	State Has Worked with UNHCR on Various Measures Designed to Ensure the Integrity of the Resettlement Referral Process

In July 2017, we found that State and UNHCR have worked together on  several measures designed to ensure integrity in the process through  which UNHCR refers refugees to USRAP for potential resettlement in the  United States (or, the resettlement referral process). The organizations developed the framework to guide their  partnership, emphasizing measures such as oversight activities and risk  management. Additionally, UNHCR has developed standard operating procedures  (SOPs) and identity management systems to combat the risk of fraud and  worked with State to implement these activities in the resettlement  process. State and RSCs Have Policies and Procedures for Processing Refugees, but State Could Improve Efforts to Monitor RSC Performance

State and RSCs have policies and procedures for processing refugee  applications, but, as we found in July 2017, State has not established  outcome-based performance measures to assess whether RSCs are  meeting their objectives under USRAP. For example, RSCs are to  conduct prescreening interviews to record key information, such as  applicants’ persecution stories and information about their extended  family, and submit certain security checks based on the information  collected during the interview to U.S. agencies. State also establishes annual targets for the number of  refugees who depart for the United States from each RSC. Specifically, neither the  quarterly reports nor other monitoring reports we examined have or use  consistent outcome-based performance indicators from which State could  evaluate whether RSCs were consistently and effectively prescreening  applicants and preparing case files—key RSC activities that have  important implications for timely and effective USCIS interviews and  security checks. USCIS Has Policies and Procedures for Adjudicating Refugee Applications, but Could Improve Training and Quality Assurance

		USCIS Has Policies and Procedures to Adjudicate Refugee Applications, but Could Improve Training for Temporary Officers

USCIS has developed policies and procedures for adjudicating refugee  applications. We observed 29  USCIS refugee interviews at the four RSCs that we visited from June  2016 to September 2016 and found that the interviewing officers  completed all parts of the assessment tool and followed other required  policies. USCIS provides a  number of resources to officers to help them identify and address  potential national security-related concerns in USRAP applications. To further help interviewing officers adjudicate cases with national  security concerns, in 2016, USCIS completed a pilot program 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. State, USCIS, and Their Partners Have Implemented Antifraud Measures but Could Further Assess Staff and Applicant Fraud Risks

		To Address Fraud Risks, State and RSCs Have Taken Steps to Follow Many Leading Antifraud Practices but Could Improve Implementation of Controls and Assessment of Risk

According to State officials we interviewed for our July 2017 report, staff  fraud at RSCs occurs infrequently, but instances of staff fraud have taken  place in recent years, such as RSC staff soliciting bribes from applicants  in exchange for promises of expediting applicants through RSC  processing. Officials from all nine RSCs stated that they  assign staff fraud risk management responsibilities to designated  individuals. Reported compliance with  required, applicable measures at individual RSCs ranged from 86 percent  to 100 percent. State and USCIS Have Mechanisms to Help Detect and Prevent Applicant Fraud, but Could Jointly Assess Applicant Fraud Risks

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. 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. Specifically, we recommended that State take the following actions in  GAO-17-706: develop outcome-based indicators for RSC, as required by State monitor RSC performance against such indicators on a regular basis;  And we recommended that State take the following actions in  GAO-17-737: actively pursue efforts to ensure that RSCs comply with required,  applicable measures in the Program Integrity Guidelines; update guidance, such as the Program Integrity Guidelines, to require  each RSC to conduct regular staff fraud risk assessments that are  tailored to each RSC’s specific operations; and  regularly review RSC staff fraud risk assessments and use them to  examine the suitability of existing staff fraud controls and revise  controls as appropriate. State and USCIS concurred with all of our recommendations and have  actions underway to address them. This is a work of the U.S. government and is not subject to copyright protection in the  United States.
Why GAO Did This Study

