Refugee Admissions  Program (USRAP) partners of whether the  applicant qualifies for the U.S. The adjudication process  includes, among other things, at least one in- person interview; security checks; and, in  some instances, additional review of the  applicant’s case to address national security  concerns. Approved application: Determination by  USCIS officer that the applicant meets the  refugee definition and is otherwise eligible for  resettlement in the United States, and will  subsequently be processed for travel to the  United States. Based  on the interviews and security checks conducted, USCIS officers will  either approve or deny an applicant’s case. As figure 3 indicates, during this time frame,  more than 75 percent of applications were from refugees fleeing 6  countries—Iraq, Burma, Syria, Somalia, the Democratic Republic of  Congo, and Bhutan—and the number of applicants from certain countries  has changed over time. For example, according  to WRAPS data, about 9,000 applications submitted in fiscal years 2011  or 2012 were active in June 2016 and the applicants had not yet received  a USCIS interview. State’s USRAP Overseas Processing  Manual provides an outline of the policies and procedures involved in  overseas processing for USRAP, including instructions for using WRAPS,  requirements for what information RSCs should collect during  prescreening, and instructions and requirements for initiating certain  national security checks, among other things. Specifically, we observed 27  prescreening interviews conducted by RSC caseworkers at the four RSCs  we visited and found that these caseworkers generally adhered to State  requirements during these interviews. USCIS headquarters officials also offer feedback to State  headquarters officials on RSC operations after circuit ride teams return to  Washington, D.C.

		State Has Controls in Place to Monitor RSCs, but Does Not Have Outcome-based Indicators to Assess RSC Performance across Key Activities

State has control activities in place to monitor how RSCs implement  policies and procedures for USRAP, but it does not have outcome-based  performance indicators to assess whether RSCs are meeting their  objectives under USRAP. Although State has established objectives and monitors several  quantitative goals for RSCs—including the number of refugees that  depart each year for the United States and the number of applicants who  receive cultural orientation training—it has not established outcome- based performance indicators for key RSC activities such as  prescreening applicants or accurate case file preparation, or monitored  RSC performance consistently across such indicators. State could  develop an indicator from this information and measure progress against  it. Developing outcome-based performance indicators, as required by State  policy and performance management guidance, and monitoring RSC  performance against such indicators on a regular basis, would better  position State to determine whether all RSCs are processing refugee  applications in accordance with their responsibilities under USRAP. USCIS Has Policies and Procedures for Adjudicating Refugee Applications, but Could Improve Training and Quality Assurance

		USCIS Has Policies and Procedures to Assign Officers and Adjudicate Refugee Applications

			Staffing USCIS Circuit Rides

USCIS has policies and procedures to determine how to assign officers— RAD, IO, and temporary duty officers from other USCIS divisions—on  circuit rides to adjudicate USRAP applications. For example, USCIS has developed a refugee  application assessment tool that all officers are to use when interviewing  the applicant to determine if the applicant was appropriately granted  access to USRAP, had past persecution or a well-founded fear of  persecution, is credible, is not a persecutor, and is admissible to the  United States—including whether the applicant might be inadmissible due  to national security or terrorism-related concerns. State and USCIS Have Mechanisms to Help Detect and Prevent Applicant Fraud, but Could Jointly Assess Applicant Fraud Risks

		State, RSCs, and USCIS Have Implemented Mechanisms to Help Detect and Prevent Fraud Committed by USRAP Applicants

Fraud can occur in the refugee process in a number of ways, and State,  RSCs, and USCIS have implemented certain mechanisms to help detect  and prevent fraud by USRAP applicants. USCIS officers can encounter  indicators of fraud while adjudicating refugee applications, and State has  suspended USRAP programs in the past because of fraud. Because the management of USRAP involves several agencies, without  jointly and regularly assessing applicant fraud risks and determining the  fraud risk tolerance of the entirety of USRAP, in accordance with leading  practices, State and USCIS do not have comprehensive information on  the inherent fraud risks that may affect the integrity of the refugee  application process and therefore do not have reasonable assurance that  State, USCIS, and other program partners have implemented controls to  mitigate those risks. Moreover, regularly assessing applicant fraud risks  program-wide could help State and USCIS ensure that fraud prevention  and detection efforts across USRAP are targeted to those areas that are  of highest risk, in accordance with the program’s fraud risk tolerance. Moreover, developing and implementing a  plan to deploy additional USCIS SVPI officers with national security  expertise on select circuit rides would better ensure that USCIS provides  interviewing officers with the resources needed to efficiently and  effectively adjudicate cases with national security concerns. In addition,  conducting regular quality assurance assessments of refugee  adjudications would also provide USCIS officials with key information  about the quality of USCIS refugee adjudications and allow them to  identify any areas where officers face challenges, allowing RAD and IO to  target training or guidance to areas where it may be most needed. To better ensure that USCIS officers effectively adjudicate applications for  refugee status, the Director of USCIS should take the following three  actions: provide additional training, such as infield training, for any temporary  officers who adjudicate refugee applications on future circuit rides; develop and implement a plan to deploy officers with national security  expertise on circuit rides; and  conduct regular quality assurance assessments of refugee application  adjudications across RAD and IO. CAM is jointly run by the Department of State’s (State) Bureau of  Population, Refugees, and Migration and the Department of Homeland  Security’s (DHS) U.S. Citizenship and Immigration Services (USCIS). Nine State-funded  Resettlement Support Centers (RSCs) with distinct geographic areas of  responsibility communicate directly with applicants to process their  applications, collect their information, conduct a prescreening interview,  and prepare applications for adjudication by USCIS.
Why GAO Did This Study

