Detailed Information on the
Shelter and Care for Unaccompanied Alien Children Assessment

Improve the quality of data to ensure accurate statistical reporting so that the program's performance can be effectively evaluated. Milestone: 80 percent of ORR-funded care provider facilities will have key data entered into TMS within 3 days from their occurrence in the UAC's case.

Collecting performance data to set baselines and ambitious goals for annual, long-term, and efficiency measurements and developing training curricula to improve the data collection process and data reliability and validity. Milestone: Continuing to collect and analyze data, and completing data validation.

Procuring contractor services to independently evaluate the program and support improvements. Milestone: Final report by the Women's Commission on Refugee and Immigrant Women and Children completed.

Clearly communicating the newly-established measures to all partners to ensure that they are committed to achieving the explicit goals of the program. Milestone: Communication with all Division of Unaccompanied Children Services (DUCS) Staff and Management.

Collecting performance data to set baselines and ambitious goals for annual, long-term, and efficiency measurements and developing training curricula to improve the data collection process and data reliability and validity. Milestone: Collecting performance data for annual, long-term and efficiency measures.

Procuring contractor services to independently evaluate the program and support improvements. Milestone: Division of Unaccompanied Children Services (DUCS) Strategic Planning with all staff by TRIOS Consulting LLC.

Procuring contractor services to independently evaluate the program and support improvements. Milestone: Evaluation by the Women's Commission on Refugee and Immigrant Women and Children.

Collecting performance data to set baselines and ambitious goals for annual, long-term, and efficiency measurements and developing training curricula to improve the data collection process and data reliability and validity. Milestone: Analyzing data to present baselines for annual, long-term, and efficiency measures.

Procuring contractor services to independently evaluate the program and support improvements. Milestone: Site visits completed by Commission on Refugee and Immigrant Women and Children.

Measure: Reduce time (in hours) between DHS/ICE notification to ORR of Unaccompanied Alien Child (UAC) apprehension and ORR placement designation in a care provider facility to 2.5 hours by FY 2012, and maintain this target of 2.5 hours between notification and placement designation through FY 2014.

Explanation:Goal of measure: To reduce the amount of time from DHS referral to DUCS placement designation.

Justification: This measure is representative of the "placement" aspect of the program. ORR makes placement designations to care provider facilities for UAC referred by DHS officials. ORR must make timely designations so that DHS can arrange transportation to the ORR-funded facility, which may be located outside of the district of initial apprehension. For much of the year, placement designations are made within several hours of notification by DHS. This time increases on the weekend and non-regular business hours, and during periods of heavy UAC influx. The most significant delays occur during influx periods. This measure directly correlates to our bed space capacity status - lack of bed space prevents timely designations. Reducing the time to make placement designations, especially during influx periods, will reflect DUCS' improved capacity planning to accommodate DHS referrals.

Baseline data and Targets: DUCS has modified the Tracking and Management System to collect hourly data. The collection of this data initiated in early June. Exact baseline data will be available following grantee submission of reports during the 1st Quarter of FY 2007.

Current data trends: Time between notification and placement designation during FY 2005 was 1.22 days. That same statistic from FY 2004 could not be analyzed due to incomplete records that cannot be retrieved despite efforts for correction and rectification. This is largely due to the transitional state of the program during that fiscal year. Current operational status of data collection on the developing DUCS Tracking and Management System captures date entries, but not time entries, and the TMS has been modified to begin collecting this data. DUCS began to capture this data in early June 2006. DUCS expects to have a baseline for Measure 1 at the completion of the 1st Quarter of FY 2007. Once this exact baseline is determined, targets will be set.

Data source: Data for this measure will be collected from both the hotline (24/7 on-call staff coverage for placement referrals) and the TMS (staged implementation to streamline case management and placement process and provide data for reporting. The TMS will be expanded to capture real time data, including placement time).

