However, a number of challenges--such as
limited guidance for implementing DOD's policies in certain
environments; limited support from some commanders, and limited
resources for the programs; training that is not consistently
effective; limited access to mental health services; and the lack of an
oversight framework--could undermine the effectiveness of their
efforts. Left unchecked, these challenges could undermine DOD's and the
Coast Guard's efforts by eroding servicemembers' confidence in the
programs and thus decreasing the likelihood that sexual assault victims
will turn to the programs for help when needed, and by limiting the
ability of DOD and the Coast Guard to evaluate the overall successes,
challenges, and lessons learned from their programs.
Mr. Chairman and Members of the Subcommittee, this concludes my
prepared statement. I would be pleased to answer any questions you may
have at this time.
[End of section]
Contacts and Acknowledgments:
If you have any questions on matters discussed in this testimony,
please contact Brenda S. Farrell at (202) 512-3604 or farrellb@gao.gov.
Contact points for our Offices of Congressional Relations and Public
Affairs may be found on the last page of this statement. Key
contributors to this statement include Marilyn K. Wasleski, Assistant
Director; Joanna Chan; Pawnee A. Davis; K. Nicole Harms; Wesley A.
Johnson; Ronald La Due Lake; Amanda K. Miller; and Cheryl A. Weissman.
[End of section]
Footnotes:
[1] For purposes of this testimony, we use "military services" to refer
collectively to the Army, the Air Force, the Navy, and the Marine
Corps. While the Coast Guard is a military service, it generally falls
under the control of the Department of Homeland Security and not the
Department of Defense. Therefore, we address the Coast Guard separately
from the other military services.
[2] GAO, Military Personnel: The DOD and Coast Guard Academies Have
Taken Steps to Address Incidents of Sexual Harassment and Assault, but
Greater Federal Oversight Is Needed, [hyperlink, http://www.gao.gov/cgi-
bin/getrpt?GAO-08-296] (Washington, D.C.: Jan. 17, 2008).
[3] GAO, Military Personnel: Preliminary Observations on DOD's and
Coast Guard's Sexual Assault Prevention and Response Programs,
[hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-1013T]
(Washington, D.C.: July 31, 2008).
[4] GAO, Military Personnel: DOD's and Coast Guard's Sexual Assault
Prevention and Response Programs Face Implementations and Oversight
Challenges, [hyperlink, http://www.gao.gov/cgi-bin/getrpt?GAO-08-924]
(Washington, D.C.: Aug. 29, 2008).
[5] Department of Defense Directive 6495.01, Sexual Assault Prevention
and Response (SAPR) Program (Oct. 6, 2005), Department of Defense
Instruction 6495.02, Sexual Assault Prevention and Response Program
Procedures (June 23, 2006), and Commandant Instruction 1754.10C, Sexual
Assault Prevention and Response Program (SAPRP) (Dec. 20, 2007).
[6] Company grade officers encompass the ranks of O1-O3 and field grade
officers encompass the ranks of O4-O6.
[7] Standard Form 86, Questionnaire for National Security Positions, is
a governmentwide form applicable not only to DOD servicemembers and
civilians who occupy sensitive positions but to individuals who occupy
sensitive positions across the federal government.
[8] Secretary of Defense Memorandum, "Policy Implementation--Mental
Health Question, Standard Form (86), Questionnaire for National
Security Positions" (Apr. 18, 2008).
[9] The 2006 Gender Relations Survey of Active Duty Members defines
unwanted sexual contact to include rape, nonconsensual sodomy (oral or
anal sex),or indecent assault (unwanted, inappropriate sexual contact
or fondling) that can occur regardless of gender, age, or spousal
relationship.
[10] Of these 103 servicemembers, 85 were female, 14 were male, and 4
did not indicate a gender on the survey.
[11] GAO, Results-Oriented Cultures: Implementation Steps to Assist
Mergers and Organizational Transformations, [hyperlink,
http://www.gao.gov/cgi-bin/getrpt?GAO-03-669] (Washington, D.C.: July
2, 2003).
[End of section]
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