Increases in the number of USRAP applicants approved for resettlement in the United States from countries where terrorists operate have raised questions about the adequacy of applicant screening.
GAO was asked to review the refugee screening process. This report (1) describes what State and DHS data indicate about the characteristics and outcomes of USRAP applications, (2) analyzes the extent to which State and RSCs have policies and procedures on refugee case processing and State oversees RSC activities, (3) analyzes the extent to which USCIS has policies and procedures for adjudicating refugee applications, and (4) analyzes the extent to which State and USCIS have mechanisms in place to detect and prevent applicant fraud. GAO reviewed State and DHS policies, analyzed refugee processing data and reports, observed a nongeneralizable sample of refugee screening interviews in four countries in 2016 (selected based on application data and other factors), and interviewed State and DHS officials and RSC staff.

What GAO Found

From fiscal year 2011 through June 2016, the U.S. Refugee Admission Program (USRAP) received about 655,000 applications and referrals—with most referrals coming from the United Nations High Commissioner for Refugees—and approximately 227,000 applicants were admitted to the United States (see figure). More than 75 percent of the applications and referrals were from refugees fleeing six countries—Iraq, Burma, Syria, Somalia, the Democratic Republic of Congo, and Bhutan. Nine Department of State- (State) funded Resettlement Support Centers (RSC) located abroad process applications by conducting prescreening interviews and initiating security checks, among other activities. Such information is subsequently used by the Department of Homeland Security's (DHS) U.S. Citizenship and Immigration Services (USCIS), which conducts in-person interviews with applicants and assesses eligibility for refugee status to determine whether to approve or deny them for resettlement.
a After receiving an application, USRAP partners determine whether the applicant qualifies for a U.S. Citizenship and Immigration Services (USCIS) interview.
b USCIS officers may place an application on hold after their interview if they determine that additional information is needed to adjudicate the application.
State and RSCs have policies and procedures for processing refugee applications, but State has not established outcome based-performance measures. For example, State's USRAP Overseas Processing Manual includes requirements for information RSCs should collect when prescreening applicants and initiating national security checks, among other things. GAO observed 27 prescreening interviews conducted by RSC caseworkers in four countries and found that they generally adhered to State requirements. Further, State has control activities in place to monitor how RSCs implement policies and procedures. However, State has not established outcome-based performance indicators for key activities—such as prescreening applicants and accurate case file preparation—or monitored RSC performance consistently across such indicators. Developing outcome-based performance indicators, and monitoring RSC performance against such indicators on a regular basis, would better position State to determine whether RSCs are processing refugee applications in accordance with their responsibilities.
USCIS has policies and procedures for adjudicating applications—including how its officers are to conduct interviews, review case files, and make decisions on refugee applications—but could improve training, the process for adjudicating applicants with national security concerns, and quality assurance assessments. For example, USCIS has developed an assessment tool that officers are to use when interviewing applicants. GAO observed 29 USCIS interviews and found that officers completed all parts of the assessment. USCIS also provides specialized training to all officers who adjudicate applications abroad, but could provide additional training for officers who work on a temporary basis, which would better prepare them to adjudicate applications. In addition, USCIS provides guidance to help officers identify national security concerns in applications and has taken steps to address challenges with adjudicating such cases. For example, in 2016, USCIS completed a pilot that included sending officers with national security expertise overseas to support interviewing officers in some locations. USCIS determined the pilot was successful and has taken steps to formalize it. However, USCIS has not developed and implemented a plan for deploying these additional officers, whose expertise could help improve the efficiency and effectiveness of the adjudication process. Further, USCIS does not conduct regular quality assurance assessments of refugee adjudications, consistent with federal internal control standards. Conducting regular assessments of refugee adjudications would allow USCIS to target training or guidance to areas of most need.
a All persons traveling to the United States by air are subject to standard U.S. government vetting practices.
State and USCIS have mechanisms in place to detect and prevent applicant fraud in USRAP, such as requiring DNA testing for certain applicants, but have not jointly assessed applicant fraud risks program-wide. Applicant fraud may include document and identity fraud, among other things. USCIS officers can encounter indicators of fraud while adjudicating refugee applications, and fraud has occurred in USRAP programs in the past. Because the management of USRAP involves several agencies, jointly and regularly assessing fraud risks program-wide, consistent with leading fraud risk management practices and federal internal control standards, could help State and USCIS ensure that fraud detection and prevention efforts across USRAP are targeted to those areas that are of highest risk.
This is a public version of a sensitive report issued in June 2017. Information that the Departments of Defense, Homeland Security, and State deemed to be sensitive is not included in this report.

What GAO Recommends

GAO recommends that State (1) develop outcome-based indicators to measure RSC performance and (2) monitor against these measures; USCIS (1) enhance training to temporary officers, (2) develop a plan to deploy additional officers with national security expertise, and (3) conduct regular quality assurance assessments; and State and DHS jointly conduct regular fraud risk assessments. State and DHS concurred with GAO's recommendations.