Detailed Information on the
Refugee Transitional and Medical Services Assessment

Creating enhanced monitoring systems for monitoring Matching Grant program grantees.

Create enhanced monitoring systems for verifying client eligibility of Refugee Cash and Medical Assistance program.

Improve efficiency of data collection and monitoring through electronic data submissions.

Working with states to improve the accuracy and timeliness of data, in particular, Refugee Resettlement Program Estimates: Refugee Cash and Medical Assistance.

Improve efficiency of data collection and monitoring through electronic data submissions. Milestone: Collect completed Annual Outcome Goal Plan (AOGP) from state programs electronically.

Create enhanced monitoring systems for verifying client eligibility of Refugee Cash and Medical Assistance program. Milestone: Revise monitoring protocol.

Working with states to improve the accuracy and timeliness of data, in particular, Refugee Resettlement Program Estimates: Refugee Cash and Medical Assistance. Milestone: Conduct new state refugee coordinator training and highlight reporting procedures and timelines.

Create enhanced monitoring systems for monitoring Matching Grant program grantees. Milestone: Hire Matching Grant Analyst to enhance frequency of monitoring.

Improve efficiency of data collection and monitoring through electronic data submissions. Milestone: Incorporate state programs suggestions for improvement for Annual Outcome Goal Plan (AOGP).

Working with states to improve the accuracy and timeliness of data, in particular, Refugee Resettlement Program Estimates: Refugee Cash and Medical Assistance. Milestone: Address issues related to accuracy and timeliness of data reporting in revised monitoring protocol.

Measure: Increase the average hourly wage at placement (employment entry) to $8.80 by FY 2014.

Explanation:This measure looks at the quality of jobs obtained by refugees who have received assistance under the Refugee Cash and Medical Assistance (CMA) program. In FY 2004, 23 States reported higher wages than the average aggregate wage for all States ($8.07). Success under this measure would indicate that the CMA program is meeting its goal of promoting economic self-sufficiency to newly arriving refugees; by providing cash and medical assistance for a limited period of up to 8 months, ACF provides assistance and incentives that help refugees move quickly into good-quality jobs.

Measure: Increase the percent of refugees who enter employment through the Matching Grant (MG) program as a subset of all MG employable adults by a percent of the prior year's actual percentage outcome.

Explanation:Existing measure

Measure: Increase the percentage of clients enrolled in the Matching Grants program who achieve economic self sufficiency by the 180th day to 80 percent by CY 2014.

Explanation:The Matching Grant Program emphasizes family self-sufficiency (independence from cash assistance) and is characterized by a strong emphasis on early employment and intensive services to qualified refugees during the first four months after their arrival. Recently, the MG program has placed increased emphasis on 180-day self-sufficiency. The 180th day is by far, the best measure of the program and results in the best accountability measure of what we get for the money.

Measure: Increase the percent of cash assistance terminations due to earned income from employment for those clients receiving cash assistance at employment entry to 64.118 percent by FY 2014.

Explanation:For this measure, a cash assistance termination is defined as the closing of a cash assistance case due to earned income in an amount that is predicted to exceed the state's payment standard for the case based from employment on family size, rendering the case ineligible for cash assistance. Success under this measure would indicate that the CMA program is meeting its goal of promoting economic self-sufficiency through cash and medical assistance to newly arriving refugees (who are eligible for this assistance for only up to 8 months after arrival in the U.S.).

Measure: Increase the number of Matching Grant (MG) program refugees who are self-sufficient (not dependent on any cash assistance) within the first six months (180 days) after arrival, per million federal dollars awarded to grantees (adjusted for inflation).

Explanation:This proposed efficiency measure focuses on the 180-day (six month) self-sufficiency of refugees in the MG program. The MG program awards approximately $50 million in federal funding to grantees each calendar year, serving approximately 25,000 refugees annually. To calculate performance on this measure, the number of refugees who are self-sufficient at 180 days is divided by the federal award (in millions of dollars) to grantees for that year. The measure is adjusted for inflation with a baseline year of 2004, using the Consumer Price Index Inflation Calculator.

Measure: Increase the percent of refugees who are self-sufficient (not dependent on any cash assistance) within the first six months (180 days) after arrival by a percent of the prior year's actual percentage outcome.

Explanation:The measure is focused on self-sufficiency at 180 days, due to the Matching Grant Program's recent increased emphasis on this timeline.

Measure: Increase the percent of refugees who are self-sufficient (not dependent on any cash assistance) within the first four months (120 days) after arrival by a percent of the prior year's actual percentage outcome.

Explanation:Existing measure

Measure: For refugees receiving Temporary Assistance for Needy Families (TANF) or other forms of federal cash assistance, shorten the length of time from arrival in the U.S. to achievement of self-sufficiency.

Explanation: This developmental efficiency measure reflects ORR's efforts to improve grantees' efficiency in helping refugees and entrants terminate federal cash assistance by obtaining unsubsidized employment. Helping refugees to achieve self-sufficiency more quickly will reduce federal spending on employment services, as well as cash and medical assistance, that assist refugees in obtaining employment. ORR is currently working to revise its reporting tools to gather appropriate data to effectively measure this length of time. Baseline data for FY 2007 data will be established by late 2008.

Is the program purpose clear?

Explanation: The overarching goal of the refugee program is to assist refugees (including refugees, asylees, Cuban and Haitian entrants, certain Amerasians from Vietnam who are admitted to the U.S. as immigrants, certain Amerasians from Vietnam who are U.S. citizens, and victims of a severe form of trafficking who have obtained certification of eligibility) to attain economic self-sufficiency as soon as possible after arrival. Within this Congressional mandate, the Office of Refugee Resettlement (ORR) provides transitional financial and medical assistance for a period of eight months for the purposes of food, shelter, clothing, medical care and treatment of infectious diseases to newly arriving refugees, the vast majority of whom are destitute and homeless upon arrival in the U.S. The program is designed as a temporary safety net. There are three major programs under the Transitional and Medical Services (TAMS) line item: Refugee Cash and Medical Assistance (RCA/RMA) operating as a State-administered program in 40 States; the Matching Grant (MG) Program, administered by 9 voluntary agencies in 250 sites; and 11 Wilson/Fish (WF) programs for alternative programs of cash assistance and services. Under the RCA/RMA program, ORR provides reimbursement to States and grants or contracts to public or private nonprofit agencies for 100 percent of the cash assistance and medical assistance provided to any eligible refugee during the first eight months following arrival in the U.S. (or, in the case of any asylee, the first eight months following grant of asylum). The MG program promotes economic self-sufficiency through intense case management and employment services to newly-arrived refugees. Local resettlement affiliates provide these services in addition to maintenance services such as food, housing, clothing, orientation and transportation for a minimum of 120 days from date of eligibility. They also are required to provide a match in cash or in-kind of 50 percent ($1,000) of the federal per capita grant of $2,000. The objectives of the program are to encourage local ethnic and religious participation in resettlement while helping clients to become economically self-sufficient within 180 days of enrollment in the program--without accessing other public cash assistance. In all three programs, cash assistance is conditioned on the refugee's acceptance of appropriate offers of employment.

Evidence: "Authorization for Programs for Domestic Resettlement of and Assistance to Refugees:?? Conditions and Considerations - Section 412(a)(1) of the Immigration and Nationality Act (INA); Cash Assistance and Medical Assistance to Refugees - Section 412 (e)(2) of the INA. Wilson Fish Announcement - FR/Vol. 69, No. 65, p 17692, 4/5/2004, Wilson-Fish Amendment - Section 412(e)(7) of the INA. www.acf.dhhs.gov/programs/orr/policy/refact4.htm The mission of ORR is found at: www.acf.hhs.gov/programs/orr/mission/index.htm The CY 2005 Matching Grant Program Announcement is found at: www.acf.hhs.gov/programs/orr/policy/mgcy_content_announcement2005.htm The Matching Grant program is authorized by section 412(c)(1)(A) of the Immigration and Nationality Act (INA), as amended, (8 U.S.C. 1522(c)1)(A)). See also Section 7 of the Refugee Assistance Extension Act of 1986 (Pub.L. No. 99-605)(8 U.S.C. 1522 note). "

Does the program address a specific and existing problem, interest, or need?

