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Open Recommendations

Export Controls: Improvements Needed in Licensing and Monitoring of Firearms
GAO-25-106849
Feb 12, 2025
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12 Open Recommendations
Agency Affected Recommendation Status
Department of State The Secretary of State should assess the department's process for reviewing export license applications for Commerce-controlled firearms and determine the feasibility of consolidating coordination authority into one bureau. (Recommendation 1)
Open
State concurred with this recommendation. In commenting on the report, State said it would take steps to consolidate coordination authority for export license applications for Commerce-controlled firearms. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of State The Secretary of State should develop agencywide guidance for reviewing export license applications for Commerce-controlled firearms to ensure consistent reviews across reviewing bureaus. Such guidance should outline information relevant to the review process, including roles, responsibilities, and expectations for reviews, and should serve as a baseline from which the bureaus can develop bureau-level guidance relevant to their roles in the review process. (Recommendation 2)
Open
State concurred with this recommendation. In commenting on the report, State said it would take steps to develop agencywide guidance for reviewing export license applications for Commerce-controlled firearms. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of State The Secretary of State should ensure that the Assistant Secretary of State for International Security and Nonproliferation establishes mechanisms to ensure that State's decisions to review or decline to review Commerce's export license applications include the perspective of other State bureaus that have equities in these export license applications. (Recommendation 3)
Open
State concurred with this recommendation. In commenting on the report, State said it would take steps to establish a mechanism to ensure that its decisions to review or decline to review Commerce's export license applications include the perspective of State functional and regional bureaus. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of State The Secretary of State should ensure that the Under Secretary of State for Arms Control and International Security develops a process for sharing relevant information from DDTC's internal watch list with ISN to enhance oversight of Commerce-controlled firearms exports. (Recommendation 4)
Open
State concurred with this recommendation. In commenting on the report, State said it would take steps to develop a process for sharing relevant information from DDTC's internal watch list with ISN. According to State, DDTC and ISN are working to establish a joint feasibility study aimed at determining the level of information appropriate for assisting all parties in fulfilling their mission needs and will develop a memorandum of understanding, as appropriate, to codify the agreed upon process. When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
Department of State The Secretary of State should ensure that the Under Secretary of State for Arms Control and International Security develops a process to monitor and update its interagency agreement with Commerce to share watch list information to ensure that this agreement remains in effect. (Recommendation 5)
Open
State concurred with this recommendation. In commenting on the report, State said it would extend the duration of its interagency agreement with Commerce to share watch list information from three to five years. Additionally, State said it would take steps to ensure the agreement is reviewed annually and revised prior to its expiration. In February 2025, State and Commerce entered into an updated information-sharing agreement that will remain in effect until 2029. As a result of the agreement, Commerce and State can better ensure they have access to critical information needed to effectively screen firearms export license applications to ensure exported firearms are used as intended and by legitimate end users. To fully implement this recommendation, State needs to develop and document a process to monitor and update its interagency agreement with Commerce.
Department of Commerce The Secretary of Commerce should ensure that the Under Secretary of Commerce for Industry and Security develops a process to monitor and update its interagency agreement with State to share watch list information to ensure that this agreement remains in effect. (Recommendation 6)
Open
Commerce concurred with this recommendation. In commenting on the report, Commerce said it would extend its interagency agreement with State to share watch list information. In February 2025, Commerce and State entered into an updated information-sharing agreement that will remain in effect until 2029. As a result of the agreement, Commerce and State can better ensure they have access to critical information needed to effectively screen firearms export license applications to ensure exported firearms are used as intended and by legitimate end users. To fully implement this recommendation, Commerce needs to develop and document a process to monitor and update its interagency agreement with State.

Ukraine: DOD Can Take Additional Steps to Improve Its Security Assistance Training
GAO-25-107923
Jan 28, 2025
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3 Open Recommendations
Agency Affected Recommendation Status
Department of Defense The Secretary of Defense should ensure that the Under Secretary of Defense for Policy, in coordination with the Director of DSCA, issues guidance that requires the combatant commands to identify resources necessary for training when proposing a security assistance package, including situations that require rapid execution of PDA. (Recommendation 1)
Open
The Department of Defense (DOD) disagreed with this recommendation and stated it already provides guidance regarding a "total package approach" as part of security cooperation in DOD Directive 5132.03. We agree that DOD provides some guidance regarding the inclusion of training in security cooperation activities. However, our report describes gaps in DOD's existing guidance that hindered the department's ability to plan and identify training needs for defense articles delivered to Ukraine. Specifically, DOD did not have detailed guidance to assist planners in applying a total package approach when using PDA in a crisis security assistance scenario. In particular, the expanded size, scope, and speed of equipment delivered under PDA since 2022 contributed to unanticipated challenges for U.S. Army units delivering training to Ukrainian forces. The lack of guidance resulted in training-related challenges that were not fully identified and resolved until after the security assistance package was approved and sent to the service components for execution. Therefore, we believe this recommendation is warranted.
Department of Defense The Secretary of Defense should ensure that the Commander, U.S. European Command provides clear guidance to subordinate organizations on documenting approaches for assessing training provided to Ukrainian forces. Such guidance should include data elements and standards to ensure data quality. (Recommendation 2)
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The Department of Defense concurred with this recommendation and noted that it is committed to addressing it in a timely manner.
Department of Defense The Secretary of Defense should ensure that the Commander, U.S. European Command directs subordinate organizations to capture and share relevant observations from ongoing efforts to train Ukraine's forces through the Joint Lessons Learned Information System in a timely manner. These steps could include emphasizing the importance of recording observations in the Joint Lessons Learned Information System and requiring subordinate commands to develop clear implementing guidance that directs personnel to record observations in the Joint Lessons Learned Information System. (Recommendation 3)
Open
The Department of Defense concurred with this recommendation and noted that it is committed to addressing it in a timely manner.

Cuba Democracy Assistance: USAID Should Improve Collection of Security Risk Information to Help Awardee Mitigation Efforts
GAO-25-107712
Jan 02, 2025
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1 Open Recommendations
Agency Affected Recommendation Status
U.S. Agency for International Development The Administrator of USAID should ensure that the Office of Cuban Affairs works with USAID's Office of Security to develop a process to gather and document known Cuba democracy assistance security risks based on USAID's and implementers' experience prior to award implementation in order to review and, as appropriate, inform the actions of implementers. (Recommendation 1)
Open
USAID concurred with the recommendation. In January 2025, USAID stated that it had initiated several steps in response. For example, USAID stated that it had initiated a review of existing protocols and practices for gathering and documenting known security risks and had begun incorporating dedicated security sessions into post-award briefings for new awards. In the future, USAID stated that it planned to work with USAID's Office of Security to assess the feasibility of establishing a Partner Liaison Security Officer (PLSO) for implementers to report and share security-related incidents and risk information. In the future, USAID also plans to conduct quarterly risk analysis meetings with USAID operational teams and to update relevant program guidance for implementers. USAID has targeted completion of its responses to our recommendation by the end of fiscal year 2025. We will continue to follow-up with USAID on its course of action in response to our recommendation during fiscal year 2025.

Caribbean Firearms: Agencies Have Anti-Trafficking Efforts in Place, But State Could Better Assess Activities
GAO-25-107007
Nov 14, 2024
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1 Open Recommendations
Agency Affected Recommendation Status
Department of State The Secretary of State should ensure that the Bureau of International Narcotics and Law Enforcement updates the Caribbean Basin Security Initiative's Results Framework to establish firearms trafficking specific indicators. (Recommendation 1)
Open
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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