Coast Guard: Documented Guidance for Notifying Congress of Investigations Needed

What GAO Found

The Coast Guard, within the Department of Homeland Security (DHS), has notified Congress in instances when statutorily required or requested to do so and, absent such a requirement or request, has also sometimes voluntarily and proactively notified Congress of investigations and related information. More specifically, the Coast Guard has notified Congress about certain aspects of administrative, criminal, and regulatory investigations in instances where notification is, and is not, required by statute. For example, the Coast Guard is required by statute to provide an annual report to Congress on the number of allegations of sexual assault and harassment involving members of the Coast Guard made during the year. Although not statutorily required, the Coast Guard has also notified Congress on information pertaining to investigations, such as outcomes of investigations that led to senior officers being relieved of their commands.

However, there is no DHS-wide policy regarding notifying Congress of investigations, and the Coast Guard's policy provides limited guidance and is spread across several documents addressing external communication.

For example:

• Coast Guard senior leaders are to consult with core congressional oversight committees on controversial, emergent, and complex national issues. For these issues the service is to enter into consultation to identify and address congressional interests. However, there is no agency guidance defining "controversial, emergent, and complex national issues."
• The Coast Guard may develop action plans to communicate internally and externally about high-profile, critical, or controversial issues, including the pending release of high-profile investigations (e.g., internal Coast Guard investigations). However, there is no agency guidance for the disclosure of such investigations.

Coast Guard officials indicated that they used judgment in applying the relevant policies. DHS officials told us that proactive congressional notification-those made absent a statutory requirement or congressional request-must be made on a case-by-case basis after considering numerous factors, including the level of congressional interest and the potential effects of notification on any ongoing investigations.

Coast Guard officials stated that while Coast Guard and DHS policies generally do not document factors to consider when determining which investigations and related information should lead to proactive congressional notifications, they do consider certain factors (e.g., the oversight value of the information and constituent impact) and could document them. Documenting its guidance for determining the investigations and other related information that warrant proactive congressional notification could better ensure the Coast Guard communicates with Congress when appropriate and provides Congress consistent opportunities for oversight.

Why GAO Did This Study

The U.S. Congress reviews, monitors, and oversees the executive branch's implementation of public policy and federal agencies' operations. In a series of investigations called "Operation Fouled Anchor," the Coast Guard Investigative Service examined more than 100 separate allegations of sexual assault that occurred between 1990 and 2006 at the Coast Guard Academy. Coast Guard leadership did not notify Congress of Operation Fouled Anchor until media reporting was imminent on the investigation in June 2023.

GAO was asked to review issues related to the Coast Guard's notification of investigations to Congress. This report examines (1) when the Coast Guard has notified Congress of investigations and (2) the extent to which the Coast Guard has policies to decide whether to proactively notify Congress of investigations and other related information.

GAO reviewed and analyzed Coast Guard reports submitted to Congress from 2019 through 2024 and policies for communicating investigative and related information to Congress. GAO interviewed Coast Guard and DHS officials.