Measure: Increase percentage of UAC that receive medical care screening or examination within 48 hours

Explanation: HHS plans to set a baseline and assign targets for this measure beginning in FY 2008; FY 2008 data is expected to be available in March 2009, and will be used to set FY 2010 - 2014 targets. The program only recently (in FY 2006) began regularly collecting data for this measure, and is still taking steps to maximize data validity (trainings to facility staff on use of the DUCS Tracking and Management System database, etc). FY 2008 data are expected to be reliable and valid, and to form a basis for an informed baseline and targets. Justification: DUCS proposes to measure the percentage of UAC that receive medical screening/examination within 48 business hours after arrival at a DUCS funded care provider facility. This measure reflects the efforts to achieve the programmatic standard as established by the Flores Settlement Agreement, which states that UAC are to be medically examined within 48 business hours of admission, excluding weekends and holidays. When a child enters a shelter, there is a battery of assessment screenings that must be completed, there is a window of time to observe the child for any unusual behavior or physical or medical issues, and there is immediate attention to nutrition and hygiene matters. These are tantamount to ensuring the immediate needs of the child are met. Significantly, during this first 24-hour period, results from the assessments and observations may actually inform the subsequent medical screening and thus, make the medical screening more effective. From anecdotal evidence, children often arrive at ORR-funded facilities dehydrated or with injuries sustained from walking for extended periods of time on rough, hot terrain. Also, DUCS is concerned about preventing communicable diseases at the facilities such as tuberculosis, which is not readily observable without medical screening and testing. Ensuring that the 48 hour standard is achieved will reduce the risk of other UAC and care provider staff exposure to potential transmission in the event that a child admitted to the facility carries such a disease. For both primary care and concerns for communicable disease transmission, timely medical screenings are in the public's interest.

Facility compliance with the 48 hour Flores requirement is an important performance element monitored by the DUCS Project Officers and non-compliance is grounds for corrective action. Facility programs are generally compliant with this important requirement.

DUCS has an agreement with the ACF/Office of Information Services to implement the functionality of data collection within the DUCS Tracking and Management System. Exact baseline data will be available following grantee submission of reports from those quarters (probably data aggregated over four consecutive quarters). The data collection fields to be incorporated will capture the date and time when UAC receive the initial medical screening. DUCS expects to have the data capture feature on its Tracking and Management System by the 4th Quarter of FY 2006 and to have an exact baseline by 2nd Quarter of FY 2007.

Current data trends: Though there is no data field in the existing TMS to provide trend data on this measure, monitoring reports indicate that the number of programs which are marked with corrective actions as a result of a lack of timely medical screenings has decreased between 2004 and 2005. DUCS expects to have a baseline for Measure 2 at the completion of the 2nd Quarter of FY 2007. Once this exact baseline is determined, targets will be set.

Data source: DUCS Tracking and Management System, Interagency Agreements with the Public Health Service, initial medical exams (including Physical Examination, Oral/vision/hearing Examination, Behavioral screening, Mental health screening, and immunizations), and electronic processing of medical authorizations and services requested.

Measure: Maintain the percentage of runaways from UAC shelters at 1.5%

Explanation: Goal of measure: To maintain the percentage of "unsafe exits" from the DUCS system of care.

Justification: Though it might appear ideal to create a performance measure that reflects the program's success in ensuring "safe exits" from the UAC program, in fact DUCS has little control over how and when children exit from the program. There are several categories for "exits" from the program's system of care: reunifications with sponsors; change of immigration status (e.g., UAC may gain lawful status as asylees or special immigrant juvenile and enter the ORR-funded Unaccompanied Refugee Minors (URM) foster care system or a state foster care system); UAC may be removed to their home country as the result of an immigration judge's order; UAC may turn 18 and go to custody of DHS. Any of these might be considered "safe exits" (though this is certainly not guaranteed for those who are removed or who age out), but DUCS' contribution to the exit is limited at best.

Given that the program has little control over UAC exits, a measure of safe exits would not be meaningful for the program. It might even create the same perverse incentives that were detailed in the memo related to the case management measure.

Conversely, the major "unsafe exit" for UAC is running away from UAC facilities. The percentage of runaways is currently low; therefore, DUCS aims to maintain this low percentage. A low percentage of runaways reflects care provider programs that have engaging programs, nurturing environments, quality programmatic services, highly trained staff, and appropriate security measures. Currently, only approximately 1.5 percent of UAC exit the program as runaways -- a very small percentage in comparison with the ACF Runaway and Homeless Youth (RHY) program. Furthermore, unlike the DUCS program, the RHY "safe exits" represent the overall program retention from start to finish, and comprises a variety of discharges, including admission into other transitional training programs, entering the armed forces, and in some cases entering juvenile justice systems. The negative exits reported comprise exits to the street, homeless shelters, and the unknown.

