Immigration Status Verification for Benefits: Actions Needed to Improve Effectiveness and Oversight
Highlights
What GAO Found
The Department of Homeland Security's (DHS) United States Citizenship and Immigration Services (USCIS) has taken steps to assess the accuracy of the information reported by its Systematic Alien Verification for Entitlements (SAVE) system. For example, since 2014 USCIS has conducted monthly checks to ensure SAVE is accurately reporting information contained in its source systems. In addition, USCIS reports that SAVE status verifiers, who manually research a benefit applicant's immigration status during a process known as additional verification, accurately reported the applicant's status 99 percent of the time. However, from fiscal year 2012 through fiscal year 2016, GAO found that the majority of SAVE user agencies that received a SAVE response prompting them to institute additional verification did not complete the required additional steps to verify the benefit applicant's immigration status. USCIS does not have sufficient controls to help ensure agencies are completing the necessary steps because of inconsistent guidance, and lacks reasonable assurance that SAVE user agencies have completed training that explains this procedure. Improving guidance and ensuring training on verification requirements could help USCIS better ensure agencies have complete and accurate information for making eligibility determinations.
USCIS has taken actions to protect the privacy of personal information related to SAVE, such as requiring SAVE user agencies to sign a memorandum of agreement (MOA) stating the intended use of the system and provisions for safeguarding information. USCIS has also established mechanisms for access, correction, and redress regarding use of an individual's personal information; however, GAO found these mechanisms were largely ineffective and unlikely to enable benefit applicants to make timely record corrections. Specifically, USCIS provides a fact sheet for benefit applicants stating their immigration status could not be verified, along with information on contacting DHS to update or correct their records. However, the fact sheet's guidance on contacting DHS was not specific or clear, which could hinder benefit applicants' efforts to contact DHS. Without an effective method for ensuring individuals can access and correct their information, benefit applicants may face challenges ensuring accurate information is used in a SAVE check and appealing potentially erroneous denials of benefits with the user agency in a timely manner.
USCIS's SAVE Monitoring and Compliance (M&C) branch monitors user agencies' use of SAVE in accordance with their MOA. However, SAVE M&C's monitoring efforts have not improved agency compliance rates for the two monitored behaviors—deleting inactive user accounts and instituting additional verification when prompted. For example, GAO found that only 4 of 40 agencies monitored from fiscal years 2013 through 2015 had improved their compliance with requirements to complete additional verification when prompted. Further M&C does not have a documented, risk-based strategy for monitoring. Without such a strategy, USCIS is not well-positioned to target its monitoring efforts on the agencies most in need of compliance assistance or ensure the most effective use of its limited resources.
Why GAO Did This Study
Millions of applicants for healthcare, licenses, and other benefits rely on DHS's SAVE system to verify their immigration or naturalized or derived citizenship status at the request of over 1,000 federal, state, and local user agencies. Agencies use the information from SAVE to help determine an applicant's eligibility for benefits. Programs required or authorized to participate include Medicaid, certain license-issuing programs (such as driver's licenses), federal food and housing assistance, and educational programs. The House Appropriations Committee Report accompanying the DHS Appropriations Act, 2016, included a provision for GAO to review the SAVE program.
This report examines the extent to which USCIS has (1) determined the accuracy of SAVE information, (2) instituted safeguards to protect privacy and provide the ability to correct erroneous information, and (3) monitored user agency compliance with SAVE program policies. GAO analyzed SAVE policy documents and performance data, interviewed DHS officials, and interviewed officials from a non-generalizable sample of 13 SAVE user agencies selected to reflect the variety of types of agencies that use SAVE.
Recommendations
GAO is making nine recommendations to USCIS, including, that USCIS improve guidance and ensure training on verification requirements; develop and implement a more effective method for record correction; and develop a documented, risk-based strategy for monitoring and compliance. DHS concurred with our recommendations.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should ensure SAVE guidance, including written materials and instructional videos, clearly and accurately reflects user agencies' responsibilities for completing each step of a SAVE check, as outlined in each agency's memorandum of agreement. | In March 2017, we found that the majority of SAVE user agencies that received a SAVE response prompting them to institute additional verification did not complete the required additional steps to verify the benefit applicant's immigration status. USCIS did not have sufficient controls to help ensure agencies were completing the necessary steps because of inconsistent guidance. We recommended that USCIS ensure SAVE guidance, including written materials and instructional videos, clearly and accurately reflects user agencies' responsibilities for completing each step of a SAVE check, as outlined in each agency's memorandum of agreement. As of December 2017, USCIS's SAVE Program reported... evaluating written materials and had made changes to the SAVE Program Guide and the SAVE User Reference Guide. SAVE updated the User Reference Guide by adding a note about additional verification requirements. The Program Guide and the User Reference Guide have been posted for use by User Agencies. Additionally, revisions and corrections to the two instructional videos were completed and posted to the internal and public SAVE websites. This recommendation is closed as implemented.