Explanation: It is the historic policy of the U.S. to admit to this country refugees of special humanitarian concern, reflecting the core values and tradition of being a safe haven for the oppressed. Since 1975, the U.S. has resettled 2.4 million refugees, with nearly 77% being either Indochinese or citizens of the former Soviet Union -- the two groups in whom the U.S. has had particularly strong humanitarian and foreign policy interests during the past three decades. Since the enactment of the Refugee Act of 1980, annual admissions figures have ranged from 61,000 in 1983 to a high of 207,000 in 1980. The average number admitted annually since 1980 is 98,000. Refugees and other eligible clients often arrive in this country with very little, having fled persecution in their own countries and sometimes having spent years in closed refugee camps without a means of supporting themselves. They are likely to not speak English and are unfamiliar with American culture. Often, their educational and technical skills are well below American standards. Most refugees arrive in the country with no financial resources. Refugees may receive some limited financial assistance through the reception and placement grants awarded through the Department of State, but these resources are quickly exhausted in covering the basic essentials in setting up a household in a new community. ORR attempts to address these deficiencies through the RCA/RMA and MG programs. RCA/RMA is available to refugees who do not meet the eligibility standards for other federal programs such as TANF, Medicaid, and SSI, for up to eight months following their arrival to the U.S. Persons granted asylum and trafficking victims are also eligible to receive Refugee RCA/RMA. The MG program is available to refugees who have been resettled by voluntary agencies under Cooperative Agreements with the Department of State/Bureau of Population, Refugees and Migration (PRM) and The Department of Homeland Security to initially receive the clients from overseas operations and provide initial reception and placement services.

Evidence: For the history of the Matching Grant program, see: www.acf.hhs.gov/programs/orr/programs/matchgh.htm ORR collects reports three times per year plus annual narrative reports on the progress of clients. Data elements include: enrollments, job placements, hourly wage, health benefits, and whether the job placements have rendered the case economically-self-sufficient. See www.acf.hhs.gov/programs/orr/programs/mgrepreq.htm ?? Eligibility for refugee services is found at: www.acf.hhs.gov/programs/orr/programs/eligib.htm ?? Matching Grant has additional eligibility criteria found in the program guidelines. To be eligible, the client caseload must have employable adults willing and able to become employed soon after arrival and earn enough to support the family unit. ?? ORR maintains a Refugee Arrivals Data System (RADS) which provides data on the country of origin, date of arrival, and State of initial resettlement, etc. This data base is used to answer individual queries and is used to create tables of arrival data in aggregate form in the Annual Report to Congress found at: www.acf.hhs.gov/programs/orr/reporting/index.htm ?? According to the Refugee Resettlement Program FY 2002 Report to Congress, the U.S. admitted 27,070 refugees and Amerasian immigrants in FY 2002. An additional 16,015 Cuban and 719 Haitian nationals were admitted as entrants for a total of 43,804 arrivals.

Is the program designed so that it is not redundant or duplicative of any other Federal, state, local or private effort?

Explanation: There are no Federal, state, local, or private efforts with similar purpose and goals.?? The RCA/RMA program and the MG program are the only domestic programs that provide temporary cash and medical assistance, as well as (in the case of the MG program) intensive case management and employment services, to refugees in a manner that promotes refugee early employment and economic self-sufficiency. The RCA/RMA and MG programs are also the only programs that provide refugees with linguistically and culturally appropriate case management.?? Other mainstream cash assistance (such as ACF's Temporary Aid for Needy Families (TANF) program) and employment programs do not provide such culturally-targetted services. In the case of RCA/RMA, this program meets the short-term cash and medical assistance needs of refugees and entrants who are not eligible for TANF, Medicaid, or SSI benefits and who would therefore have a more difficult time achieving rapid self-sufficiency. Families with children under age 18 are usually eligible for support from the TANF program. Refugees who are aged, blind, or disabled may receive assistance from the SSI program. Refugees eligible for these two programs may be enrolled in the Medicaid program which provides medical assistance to low-income individuals and families. Refugees who meet the income and resource eligibility standards for the TANF and Medicaid programs but are categorically ineligible for these programs - single individuals, couples without minor children, or as two-parent families in certain states with restrictive TANF programs, may receive cash and medical assistance under the RCA/RMA program. The MG program was designed as an alternative to RCA/RMA and the TANF program for which clients may also be eligible. Clients participating in the MG program are ineligible for other public assistance programs. ORR does not reimburse States for their costs of the TANF, SSI, and Medicaid programs. Coordination with local agencies and the State-administered programs preclude enrolling in these programs simultaneously. Without the MG program, clients could access TANF or RCA/RMA, if eligible. The Department of State's Reception and Placement program covers basic needs for the first thirty days that a refugee family or individual is in the U.S. ORR's programs provide longer term assistance and services and do not duplicate this program.

Evidence: Refugees who qualify may receive RCA and RMA for up to eight months following their arrival to the United States.?? Persons granted asylum and trafficking victims are also eligible to receive RCA and RMA.?? Refugees must be determined ineligible for TANF and Medicaid before a state or its designee determines eligibility for RCA and RMA.?? ORR does not reimburse States for their costs of the TANF, SSI, and Medicaid programs [45 CFR 400.53; 45 CFR 400.100]. See www.acf.hhs.gov/programs/orr/policy/sl04-08att1.htm for program guidelines and outcome measures. For all pertinent information on the Matching Grant program, see the Matching Grant page of the ORR website at: www.acf.hhs.gov/programs/orr/programs/matchgva.htm For a description of State-administered social services, see: www.acf.hhs.gov/programs/orr/programs/orrfgp.htm Fact sheets, releases, and funding descriptions from the Department of State's Reception and Placement Program demonstrate the DOS's role in the continuum of care for refugees who are resettled in this country. These can be found at www.state.gov/g/prm/rls/fs/ and www.state.gov/g/prm/rls/orgfund/

Is the program design free of major flaws that would limit the program's effectiveness or efficiency?

Explanation: Allowing both state-administered programs and WF programs to administer cash and medical assistance to refugees gives states and localities the ability to create refugee programs that effectively and efficiently move refugees to self-sufficiency and employment. The program gives states the flexibility to establish a public/private refugee cash assistance program with local resettlement agencies, operate a publicly-administered RCA program modeled after a state's TANF program, or establish an alternative approach under the existing WF program.??The WF Amendment provides authority for the Secretary of HHS to implement alternative projects for refugee for interim support, medical services, support services and case management to encourage self-sufficiency, reduce welfare dependence and foster greater coordination among resettlement agencies and service providers. WF programs are established under two categories: 1. To maintain a refugee program in a State where the State is not participating in the refugee program or is withdrawing from all or part of the refugee program; and 2. To provide an alternative to the existing system of assistance and services where it is in the best interest of refugees to receive assistance and services outside the traditional welfare system. Although the RCA/RMA program has gone from allowing 18 months of assistance to 12 months, to now 8 months of assistance, so far there has not been any reduction in the program's effectiveness or efficiency. The program is designed as a temporary safety net and the goal is to move people toward employment and economic self-sufficiency as soon as possible. Setting the time limit for assistance at 8 months has allowed ORR to continue to serve all eligible refugees, while discouraging dependence. Data indicates that the shift to a shorter assistance time has not had an adverse effect on refugee employment and self-sufficiency.

Evidence: The state must provide assurances in the Refugee State Plan or WF Cooperative Agreement that it will carry out the refugee program in accordance with the INA and the ORR regulations.?? The state must also provide assurances in the refugee State plan that the general eligibility requirements for RCA and RMA are met according to Sections 400.53 and 400.100 of the ORR regulations, respectively. Sections 400.65 through 400.69 of the ORR regulations require that a state that has a publicly-administered RCA program submit an amendment to its State Plan describing the elements of its TANF program that will be used in the RCA Program. States with public/private RCA programs must develop a public/private RCA plan which describes how the state and local resettlement agencies will administer and provide refugee cash assistance to eligible refugees. WF agencies are required to submit an annual application which describes how it will administer and provide cash assistance to eligible refugees. Section 400.49 of the ORR regulations require that "The State agency or its designee agency(s) must maintain a procedure to ensure recovery of overpayments and correction of underpayments in the RCA program for both the public/private RCA programs and the publicly-administered RCA programs. The 1993 survey of the 5-year (1989 - 1993) refugee population found that 32.5 % of adult refugees' were employed, compared to 61.7% of the general population. By 2004, the refugee employment rate had surged to 62.6%, exceeding the rate of the general population (62.3 %). This information is in the FY 2004 Annual Report to Congress.

