DOD Used CDC Guidance to Develop Its Sexual-Assault Prevention Strategy but It Did Not Specify How Related Activities Are Linked to Desired Outcomes or Fully Identify Factors Needed to Focus Its Prevention Efforts

DOD developed its sexual-assault prevention strategy in 2014 using  CDC’s framework for effective sexual-violence prevention strategies, but  DOD did not link prevention activities to desired outcomes or fully identify  risk and protective factors. DOD’s Strategy Does Not Fully Identify Risk and Protective Factors That May Put a Person at Risk for Committing Sexual Assault or, Alternatively, That May Prevent Harm

DOD’s strategy is based on CDC’s framework for effective sexual- violence prevention strategies, and it addresses some but not all of the  elements that CDC identified as necessary to maximize the effectiveness  of prevention efforts. Specifically referred to as risk  factors and protective factors, CDC’s work has demonstrated that by  identifying such influences—relative to the domain or environment in  which they exist—organizations can focus their efforts on eliminating  factors that promote sexual violence while also supporting the factors that  prevent it. We reviewed DOD’s strategy and found that it includes risk  factors identified by CDC for three of these domains—individuals,  relationships, and society. DOD also included six protective factors identified by CDC in its  prevention strategy, but it does not specify how they relate to the five  domains. Without a more  comprehensive list of such factors that correspond to each of the domains  in its strategy, DOD may be limited in its ability to take an evidence-based  approach to the prevention of sexual assault. DOD and the Services Are Implementing Prevention Activities but They Have Not Taken Steps to Help Ensure That Installation- Developed Activities Are Consistent with the Objectives of DOD’s Prevention Strategy

DOD and the military services developed and are in the process of  implementing prevention-focused activities, but they have not taken steps  to help ensure that activities developed at the local level are consistent  with the overarching objectives of DOD’s strategy. As noted previously,  DOD’s 2014–16 prevention strategy identifies 18 prevention-focused  activities and, according to SAPRO officials, 2 have been implemented  and efforts to address the remaining 16 are ongoing. However, these installation-developed activities may  not be consistent with DOD’s prevention strategy because DOD and the  services have not communicated the purpose of the strategy and  disseminated it to the installation-based personnel responsible for  developing and implementing activities at the local level. While the services’ SAPR policies generally address the  prevention of sexual assault, they have not been updated to align with  and operationalize the principles outlined in DOD’s most recent  prevention strategy. DOD Has Identified Prevention-Focused Measures, but They Are Missing Some Key Attributes Needed to Successfully Assess Program Performance

DOD has identified performance measures to assess the extent to which  its prevention efforts are achieving its goal to eliminate sexual assault in  the military, but these measures are missing many of the 10 key attributes  that our prior work has shown can contribute to assessing program  performance effectively. While all 5 of DOD’s prevention-focused measures demonstrate  some of the key attributes, collectively they are missing more than half of  these attributes. However, until DOD has fully developed its prevention-focused  performance measures, DOD and other decision makers may be unable  to effectively gauge the progress of the department’s prevention efforts. Recommendations for Executive Action

To improve the effectiveness of DOD’s strategy for preventing sexual  assault in the military, we recommend that, as part of the department’s  next biennial update to the 2014–16 sexual-assault prevention strategy,  the Secretary of Defense direct the Under Secretary of Defense for  Personnel and Readiness, in conjunction with the Secretaries of the  military departments, take the following five actions:  link sexual-assault prevention activities with desired outcomes, and identify risk and protective factors for all of its domains, including the  military community and its leaders. To determine the extent to which DOD has developed performance  measures to assess the effectiveness of its efforts to prevent sexual  assault in the military, we reviewed DOD’s 2013 Sexual Assault  Prevention and Response Strategic Plan, its 2014 Report to the President  of the United States on Sexual Assault Prevention and Response, its  annual report on sexual assault in the military for fiscal year 2014, its  2014-16 Sexual Assault Prevention Strategy, and other related  documents to identify performance measures that the department uses or  plans to use to assess its progress in preventing sexual assault in the  military.
Why GAO Did This Study

Sexual assault is a crime that devastates victims and has a far-reaching negative impact for DOD because it undermines DOD's core values, degrades mission readiness, and raises financial costs. DOD data show that reported sexual assaults involving servicemembers more than doubled from about 2,800 reports in fiscal year 2007 to about 6,100 reports in fiscal year 2014. Based on results of a 2014 survey, RAND estimated that 20,300 active-duty servicemembers were sexually assaulted in the prior year.
Senate Report 113-176 includes a provision for GAO to review DOD's efforts to prevent sexual assault. This report addresses the extent to which DOD (1) developed an effective prevention strategy, (2) implemented activities department-wide and at military installations related to the department's effort to prevent sexual assault, and (3) developed performance measures to determine the effectiveness of its efforts to prevent sexual assault in the military. GAO evaluated DOD's strategy against CDC's framework for effective sexual-violence prevention strategies, reviewed DOD policies, and interviewed cognizant officials.

What GAO Found

The Department of Defense (DOD) developed its strategy to prevent sexual assault using the Centers for Disease Control and Prevention (CDC) framework for effective sexual-violence prevention strategies, but DOD does not link activities to desired outcomes or fully identify risk and protective factors. Specifically, DOD's strategy identifies 18 prevention-related activities, but they are not linked to desired outcomes—a step that CDC says is necessary to determine whether efforts are producing the intended effect. CDC has also demonstrated that by identifying risk and protective factors—relative to the domain or environment in which they exist—organizations can focus efforts on eliminating risk factors that promote sexual violence while also supporting the protective factors that prevent it. DOD identifies five domains in its strategy and includes risk factors for three—individuals, relationships, and society—but it does not specify risk factors for the other two domains—leaders at all levels of DOD and the military community. Further, DOD does not specify how the protective factors, such as emotional health, identified in its strategy relate to the five domains. Thus, DOD may be limited in its ability to take an evidence-based approach to the prevention of sexual assault.
DOD and the military services are in the process of implementing prevention-focused activities, but they have not taken steps to ensure that installation-level activities are consistent with the overarching objectives of DOD's strategy. DOD's strategy identifies 18 activities, 2 of which DOD considers implemented while efforts to address the remaining 16 are ongoing. For example, DOD officials report that they have implemented the activity directing the development of a military community of practice. Additionally, GAO identified activities that had been developed and implemented at the four installations GAO visited, but found that they may not be consistent with DOD's strategy because it has not been communicated or disseminated to the personnel responsible for implementing the activities. Further, service policies—key conduits of such communication—do not provide the guidance necessary to unify the department's prevention efforts because they have not been updated to align with and operationalize the principles outlined in DOD's most recent strategy. Thus, DOD cannot be sure that all prevention-related activities are achieving the goals and objectives of the department's strategy.
DOD has identified five performance measures to assess the effectiveness of its prevention efforts, but these measures are not fully developed as they are missing many of the 10 key attributes that GAO has found can contribute to assessing program performance effectively, such as baseline and trend data, measurable target, and clarity. Specifically, all five performance measures demonstrate some of these attributes but collectively they are missing more than half of these attributes. All of the prevention efforts' measures demonstrate baseline and trend data but none of the measures have measurable target, clarity, and some of the other attributes. Without fully developed measures, DOD and other decision makers may not be able to effectively gauge the progress of the department's prevention efforts.

What GAO Recommends

GAO recommends that DOD link prevention activities with desired outcomes; identify risk and protective factors for all domains; communicate and disseminate its strategy to all program personnel; align service policies with the strategy; and fully develop performance measures. DOD concurred with all recommendations and noted actions it was taking.