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should develop and implement a mechanism to oversee agencies' completion of training on additional verification in accordance with SAVE MOA provisions and program policies. | In March 2017, we found that USCIS did not track or monitor whether SAVE user agencies had completed training and therefore USCIS did not have reasonable assurance that users have mastered SAVE policies and procedures prior to accessing the system. We recommended that USCIS develop and implement a mechanism to oversee agencies' completion of training on additional verification in accordance with SAVE provisions and program policies. The USCIS Verification Division reported that it planned to provide additional training for SAVE users by December 31, 2017. The SAVE Program would then offer training events for agencies on any new material reflecting user agency requirements for additional...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should provide notifications to user agencies when a case is ready for the user agency to review. | We found that from fiscal years 2012 through 2015, USCIS exceeded its targets for providing agencies with timely SAVE responses, but agencies and benefit applicants were not always aware the SAVE response has been returned to them and therefore may be delayed in processing benefit determinations. We recommended that USCIS provide notifications to user agencies when a SAVE case is ready for the user agency to review. SAVE officials reported developing automated case response alerts in April 2018 that will provide user agencies notification when a case is ready to review. In October 2017, officials reported that this enhancement had been implemented and SAVE web browser users were...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should develop and implement a more effective method for ensuring that individuals are aware of how they can access and correct their immigration records, such as by updating and improving the Fact Sheet for Benefit Applicants. | In March 2017, we reported that USCIS's guidance to help individuals correct or update their immigration records was not specific or clear, which could hinder benefit applicants' efforts to contact DHS components. We recommended that USCIS develop and implement a more effective method for ensuring that individuals are aware of how they can access and correct their immigration records, such as by updating and improving the Fact Sheet for Benefit Applicants. In response, USCIS took several actions. First, USCIS revised its Fact Sheet for Benefit Applications and developed a new Fact Sheet for User Agencies to reference when assisting benefit applicants. The Fact Sheet for Benefit...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should develop and implement a documented, risk-based approach to monitoring and compliance, including (1) a risk-based approach to selecting behaviors to monitor; (2) standards for what triggers compliance actions for the selected behaviors; and (3) a risk-based process for how USCIS will prioritize and select agencies for compliance actions. | In March 2017, we reported that the SAVE Monitoring and Compliance (M&C) Division does not have a documented, risk-based strategy that addresses a risk-based approach to selecting behaviors or memorandum of agreement (MOA) provisions to monitor, compliance standards for selected behaviors, and a risk-based process for how to prioritize and select agencies for compliance actions. In July 2018, USCIS developed and implemented a new risk management policy that includes a risk-based approach to monitoring and compliance. The new approach is aligned to government auditing standards and the Department of Homeland Security's Risk Management Fundamentals guideline document. The new policy also...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should develop and communicate a process for user agencies to update contact information. | In March 2017, we found that the SAVE program's list of user agency points of contact (POCs) was not kept up to date and the SAVE program did not have a systematic process for ensuring the POCs are current and accurate, which presents challenges when contacting agencies for site visits or desk reviews. We recommended that USCIS develop and communicate a process for user agencies to update contact information. In December 2017, USCIS reported that SAVE was on track with its planning and prioritization work to improve user administration, including more effective ways to update contact information. In December 2019, USCIS reported that the SAVE system now requires all users, including...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should ensure that user agencies participate in compliance reviews when selected, in accordance with SAVE MOA provisions and USCIS policy. | In March 2017, we reported that USCIS and SAVE Monitoring and Compliance (M&C) do not require agencies selected for monitoring and compliance activities to participate in them, undermining the effectiveness of SAVE oversight activities. We recommended that USCIS ensure that user agencies participate in compliance reviews when selected, in accordance with SAVE Memorandum of Agreement (MOA) provisions and USCIS policy. In December, 2017, USCIS reported amending internal guidance documents regarding the mandatory requirement for agencies to adhere to compliance assistance activities, and communicated this to agencies on December 4, 2017 in a larger end of year notice that covered a number...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should identify the root causes of agencies' noncompliance with SAVE MOA provisions and program policies and tailor agency recommendations to those identified causes. | In March 2017, we found that SAVE Monitoring and Compliance (M&C) does not consistently identify the root cause of noncompliance and develop or tailor recommendations specific to each agency as part of its compliance activities. As a result, we recommended that USCIS identify the root causes of agencies' noncompliance with SAVE Memorandum of Agreement (MOA) provisions and program policies and tailor agency recommendations to those identified causes. In July 2018, USCIS reported that it had conducted extensive research and analytical reviews in order to tailor its recommendations to agencies. Specifically, USCIS reviewed agency site visit and desk review recommendation reports for...
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| United States Citizenship and Immigration Services | To improve management and oversight of the SAVE program, the director of USCIS should develop and implement a process for ensuring user agencies implement corrective actions such as through a system of escalating compliance assistance actions and follow-up. | In March 2017, we reported that SAVE Monitoring and Compliance's (M&C) monitoring and oversight efforts generally had not improved agency compliance with SAVE Memorandum of Agreement (MOA) provisions. This is in part because SAVE M&C does not engage in escalating compliance actions for those agencies that remain noncompliant with their MOU and because SAVE M&C does not ensure agencies take corrective actions after receiving recommendations. We recommended that USCIS develop and implement a process for ensuring user agencies implement corrective actions, such as through a system of escalating compliance assistance actions and follow-up. In response, USCIS developed and implemented a...
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