Is the program design effectively targeted so that resources will address the program's purpose directly and will reach intended beneficiaries?

Explanation: RCA/RMA program is designed for and specifically funded to assist refugees during their initial resettlement period; and is available only to refugees who do not meet the categorical eligibility standards for other federal cash and medical assistance programs, for a period of up to eight months.?? The Federal government provides 100 percent of the funds to State governments and WF agencies that are responsible for administering a State refugee program. In order for a state to receive refugee resettlement assistance, it must submit to ORR a State Plan that meets federal requirements. In addition, states estimate the average number of recipients for each category of assistance and the average unit cost over 12 months. The MG program targets only newly-arrived refugees, asylees, Cuban/Haitian entrants and victims of human trafficking. Eligible clients must elect to participate in the program within 31 days of eligibility, normally date of arrival in the country, and agree not to participate in any other public assistance program while enrolled in the program. Eligibility for grantees is limited to those Voluntary Agencies that have relationships with refugees, asylees, Cuban/Haitian entrants because of the cooperative agreements called "reception and placement grants" with either the DOS's Bureau of Population, Refugees and Migration, or the DHS. These two departments determine eligibility for all ORR programs and funnel clients to ORR via the Voluntary Agencies. Federal law and regulation and program guidelines contain clear language on how funds must be spent for allowable activities that directly address the program's purpose. It is estimated that over half of all federal funds go directly to the clients, while the remainder pay for case management, orientation and job services directly to the clients and to cover agency overhead. Program funds provide weekly cash allowances, pay for housing when needed (i.e., not living with a sponsor/family member) and transportation and food allowances directly to the clients. In addition, clients receive supplemental cash, goods and services provided through each agency's match. Local agencies have limited flexibility in allocating resources to individual clients based on need. All agencies must meet the minimum standards outlined in the program announcement. Any "savings" from a particular client that becomes self-sufficient quickly, are allocated to cases that take a longer period to become self-sufficient This enables agencies to work longer with individual clients that would otherwise not complete the program successfully.

Evidence: See www.acf.hhs.gov/programs/orr/policy/index.htm#reg for ORR regulations uscis.gov/graphics/lawsregs/INA.htm for the Immigration Nationalities Act For a complete review of local program descriptions, see the Voluntary Agencies' 2004 Matching Grant applications which cover the 2004-2006 period. These are available from ORR and/or ACF grants management.

Does the program have a limited number of specific long-term performance measures that focus on outcomes and meaningfully reflect the purpose of the program?

Explanation: ORR has three long-term measures related to economic self-sufficiency. Economic self-sufficiency is earnings/income for the total family at a level that enables a family unit to support itself without receipt of cash assistance. For the first measure, a cash assistance termination is defined as the closing of a cash assistance case due to earned income in an amount that is predicted to exceed the State's payment standard for the case based from employment on family size, rendering the case ineligible for cash assistance. The second wages measure addresses the quality of jobs obtained by refugees who have received assistance under CMA program. FY 2004 saw significant improvement in the quality of jobs found for refugees. Twenty-five States reported higher wages at placement than in FY 2003. In FY 2004, 23 States reported higher wages than the average aggregate wage for all States ($8.07). The third measure captures the program's emphasis on early employment and intensive services to qualified refugees during the first four months after their arrival. The MG program places increased emphasis on early self-sufficiency through performance-based awards based on 180-day self-sufficiency. The 180th day was chosen as a benchmark for historical reasons related to refugee tracking practices of the DOS, and because 180 days is the longest the MG program is able to continue to collect data on participant employment and self-sufficiency.

Evidence: The goal of the refugee program is to assist refugees to attain economic self-sufficiency as soon as possible after arrival. The Refugee Cash and Medical Assistance (RCA/RMA) program promotes economic self-sufficiency through cash and medical assistance for newly arriving refugees to enable them to gain and maintain employment. Economic self-sufficiency is defined as independence from cash assistance due to earnings.

Does the program have ambitious targets and timeframes for its long-term measures?

Explanation: Proposed Long-term measures: -Increase the percent of cash assistance terminations due to earned income from employment for those clients receiving cash assistance at employment entry to 30% by FY 2010. -Increase the average hourly wage at placement (employment entry) to $8.55 by FY 2010. - Increase the percentage of enrolled clients who achieve economic self-sufficiency by the 180th day to 81% by CY 2009. These targets are ambitious because performance is dependent upon the size and composition of the families that arrive in the U.S. and subsequently enroll in the MG program. Unlike in the past 25 years when the U.S. brought in refugees from a limited number of countries, current refugee populations are coming from a far greater number of countries and are therefore increasingly diverse in language, culture, and the nature of their barriers to employment.

Evidence: Quarterly Performance Reports - (OMB 0970-0036) Annual Outcome Goal Plans In the Matching Grant program, each agency and affiliate are required to have self-sufficiency goals. These goals are submitted each year as part of the application process. These goals are compared to actual outcomes submitted in the triennial progress reports and the annual narrative report. For CY 2004, the national average for achieved self-sufficiencies was 77% of clients enrolled. When setting outcome goals for the long-term performance measure, States/Wilson-Fish agencies establish annual goals aimed at improving upon the previous year's actual performance. Voluntary Agencies also set goals for self-sufficiencies and retentions at 180-days for local affiliates and the agency overall. States/Wilson-Fish agencies use actual unduplicated performance data from the previous quarter as the basis for establishing an annual goal for each outcome measure. States/Wilson-Fish agencies are asked to establish goals aimed at improving upon the previous year's actual performance. States/Wilson-Fish agencies that reach a high employment and self-sufficiency rate of 85% among employable refugees may establish goals to maintain that level of outcomes instead of aiming for continued improvement. States/Wilson-Fish agencies are asked to provide information to explain the actual outcomes in terms of local conditions that may have affected performance during the year, such as labor market conditions, or other factors that had an impact on the ability to achieve goals, such as an unanticipated reduction in the refugee arrivals. States/Wilson-Fish agencies with low payment standards and low refugee utilization of cash assistance are asked to explain their outcomes by including information on welfare avoidance to the maximum extent feasible. Usually these States have a high number of entered employments but very few cash assistance termination and reductions because most refugees are placed in employment very soon after arrival and do not access cash assistance. ORR develops annual targets for annual measures based on the prior year's actual percentage outcome as opposed to raw numbers, and takes into account both the factors used by states/Wilson-Fish grantees as well as actual performance when setting targets. This allows for fluctuations in the caseload since States base their employment goals on projected caseloads.

Does the program have a limited number of specific annual performance measures that can demonstrate progress toward achieving the program's long-term goals?

Explanation: See 2.1. The annual measures are the same as the long-term measures to demonstrate direct progress in achieving the long-term goals. Proposed Efficiency Measure: Increase the number of MG program refugees who are self-sufficient (not dependent on any cash assistance) within the first six months (180 days) after arrival, per million federal dollars awarded to grantees (adjusted for inflation). The baselines and targets for this measure are as follows. The long-term (CY 2009) goal for this measure is to increase the number of MG program refugees who are self-sufficient (not dependent on any cash assistance) within the first six months (180 days) after arrival, per million federal dollars awarded to grantees (adjusted for inflation), to 430. CY Target Actual 2007 410 2006 400 2005 390 2004 Baseline year 385

Evidence: Quarterly Performance Reports Annual Outcome Goal Plan ACF Performance Plan Annual Report to Congress

Does the program have baselines and ambitious targets for its annual measures?

Explanation: In the MG program, each agency and affiliate are required to have self-sufficiency goals. These goals are submitted each year as part of the application process. These goals are compared to actual outcomes submitted in the triennial progress reports and the annual narrative report. For CY 2004, the national average for achieved self-sufficiencies was 77% of clients enrolled. The annual targets are ambitious, as stated in 2.2, because performance is dependent upon the size and composition of the families that arrive in the U.S.. Unlike in the past 25 years when the U.S. brought in large numbers of refugees from a limited number of countries, current refugee populations are coming from a far greater number of countries and are therefore increasingly diverse in language, culture, and the nature of their barriers to employment.