According to UNHCR, as of June 2017, more than 21 million people were refugees worldwide. State manages the U.S. Refugee Admissions Program (USRAP) and coordinates with UNHCR, which refers the most applicants to USRAP, and USCIS, which adjudicates refugee applications. Deterring and detecting fraud is essential to ensuring the integrity of USRAP and an increase in the number of applicants approved for resettlement in the United States from countries where terrorists operate has raised questions about the adequacy of applicant screening.
This statement addresses (1) how State works with UNHCR to ensure program integrity in the UNHCR resettlement referral process; (2) the extent to which State and RSCs have policies and procedures on refugee case processing and State has overseen RSC activities; (3) the extent to which USCIS has policies and procedures for adjudicating refugee applications; and (4) the extent to which State, USCIS, and their partners follow leading practices to reduce the risk of staff and applicant fraud in USRAP. This statement is based on GAO's July 2017 reports regarding USRAP. To conduct that work, GAO analyzed State, USCIS, and UNHCR policies; interviewed relevant officials; conducted fieldwork in 2016 at selected UNHCR offices, as well as at RSCs in Austria, Jordan, Kenya, and El Salvador, where GAO observed a nongeneralizable sample of refugee screening interviews (selected based on application data and other factors).

What GAO Found

The Department of State (State) and the United Nations High Commissioner for Refugees (UNHCR) have worked together on measures designed to ensure integrity in the refugee resettlement referral process and have established a framework to guide their partnership. Working with State, UNHCR has implemented standard operating procedures and other guidance that, according to UNHCR officials, provides baseline requirements throughout the referral process. UNHCR also uses databases to help verify the identities of, and manage information about, refugees.
State and the nine worldwide Resettlement Support Centers (RSC) have policies and procedures for processing refugee applications. Overseen by State, the organizations that operate RSCs hire staff to process and prescreen applicants who have been referred for resettlement consideration. GAO observed 27 prescreening interviews conducted by RSC caseworkers in four countries and found that, for example, RSCs generally recorded key information and submitted any required security checks. However, State has not established outcome-based performance indicators to evaluate whether RSCs were consistently and effectively prescreening applicants and preparing case files—key RSC activities that have important implications for timely and effective adjudication and security checks. Developing outcome-based performance indicators would better position State to determine whether RSCs are meeting their responsibilities.
The Department of Homeland Security's U.S. Citizenship and Immigration Services (USCIS) has policies and procedures for adjudicating refugee applications for resettlement in the United States, including how officers are to conduct interviews and adjudicate applications. GAO observed 29 USCIS interviews and found that officers completed all parts of the required assessment. USCIS also provides guidance to help officers identify national security concerns in applications, which can be challenging to identify as country conditions evolve. In 2016, USCIS determined that its pilot to send officers with national security expertise overseas to support interviewing officers was successful. USCIS has taken steps to fill these positions, but it has not yet developed a plan for deploying these additional officers, whose expertise could help improve the effectiveness of the adjudication process.
State, USCIS, and their partners have implemented antifraud measures to reduce the risk of staff and applicant fraud—both of which have occurred—but could further assess fraud risks. Officials from all nine RSCs stated that they assign staff fraud risk management responsibilities to designated individuals. However, not all RSCs reported complying with all required program integrity measures—reported compliance at individual RSCs ranged from 86 to 100 percent. State has also not required RSCs to conduct regular staff fraud risk assessments tailored to each RSC or examined the suitability of related controls. Without taking additional steps to address these issues, State and RSCs may face challenges in identifying new staff fraud risks or gaps in the program's internal control system and implementing new control activities to mitigate them. Further, State and USCIS have not jointly assessed applicant fraud risk program-wide. Doing so could help them ensure that fraud detection and prevention efforts across USRAP are targeted to those areas that are of highest risk.

What GAO Recommends

GAO made recommendations to State and USCIS to strengthen the implementation of USRAP. State and USCIS agreed with GAO's recommendations and have begun taking actions to address them.