Evidence: Data are submitted quarterly by all States and WF agencies via the quarterly performance report (Form ORR-6). Data for the Matching Grant are submitted to ORR three times per year on the Matching Grant Progress Report form.?? Baseline data for all annual measures were derived from FY 2002 annual unduplicated outcome data as reported on the annual Outcome Goal Plans through FY 2002.?? As of FY 2003, targets were set based on the previous year's actual percentage outcome as opposed to raw numbers.?? The reason for the change was to allow for fluctuations in the caseload since States base their employment goals on projected caseloads. Baseline data for the Matching Grant program are derived from the Calendar Year 2002 outcomes.?? Matching Grant unduplicated annual performance data are submitted to ACF in February of each year. Triennial progress reports are also submitted to ORR for the Matching Grant program.

Do all partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) commit to and work toward the annual and/or long-term goals of the program?

Explanation: In 1995, ORR worked with State Refugee Coordinators, voluntary agencies, ethnic organization partners, and ORR staff to develop and adopt performance measures that are results-oriented, quantifiable, stated in terms of positive change in social or economic conditions for refugees using services, and that measure program effectiveness.?? Annually, ORR staff work with States, MG grantees, and WF grantees to review progress against annual and long-term goals and to establish new benchmarks for the coming year. On a quarterly basis, States submit actual performance data which is evaluated by ORR staff. The ORR Director annually convenes a consultation with representatives of voluntary agencies and State and local governments for the purpose of developing and implementing policies and strategies for the placement and resettlement of refugees within the U.S.. These consultations include discussions of management and administrative issues related to performance and evaluation. Under the MG program, all national voluntary agencies and their respective local affiliates commit to working toward the annual goals of the program and submit their respective goals in the annual application.

Evidence: Since FY 1995 ORR has been working in partnership with States/WF agencies to implement the requirements of GPRA.?? The joint efforts have moved the program to a focus on results through the process of setting and reporting annual outcome goals.?? Quarterly Performance Report (QPR) (ORR-6) (OMB No.0970-0036). www.acf.dhhs.gov/programs/orr/reporting/orr6_inst_qpr.htm www.acf.hhs.gov/programs/orr/policy/mgcy_announcement2005.htm#5 : includes the section on goal setting for the Matching Grant program. "ORR Guidance on Setting GPRA" goals under the Matching Grant program was attached to the program announcement.

Are independent evaluations of sufficient scope and quality conducted on a regular basis or as needed to support program improvements and evaluate effectiveness and relevance to the problem, interest, or need?

Explanation: Several major evaluations of ORR programs have been completed or are underway; evaluations of the refugee program have been completed regularly over the past 15 years, and continue to be conducted. In FY 2004, funding was provided to ORR to conduct independent and quality evaluations of its Refugee Social Service (RSS) Formula and Targeted Assistance (TAG) employability programs.?? The evaluation will answer the primary research question:?? How effective are the employability programs administered by ORR via the RSS and TAG grant programs, particularly in terms of employment and outcome? Recipients of RCA/RMA are a key target population to assess in answering the study's research questions due to the fact that they must participate in employability services as a condition of benefit receipt. Additionally, the Code of Federal Regulations establishes refugee cash assistance recipients as a priority for receiving employability services. The evaluation of ORR's social services and targeted assistance funding is being conducted by the Lewin Group along with four subcontractors, the Urban Institute, the National Opinion Research Center, and the Southeast Asia Resource Center. The first draft of the final project report will be submitted to ORR by July 21, 2006 and the final report two weeks after getting comments from ORR and ACF. ORR believes that this evaluation is of high quality, sufficient scope (in that it looks at three distinct sites with diverse refugee populations, service delivery models, and labor markets), and unbiased and independent (being completed by a renowned group of researchers with no particular links to ORR). In addition, ORR conducted an assessment of the WF Program in FY 2004-2005 through a task order with the Institute of Social and Economic Development. ORR also completes an Annual Survey of Refugees.

Evidence: The final evaluation project report from the Lewin study will present information on the study and evaluation approach, the set of refugee programs and services being studied and the outcomes documented for the sample of refugees. The report will also describe the extent to which the findings can be generalized (the approved Lewin Group proposal is being provided as evidence). The report will include discussion of approaches for continuous evaluation. The ORR Annual Survey results are published in the ORR Annual Report to Congress each year. ORR staff prepares monitoring reports which discuss major findings, both in terms of best practices and problems/issues and recommended corrective actions. ISED WF assessment reports. Monitoring reports of select Matching Grant sites The History of the Matching Grant program is available on the ORR webpage at: www.acf.hhs.gov/programs/orr/programs/matchgh.htm The Office of the Inspector General conducted an evaluation of the Matching Grant program in 1994. Refugee Early Employment Project Evaluation Study: The effectiveness of alternative strategies for the delivery of cash assistance, social services, and case management was evaluated through a three year study completed in 1989 by the Refugee Policy Group (RPG), a Washington-based refugee advocacy organization. California Refugee Demonstration Project Evaluation: The State of California engaged Touche Ross to conduct an evaluation of the Refugee Demonstration Project (RDP) in 1989. Government Accounting Office (GAO) Report to Congressional Requestors: In 1992, the GAO issued a report to Congress at their request which discussed the extent to which funds from ORR for refugee resettlement were unused in 1991 and 1992 and the causes of any residual surplus of funds. The report concluded that it is reasonable for ORR to have more flexibility to adjust the RCA/RMA eligibility period to reflect changes in available funds, refugee arrivals, and other factors. Study of the Economic and Social Adjustment of Non-Southeast Asian Refugees: In 1986, the Research Management Corporation was engaged by ORR to conduct a study to: Assess the economic and social adjustment of four non-Southeast Asian refugee groups in their communities and describe their general resettlement experience; Assess these groups' experiences in the refugee service system and what relation, any, these experiences had with their adjustment; Identify implications of the findings for policy and program implementation.

Are Budget requests explicitly tied to accomplishment of the annual and long-term performance goals, and are the resource needs presented in a complete and transparent manner in the program's budget?

Explanation: RCA/RMA budget estimates are based on annual refugee admission ceilings established by the President. The estimated number of entrants expected to arrive during the fiscal year are determined based on actual numbers from prior years. States/WF agencies provide up to eight months of RCA/RMA to eligible clients. ORR creates a participation rate based on the ratio of prior year RCA/RMA recipients to actual arrivals for that year. In addition States/ WF agencies submit quarterly expenditure reports (SF-269). The participation rate and arrival and expenditure data are used to estimate RCA/RMA costs. Grants are based on the estimated amount of RCA/RMA funds that States/WF agencies need to serve all eligible clients for the beginning of each quarter/year. MG funds are directly tied to annual goals since the program is awarded based on agencies' performance relative to a national average. The budgets for the agencies' are submitted on an annual basis with extensive budgetary breakdowns presented in the initial application of the three-year awards.

Evidence: HHS Performance Budget Submission for OMB; and HHS Congressional Budget Justification. The RCA/RMA budget estimates are based on annual refugee admission ceilings established by the President in accordance with 8 U.S.C. 1157(a)(2). The estimated number of asylees, Cuban/Haitian Entrants, and Trafficking Victims that are expected to arrive during the fiscal year are determined based on actual numbers from prior years. States/WF agencies provide up to eight months of RCA/RMA to eligible clients. Eligibility is based on four factors: financial eligibility, categorical eligibility for other federal cash/medical assistance programs, time eligibility (8 months from date of arrival or grant of asylum) and immigration status. ORR receives monthly refugee arrival data from the State Department and receives asylee data under a waiver from the Attorney General from the Department of Homeland Security/U.S.Citizenship and Immigration Services and from the Department of Justice/Executive Office of Immigration Review.?? ORR receives data on Cuban and Haitian entrants through a special control system at the Port of Miami.?? All of these arrival data are added to the Refugee Arrivals Data System (RADS). ORR collects RCA/RMA recipient data from States/WF agencies on Schedule B of the ORR-6 quarterly performance report. ORR is able to create a participation rate based on the ratio of prior year RCA/RMA recipients to actual arrivals for that year. In addition States/ WF agencies submit quarterly expenditure reports (SF-269). This participation rate together with arrival and expenditure data is used to estimate RCA/RMA costs. In addition, States submit an annual estimate of RCA/RMA costs (ORR-1) and WF agencies submit an annual budget. ORR issues RCA/RMA grants at the beginning of each quarter for States and annually prior to the beginning of the fiscal year for WF agencies. The grants are based on the estimated amount of RCA/RMA funds that States/WF agencies need to serve all eligible clients for the beginning of each quarter/year. ORR allocates RCA/RMA grants to States/WF agencies on a cost reimbursement basis. States can only expend RCA/RMA funds for actual services they provide to eligible clients. All unexpended funds are deobligated by ORR and are applied to either current or future year TAMS requirements. ORR has multi-year spending authority for funds appropriated under section 414(a) of the Immigration and Nationality Act (Refugee and Entrant Assistance). Matching Grant funds are directly tied to annual goals since the Matching Grant program is awarded based on agencies' performance relative to a national average for this program. The budgets for the agencies' are submitted on an annual basis with extensive budgetary breakdowns presented in the initial application of the three-year awards.

Has the program taken meaningful steps to correct its strategic planning deficiencies?

Explanation: ORR has set a specific and ambitious long term goal.?? By 2012, grantees will achieve an 85 percent entered employment rate. ORR has a two year contract with the Lewin Group to do a program evaluation based on improving program performance.?? Also, starting in FY 2003, performance goals were calculated as percentage increases of the prior year's actual percentage outcome as opposed to raw numbers. The reason for the change was to allow for fluctuation in the caseload since States base their employment goals on projected caseloads. All of these changes are in direct response to identified strategic planning deficiencies. An example of how the TAMS has acted to correct strategic planning deficiencies would be on-site monitoring visits to cash and medical assistance programs in which the reviewers identified and recommended changes to computerized welfare and medical systems which would be programmed to terminate refugees prior to their ceiling of benefit eligibility (e.g., a computer system would be designed to automatically "flag" when a refugee's total eligibility for cash or medical assistance - 8 months - would be exhausted). The computerized systems also can and have been developed, modified and/or re-designed to insure that appropriate "eligibility" codes have the appropriate immigration documentation to establish eligibility for cash and medical assistance.

Evidence: States with entered employment rates less than 50 percent will be expected to achieve an annual increase of at least 5 percent of the prior year's actual percentage outcome States with an entered employment rate greater than 50 percent will be expected to achieve an annual increase of at least 3 percent of the prior year's actual percentage outcome. States that reach a high employment and self-sufficiency rate of 85 percent among employable refugees may choose to maintain their target levels rather than increase them. States are expected to increase the percent of refugee cash assistance cases closed due to employment by at least 3 percentage points annually as a subset of all entered employment from the prior year. States are expected to increase the percent of refugees who enter employment through the Matching Grant program as a subset of all matching grant employable adults by at least 3 percent of the prior year's actual percentage outcome. Memos to the Director on transitioning the Matching Grant program to performance based awards are included in the evidence binder. Annual narrative reports from specific Voluntary Agencies noting the improved performance are included in the binder. States are expected to increase the percent of refugee families (cases) that are self-sufficient (not dependent on any cash assistance) within the first 4 months after arrival by at least 3 percent of the prior year's actual percentage outcome. The Lewin Group has been selected as the contractor to evaluate the ORR program. The project encompasses an in-depth evaluation of refugee services and outcomes. One of the objectives for this project is to corroborate State program annual performance data to include the GPRA measures regarding termination or reduction in refugee cash assistance. Under the Matching Grant program, the lowest performing agency made a significant improvement in meeting performance goals and has dedicated itself to continuous improvement. All other agencies are closely congregated around the 77% national average for client self-sufficiency. Data is available in the triennial reports and ORR tracking tables of performance measures.

Does the agency regularly collect timely and credible performance information, including information from key program partners, and use it to manage the program and improve performance?

Explanation: The Quarterly Performance Report (QPR) has been the primary reporting instrument of ORR for capturing quantitative and qualitative information for RCA/RMA. All information submitted as part of the current ORR-6 is required by ORR regulations; State Coordinators are required to report on the effectiveness of their state cash and medical assistance program, social services, and targeted assistance. Schedule B Cash and Medical Assistance of the QPR provides information regarding refugee cash and medical assistance. RCA requirements in the QPR include: recipients at the end of the previous quarter, recipients at the end of the current quarter, and new RCA enrollees during the quarter. RMA requirements include: point-in-time information concerning the number of RMA-eligible persons on the last day of the quarter. For new RMA enrollees, states are required to enter the unduplicated number of persons eligible for RMA on the last day of the quarter. This number should include both RCA recipients who are receiving RMA and RMA-only recipients who are not receiving RCA. ORR uses data gathered from the ORR-6 to determine the number of months eligible for RCA and RMA based on appropriations. ORR monitors state-administered programs, including cash and medical assistance, social services, targeted assistance and where appropriate, those discretionary programs that are administered by the state refugee agency (such as preventive health, the elderly, and school impact/education). The ORR budget staff consults with participating states regarding their latest estimates of refugee arrivals and program estimates. State officials are questioned about the basis for their estimates, the accuracy of their estimates as compared to actual expenditures reported quarterly, and whether the estimates made at the beginning of the year need to be updated. The ORR Director has the responsibility to determine if a State Plan is complete and meets the requirements of the ORR regulations. ORR has successfully worked with the states so that all states satisfy State Plan requirements. Under the MG program, progress reports are submitted triennially plus an annual report. This information is maintained in a data base and used to identify sites to monitor as either best practice sites, or sites in need of technical assistance. Technical assistance is provided either directly by ORR, and/or through ORR's employment technical assistance provider, Refugee Works. This monitoring is in addition to monitoring visits required of the national voluntary agencies' of their local affiliates. ORR uses the MG performance data to establish a national average for self-sufficiency.

Evidence: The Quarterly Performance Report (QPR) has been the primary reporting instrument of ORR for capturing quantitative and qualitative information for the Refugee Cash and Medical Assistance program.?? ORR uses data gathered from the ORR-6 as well as the SF-269 expenditure report to determine the number of months of refugee cash and medical assistance that can be provided to eligible clients based on the current appropriation. In Congressional report language, Congress has expressed its intent to fully fund the RCA/RMA programs for the eight month period. ORR also calculates RCA and RMA utilization rates for use in formulating the ORR budget and developing funding priorities.?? State/WF agencies and county or local service providers use the QPR to monitor cash and medical assistance levels within the local jurisdiction as well as for the state as a whole. Matching Grant progress reports are maintained by the Matching Grant team and in the official grant files. The Matching Grant team analyzes the data and maintains it on its own database for the program. Outcomes for the program are reported in the Annual Report to Congress and is also available on our web page at: www.acf.hhs.gov/programs/orr/policy/arc_02.htm Voluntary Agencies submit summaries of their monitoring activities for the past year and significant findings, and a monitoring plan for the upcoming year as part of the annual application process.

Are Federal managers and program partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) held accountable for cost, schedule and performance results?

Explanation: ORR provides extensive information on its website including the statute and regulations, financial data, services provided, program instructions and research and technical assistance resources.?? The ready availability of this information helps hold managers, grantees and contractors accountable. Throughout ACF, Federal managers are held accountable for results through the inclusion of relevant program performance measures in their performance plans and evaluations. For example, the ACF Assistant Secretary and the Director of ORR both have specific performance measures included in their performance plans. In addition,the Performance Contract for the Director of ORR, and the Assistant Secretary contain the targets and performance goals contained in the Agency's performance budget. These cascade throughout the Agency to all Commissioner and Associate Commissioner performance contracts, all SES performance evaluation standards, and throughout all Employee Performance Management System (EPMS) personnel review standards for all ACF employees. Federal Managers are also held accountable for internal accounting and administrative controls under the Federal Managers Financial Integrity Act (FMFIA) (P.L. 97-255). Heads of each executive agency must report annually regarding compliance with the provisions of FMFIA. ORR has never reported a material weakness in these areas. Grantees. ACF takes action to ensure that States comply with Federal ORR requirements??for example, by disallowing certain costs claimed inappropriately by States; delaying approval of ORR plans until States meet the terms of Federal requirements; and investigating public complaints. ORR staff monitor State financial, aggregate, and case-level reports, and review State Plans and State Plan amendments. These steps help assure that States conduct their programs with program and fiscal integrity and follow statutory requirements. Because grantee allotments are formula-based and capped, States operate within the constraints of available funds. This creates an incentive to manage program costs and performance. ORR has disallowed expenditures due to inadequate documentation related to ORR eligibility requirements. In addition, ORR has delayed approving State plans until the States met Federal requirements. In FY 2004, over $1,917,000 in RCA/RMA expenses claimed by States were disallowed due to their inadmissibility under Federal law. Subgrantees. States typically take action to hold subgrantees and State contractors accountable for performance. A prescriptive list of requirements hold the contractors accountable and the State conducts periodic monitoring to further ensure compliance. Contractors. ORR ensures that its technical assistance contractors comply with deliverable schedules, remain within project budgets, and provide quality services. ORR has withheld payment on contract vouchers until questions or issues regarding performance or costs claims were resolved. When necessary to improve performance, ORR has requested contractor staff changes or the addition of staff with certain expertise. ORR has consistently considered past performance of contractors when awarding new contracts or option years under existing contracts. ORR monitors programs to ensure compliance.

Evidence: FY 2005 Performance Contract for the Director of the Office of Refugee Resettlement. FY 2005 Performance Contract for the ACF Assistant Secretary ORR Regulations (sections 400). Available at: http://www.acf.hhs.gov/programs/ORR State Letters. See http://www.acf.hhs.gov/programs/ORR FY 2004 ORR Federal Managers Financial Integrity Report

Are funds (Federal and partners') obligated in a timely manner and spent for the intended purpose?

Explanation: In accordance with Section 400.11(a)(1) of the ORR regulations, States/WF agencies are required to report to ORR quarterly on expenditures for RCA/RMA using the Financial Status Report (SF-269).?? Financial analysts in ACF staff offices track grantees' draw-downs and liquidations of obligations on a quarterly basis.?? The drawdown of RCA/RMA funds is limited to the state's immediate cash/medical assistance needs to cover allowable program expenditures.?? In addition to the federal audit requirements, states place controls on the expenditure of ORR funds as they do their own state funds.?? Grantees respond to single audits and the ORR Director responds to audit findings as the responsible entity. All MG funds are awarded to national Voluntary Agencies within the year of federal appropriation and are used exclusively for the program and its eligible clients. To facilitate the drawdown of federal funds for the cash and medical assistance programs, ORR obligates funds to States at the beginning of each quarter. These allocations are based on ORR's projections of each State's anticipated need. At the end of the fiscal year, States continue to provide reports on the expenditures. When these reports are all received, ORR obligates additional funds, or de-obligates surplus funds as appropriate.

Evidence: ACF Performance Plan. ORR Annual Report to Congress. States/WF agencies are required to provide information to ORR regarding RCA and RMA expenditures quarterly. If a disallowance occurs, ORR request that documentation be provided that indicates that the disallowed costs were credited to the Federal Government. ORR requires conduct of an Annual Independent Audit as outlined in the A-133 Compliance Supplement. If a state Single Audit of the RCA and RMA program is conducted by the state it is a valuable tool to ensure program accountability and operational efficiency.

Does the program have procedures (e.g. competitive sourcing/cost comparisons, IT improvements, appropriate incentives) to measure and achieve efficiencies and cost effectiveness in program execution?

Explanation: ORR has a contract for program monitoring and evaluation of effectiveness, and contract staff assists ORR staff in monitoring programs and validating data.?? ORR primarily targets on-site monitoring states with large populations that receive significant RCA/RMA funding.?? The ORR monitoring team reviews with state staff the eligibility and documentation requirements for RCA/RMA and verifies the maintenance of accurate and up-to-date client.?? States track client categorical, financial, legal, and eight month time eligibility to ensure compliance with ORR eligibility??requirements for RCA/ RMA in accordance with ORR regulations.?? Over the past three years the unit cost (the dollar cost of RCA/RMA per arriving refugee has fallen by about one-third. This fall is attributable to redoubled efforts to move refugee arrivals into the workforce as soon as possible after arrival in the U.S. In addition, refugee employment service agencies have also concentrated on post-placement services which move the refugee from his first job into a better job with health insurance. The employment emphasis has reduced RCA unit costs. The post-placement employment services have resulted in lower RMA unit costs. See 2.3 for the proposed efficiency measure.

Evidence: ACF Performance Plan. ORR Annual Report to Congress. States are required to provide cost information to ORR (through the SF-269) for achieving both quarterly and annual outcomes.?? ORR monitors state-administered and W/F programs, including cash and medical assistance.?? Generally, a list of active clients (including alien registration #'s) is prepared in advance of joint federal/state refugee agency monitoring visits.?? A random sample of case files is reviewed (anywhere from l0% to l00% depending on the number of cases involved).?? The files are reviewed for a number of policy and regulatory requirements - for example, does the client have an eligible legal status code for participation in refugee resettlement programs. Staffs administering the programs locally are also interviewed by ORR/state refugee staff concerning their responsibilities.?? ORR staff will also meet with refugees either at their home or at the service provider agency to discuss/verify with the refugee whether services and assistance were actually rendered by the agencies.

Does the program collaborate and coordinate effectively with related programs?

Explanation: ACF refugee resettlement policies and activities are coordinated with the DOS, DOJ, DHS's Bureau of Immigration and Customs Enforcement and Bureau of Immigration and Citizenship Services, the Social Security Administration, the Department of Agriculture's Food and Consumer Service, community action agencies, as well as with TANF, Medicaid and other programs within DHHS. The MG program has numerous partners including the Voluntary Agencies, local affiliates, and the State Refugee Coordinators' offices and local welfare offices. This coordination is imperative to assure client eligibility, non-duplication of services and benefits, and referral to appropriate services when the respective service period for a particular service ends.

Evidence: Most of the persons eligible for ORR's refugee program benefits and services are refugees resettled through the Department of State's refugee allocation system under the annual ceiling for refugee admissions established by the President through a consultative process.?? ORR participates on several DOS interagency workgroups and reviews reception and placement applications.?? ORR coordinates policy issues with DOJ, SSA, and DOS as appropriate.?? ORR also conducts annual consultations with its resettlement partners, States, voluntary agencies and other non-profit organizations serving refugees. Fact sheets, releases, and funding descriptions from the Department of State's Reception and Placement Program demonstrate the DOS's role in the continuum of care for refugees who are resettled in this country. These can be found at www.state.gov/g/prm/rls/fs/ and www.state.gov/g/prm/rls/orgfund/

Does the program use strong financial management practices?

Explanation: ORR provides information and guidance to each grantee at the time awards are made.?? The notice of award to the grantee states that "with the acceptance of this award, you agree to administer this grant in compliance with all applicable federal statutes, regulations and policies, including the Terms and Conditions for this program."?? When necessary, ORR issues State Letters and other communications to keep grantees informed of their audit responsibilities.?? The ORR requires states and large not-for profits to conduct of an Annual Independent Audit as outlined in the Single Audit Act (A-133) Compliance Supplement and OMB Circular A-133.

Evidence: Based on the effective controls placed upon the grantees by the Immigration and Nationality Act, ORR regulations, ORR State Letters, ORR monitoring reports, existing financial management and programmatic data, the lack of General Accounting Office (GAO) or the Office of Inspector General (OIG) findings of improper payments in recent year studies, and the lack of questioned costs in A-133 audits for refugee cash and medical assistance grantees, ACF has assessed the Refugee Cash and Medical Assistance Program as low risk for improper payments. Copy of the ACF Improper Payments Risk Assessment for the Office of Refugee Resettlement (ORR) Program is provided.

Has the program taken meaningful steps to address its management deficiencies?

Explanation: ORR has a system for evaluating the effectiveness of its management through performance contracts, the EPMS system, and the FMFIA requirements, the ACF annual audited financial statement. ORR has procedures for follow-up after program monitoring is conducted. An agency is required to respond to the specific findings, recommendations and corrective actions outlined in the ORR monitoring report within 30 days of receipt of the report. In January, 2003, ORR staff monitored the State of California's Refugee Medical Assistance (RMA) program, finding that the California Department of Health Services did not maintain adequate oversight of the program. In their subsequent report, the monitoring team recommended that the State convene an interagency working group to discuss RMA program oversight and that a monitoring protocol for RMA be developed. As a result of the ORR team's report, DHS convened a meeting that included its Medi-Cal eligibility Branch and the Refugee Programs Branch of the California Department of Social Services. In this meeting it was decided that RMA monitoring protocol development and RMA monitoring responsibility be the function of the DHS Medi-Cal Eligibility Branch. DHS delivered its new RMA monitoring protocol to ORR in August, 2003. California's RMA protocol will be used by DHS to ensure accurate program oversight - including the proper determinations of immigration status and income/asset eligibility. Compliant program operation will create cost savings for ORR, as ineligible clients will not receive RMA. In response to the 1994 OIG Match Grant report ORR made significant changes to the MG program. First, ORR has increased the number of MG agencies from six in 1999 to nine currently, also ORR has dispersed its funding among the nine MG agencies. In 1994 , 85% of the funds went to one agency. In the MG program, the CY 2005 program is the first year of the transition to performance based awards. The transition was first announced in 2003 in an attempt to reward higher performing grantees and redirect funding from lower performing grantees. Prior to implementing this change in award strategy, ORR conducted site visits and provided technical assistance to the lowest performing agencies, and provided training seminars on how to conduct effect job develop through its technical assistance provider, Refugee Works. ORR had monitored a number of weaker performing affiliates to improve their outcomes and alter their philosophical approach of long term goals rather than those established for the Matching Grant program. With the GPRA mandate, ORR attempted to get the cooperation from the national Volags, but met with limited success. ORR's strategy to move to performance based awards provides incentives whereby poorer performing agencies would have funding reduced, and ORR would redirect that funding to higher performing agencies.

Evidence: Federal Managers Financial Integrity Report. Refugee Cash and Medical Assistance funds are one hundred percent federal funds.?? If a disallowance occurs, ORR requests that documentation be provided that indicates that the disallowed costs were credited to the Federal Government.

Are grants awarded based on a clear competitive process that includes a qualified assessment of merit?

Explanation: All projects funded under the WF and MG programs are funded according to a competitive grant process.?? All applications for funding are evaluated by an independent review panel, in accordance with the law and ACF policies.

Evidence: Under the terms if the WF Announcement, there are two closing dates - January 31 for new projects and April 30 for existing projects that are applying to begin a new project period.?? Continuation application are due May 30t.?? If a state withdraws from the program, the OR Director may invite application outside the closing date to respond to the needs of the State's refugee population.?? The 11 WF grantees represent a collaboration of the resettlement agencies that serve refugees in each locality with either the State or one of the local Voluntary Refugee Resettlement agencies serving as the lead agency. The Matching Grant program operates on a calendar year with a three-year grant award. All eligible applicants and interested parties are notified of the due date for applications directly via State Letter, through postings on the ORR web page, and via grants.gov. Initial applications are reviewed by independent panels based on evaluation criteria stated in the program announcement, scored and ranked. The amount of funding that an applicant may apply for is based on the relative performance of the agency based on the national average of performance measures for all agencies, and the amount of funding made available for program (currently $50 million in federal funds). The Matching Grant Program announcement for CY 2005 is found on the ORR web page at: www.acf.hhs.gov/programs/orr/policy/mgcy_content_announcement2005.htm The Wilson/Fish program announcement can be found at: www.acf.hhs.gov/programs/orr/funding/cfunding.htm

Does the program have oversight practices that provide sufficient knowledge of grantee activities?

Explanation: For the WF Program, ORR has monitored six of the sites within the past two years. In addition ISED has conducted an assessment of ten of the eleven Wilson-Fish sites in FY 2004 (Alaska which began operations in FY 2004 was not assessed). During the monitoring visits, a representative collection of case files are reviewed to ensure clients are receiving appropriate services. Specifically, the ORR WF team reviews client, legal, financial, categorical and time eligibility, the Family self-sufficiency plan, receipt of cash assistance, case management and employment service and outcomes. Also the ORR WF team interviews agency staff and clients to ensure that information gleaned from the case-file, agency staff and clients corroborates with one another. In addition to program monitoring quarterly performance reports, financial Status reports (SF-269) and Annual goal plans are reviewed to ensure WF agencies that agencies are spending funds appropriately and are performing in a manner consistent with the approved application and cooperative agreement. In March 2005, ORR conducted a workshop of WF grantees which included sessions on financial management, performance, data management, employment, ESL and acculturation. In addition, the workshop afforded agencies the opportunity to share information and best practices with each other. For the Matching Grant program, ORR has a monitoring schedule to conduct site visits to approximately 5-10% of all local affiliates. The reporting system effectively captures all conceivable outcomes for a given case including successful and unsuccessful outcomes. On monitoring visits to local affiliate, the Matching Grant team selects representative caseload for review and evaluates eligibility for the program, self-sufficiency plan, case notes, employment outcomes and also conducts interviews with staff to assess their respective knowledge of the program requirements. The Matching Grant team will also interview select clients and visit local employers of refugee clients to assess local agency??employer??client relations. At a macro level, ORR tracks progress reports on a triennial basis, and financial reports on semi-annual basis. ORR also participates in the respective conferences/trainings conducted by the national voluntary agencies specific to the Matching Grant program to gain knowledge of grantee activities and to provide technical assistance as needed.

Evidence: ORR WF and Matching Grant monitoring reports, protocol and monitoring schedule ORR Matching Grant reporting requirements are found in the Matching Grant program announcement at: www.acf.hhs.gov/programs/orr/policy/mgcy_content_announcement2005.htm ORR Wilson-Fish reporting requirements are found in the Wilson-Fish program announcement at www.acf.hhs.gov/programs/orr/funding/cfunding.htm Grantees written responses to recommendations.

Does the program collect grantee performance data on an annual basis and make it available to the public in a transparent and meaningful manner?

Explanation: For the MG and WF programs, ORR collects the data and summarizes it in the Annual Report to Congress available on the ORR webpage.

Evidence: Summary reports on the ORR Wilson-Fish and Matching Grant programs are available on the ORR webpage at: www.acf.hhs.gov/programs/orr/reporting/index.htm

Has the program demonstrated adequate progress in achieving its long-term performance goals?

Explanation: The analysis of performance of the RCA/RMA and MG programs indicates that the programs are largely demonstrating progress on performance measures.

Evidence: Annual Reports to Congress, Annual Outcome Goal Plans and ACF Performance Plan, Voluntary Agency Matching Grant progress reports and annual narrative reports.

Does the program (including program partners) achieve its annual performance goals?

Explanation: Annual Goals are in place and States and W/F agencies strive to achieve these goals. However, achievement of annual goals is contingent upon entering refugee populations (i.e. some populations have more barriers to employment than others Annual goals are also set for the Matching Grant program as part of the application process each year. As ORR has moved the Matching Grant program to performance based awards, all agencies are effectively competing against each other for available funding and must be focused on meeting its annual performance goals. ORR tracked State/WF agencies performance throughout the year, with FY 2004 performance reported as follows: Entered Employment totaled 37,462, a 3 percent increase from the number recorded in FY 2003 (36,251). Cash assistance terminations due to Earnings totaled 10,043, a 4 percent increase from FY 2003 (9,660). Twenty six States/WG agencies exceeded their entered employments from FY 2003. Also, 28 States increased the number of cash assistance terminations over the previous year. In FY 2003 the entered employment rate was 45 percent of the caseload. In FY 2004, 50 percent of the caseload became employed ( a 5 percentage point increase). States with an entered employment rate greater than 50 percent in FY 04 will be expected to achieve an annual increase of at least 3 percent in FY 05. States with an entered employment rate less than 50 percent in FY 04 will be expected to achieve an annual increase of at least 5 percent in FY 2005. In FY 2003, seven states exceeded their entered employments from FY 2002. Also seven states increased the number of cash assistance terminations over the previous year. In FY 2004, 26 states exceeded their entered employments from FY 2003 and twenty-eight states increased the number of cash assistance terminations over the previous year. FY2003 and FY 2004 saw significant improvement in the quality of jobs found for refugees. In FY2003, 23 states reported higher wages at placement than in FY 2002 and 21 states reported higher wages than the average aggregate wage for all states ($8.01). In FY 2004, 25 states reported higher wages at placement than in FY 2003 and 23 states reported higher wages than the average aggregate wage for all states ($8.07). ORR has tracked the outcomes annually for the Matching Grant program for many years. While there are annual fluctuations in the overall goal of economic self-sufficiencies within 120-180 days, these can be attributed to fluctuations in the overall economy, changes in the refugee populations being served, and traditional jobs open to refugees such as at airports no longer being open to refugees, the program still maintains an impressive performance level. Of all clients enrolled in the program in CY 2004, 77% were deemed economically self-sufficient within 180 days from arrival/eligibility. While the program slipped slightly in the past year, agencies are showing a noticeable rebound and the weakest agency showed considerable improvement after ORR provided extensive technical assistance to the weakest performing affiliates.

Evidence: Annual Reports to Congress and Annual Outcome Goal Plans, Voluntary Agency applications for the Matching Grant program.

Does the program demonstrate improved efficiencies or cost effectiveness in achieving program goals each year?

Explanation: Over the past three years the unit cost (the dollar cost of RCA and RMA per arriving refugee has fallen by about one-third. This fall is attributable to redoubled efforts to move refugee arrivals into the workforce as soon as possible after arrival in the U.S. In addition, refugee employment service agencies have also concentrated on post-placement services which move the refugee from his first job into a better job with health insurance. The employment emphasis has reduced RCA unit costs. The post-placement employment services have resulted in lower RMA unit costs. Under the MG program, ORR has held the federal share per refugee under the Matching grant program at $2,000 per capita, matched by $1,000 per capita in agency cash and in-kind contributions since 1999. Agencies had requested an increase due to the increased costs in housing associated with the program. ORR agreed in principal to this increase, but when funding was held for the program at the same level, ORR decided, and agencies agreed with holding the per capita as is rather than reducing the number of clients to be enrolled in the program. ORR made some minor changes to the minimum requirements of maintenance care to offset some of the increases in housing costs. By holding the per capita awards and making minor revisions, ORR has been able to effectively maintain the overall costs for maintenance in a time of rapidly escalating housing costs. In effect, the MG program is working with fewer resources to maintain the same performance in recent years, since the award has remained the same while operating costs have increased. "

Evidence: Annual Reports to Congress (Annual Survey of Refugees) Program announcements for the Matching Grant program CY 2004 and CY 2005

Does the performance of this program compare favorably to other programs, including government, private, etc., with similar purpose and goals?

Explanation: Though the two programs serve different populations with differing barriers to employment and self-sufficiency, a comparison of ORR programs (MG and RCA/RMA) and ACF's TANF indicates that the ORR programs are performing very well. In spite of the differences, TANF can provide a point of reference. ORR's comparable performance indicates that ORR's RCA/RMA and MG programs have been ably meeting their goals of promoting self-sufficiency and employment among refugee populations.

Evidence: RCA/RMA and MG program performance is comparable to the performance of TANF, as seen by comparing TANF and ORR program performance on analogous measures. For example, TANF measure 1.1b, increase the percentage of adult TANF participants who become newly employed, is similar to MG measure 1.2h, but the MG program has performed somewhat better, with outcomes generally meeting targets and targets exceeding 70% (as opposed to 44% or below for the TANF program). TANF measure 1.1c, increase the percentage of adult TANF recipients/former recipients employed in one quarter that were still employed in the next two consecutive quarters, is somewhat similar to the MG program's measures 1.2h and 1.2i (% self-sufficient after 120 and 180 days). While TANF outcomes have hovered around 60% on this measure in recent years, the MG program has demonstrated 120-day self-sufficiency of over 70%, and the baseline for 180-day self-sufficiency is 77%. This figure indicates that ORR programs, including the MG program, have been very successful at promoting economic independence and self-sufficiency among low-income client facing a host of barriers to stable employment. Finally, TANF measure 1.1e, increase the rate of case closures related to employment, child support collected, and marriage, is analogous to the proposed RCA/RMA measure 1.2d, increase the percentage of cash assistance terminations due to earned income from employment (although the RCA/RMA measure does not take into account terminations due to marriage or any reason other than earned income from employment). Though actual outcomes have not been reported for either of these measures, the RCA/RMA measure has a baseline of 27%, compared to the TANF measure baseline of 18.8%. The high baseline indicates that the RCA/RMA program has already been reducing dependence among low-income populations, and the introduction of measure 1.2d will allow the program to place even greater emphasis on moving refugees from cash assistance to employment. See PART Word Document for complete analysis.

Do independent evaluations of sufficient scope and quality indicate that the program is effective and achieving results?

Explanation: Past and ongoing evaluations of ORR programs indicate that the programs have had considerable success in meeting program performance goals. Where areas of ineffectiveness were identified, the reports were used to improve program design and efficiency. The ORR evaluation by the Lewin Group encompasses an in-depth review of the refugee services and outcomes in three sites. ??One of the objectives for this project is to corroborate State program annual performance data to include the GPRA measures regarding termination and reduction in refugee cash assistance. As part of the evaluation project, the Contractor will also develop and present approaches for continued regular evaluation of the RSS and TAG programs.?? Through these evaluations, ORR will be able to verify the State program performance data, including RCA-related outcomes, on an ongoing basis. In FY 2004, the Institute for Social and Economic Development conducted an assessment of ten WF programs. ISED reviewed the totality of refugee services provided by these agencies including RCA and RMA which is funded out of TAMS/RCA/RMA dollars and other services (employment and other social services) that are funded out of formula refugee social services dollars. In addition, ISED produced a Policies, Systems, Procedures and Forms manual which was delivered in draft to the WF agencies in March, 2005. Refugee Early Employment (REEP) Project: Evaluation of the REEP demonstration project reached its objective of placing at least 75 percent of employable refugees in permanent, full-time employment within 18 months of their arrival. Prior to implementation of REEP, 90 percent of the refugees in Oregon for 18 months or less were unemployed and relied on cash assistance as their source of income. In addition, REEP reduced expenditures by a margin of 18.5 percent compared to Oregon's previous refugee assistance program. California Refugee Demonstration Project Evaluation: Evaluation of the RDP impact analysis concluded that: - The RDP resulted in a greater percentage of participants working compared to the pre-RDP experience (49% for the overall RDP group and 65% for RDP participants who were converted from pre-RDP cash assistance at RDP's onset in 1985 versus 35% for the pre-RDP population) but at lower quarterly wages and for shorter durations. - While the RDP helped increase the rate of refugee employment, it did not appear to have been cost-beneficial to the State in the short term. Study of the Economic and Social Adjustment of Non-Southeast Asian Refugees: The study conducted by the Research Management Corporation in 1986 assessed the economic and social adjustment of four refugee populations: Afghans, Ethiopians, Poles and Romanians. One of the main conclusions of this study was that alternatives to the welfare system in most states should be sought and experiments with these alternatives should continue.

Evidence: On the Lewin Evaluation of RSS/TAG programs, a twelve-month interview, data tabulation, and analysis phase will be followed by a final report and briefing from Lewin for ORR and ACF staff. Three preliminary site visit reports are included as evidence. ISED reports that all W/F sites do a good job utilizing TAMS/RCA/RMA funds for administering refugee cash assistance and have adequate to strong financial management systems that enable these sites to track cash assistance expenditures by client or payment unit as well as ensuring that only eligible clients receive assistance. ORR Matching Grant site visit reports. Refugee Early Employment Project Evaluation Study, Refugee Policy Group, October 31, 1989 is available at http://thomas.loc.gov/cgi-bin/query/z?r101:S31OC9-848 California Refugee Demonstration Project Final Report, Touche Ross, August, 1989 Refugee Resettlement: Unused Federal Funds in 1991 and 1992 (GAO/HRD-94-44), GAO, December 1993 The Economic and Social Adjustment of Non-Southeast Asian Refugees, Volume I: Analysis Across Cases, Research Management Corporation, October, 1986.