Baseline Data and Targets: Though data is collected on runaways from facilities, it is undergoing a correction and rectification process, so only approximate figures can be presented at this time. The program expects to identify accurate baseline by 4th Quarter of FY 2006. Since the goal of this measurement is the maintenance of the baseline figure, the target will remain static.

Current data trends: From preliminary data analysis of this data, the approximate percentage of UAC running away from DUCS care provider facilities is 1.5%.

Data source: The data sources for this will be data recorded by DUCS on-call staff and Significant Incident Reports from care providers; DUCS tracking and management system.

Measure: Increase the percentage of "closed" corrective actions.

Explanation:Goal of measure: To improve the efficiency of DUCS in improving the overall quality of UAC shelters through monitoring, guidance, training, and technical assistance.

Justification: This measure allows DUCS to monitor its efficiency in using training, technical assistance, and guidance/monitoring activities to improve program performance. For every performance shortcoming that a grantee has (compared to a list of potential deficiencies that DUCS has identified), a separate "corrective action" is filed. Measuring the percentage of "closed" corrective actions provides DUCS with measure of the quality and performance of the DUCS funded care providers. DUCS Project Officers issue corrective actions when there are findings that care providers are not in compliance with the DUCS cooperative agreements, the policies and procedures, which incorporate the requirements of the Flores Settlement Agreement, as well as state licensing standards. DUCS procedures provide 21-days for care providers to respond to with "corrective action plans," which must include a plan with timelines for remedying the non-compliance. Plans that are not satisfactory will not be considered "closed." To calculate the measure, DUCS will examine the total number of "closed" corrective actions at the 21-day response time frame with the total number of corrective actions issued. It is expected that as the UAC program grows and DUCS becomes more sophisticated in its provision of T/TA and monitoring, there should be a decrease of corrective action plans initiated for faulty performance, and then corrective actions not closed satisfactorily.

Though it could be argued that there might be a perverse incentive to underreport non-compliance, in practice there are a number of checks on this incentive that ensure that deficiencies are accurately reported and corrected. First and foremost, since this program is charged with the care and placement of UAC, it strives to ensure the best services are available to them while they are in ORR custody. Second, there is a very strong incentive for project officers to issue corrective actions in accordance with cooperative agreements and the Flores Settlement Agreement. The UAC program still operates under the Flores agreement while the program adopts regulations. (Regulations are still under review at the HHS level prior to announcement in the Federal Register for public comment). DUCS presents semi-annual data to the Flores Plaintiffs in accordance with the Settlement Agreement. The program may be subject to reopened litigation if grantees are not in compliance. Additionally, DUCS is a highly visible program to child immigration advocates, who regularly visit care provider facilities and represent UAC in ORR custody. In this way, the children's advocates provide unofficial oversight of the program's services and beneficially inform the program's management.

Baseline data and Targets: DUCS will evaluate its monitoring records and data on corrective actions. A baseline is expected by the 1st Quarter of FY 2007.

Current data trends: In order to put this measure into operation, DUCS will have to compile all the corrective action plans initiated and closed in a single fiscal year as a result of monitoring reports. Once the exact baseline is determined, targets will be set. Data source: Data for this measure will be collected from monitoring reports performed by DUCS Project Officer staff, and review of corrective action plans generated as a result of these reports.

Is the program purpose clear?

Explanation: The Unaccompanied Alien Children (UAC) program is charged with the specific task of caring for alien children who are under 18 years old, have no lawful immigration status in the US, are in immigration proceedings, and have no parent or guardian in the U.S. or no parent or guardian in the U.S. available to provide care. The program's purpose is to provide a safe and appropriate environment for unaccompanied minors during the interim period between the minor's transfer into a UAC program and the minor's release from custody by the Office of Refugee Resettlement (ORR) or removal from the United States by the Department of Homeland Security (DHS). On March 1, 2003, the UAC care and placement program was transferred from the Immigration and Naturalization (INS) Commissioner to the Director of ORR of the Department of Health and Human Services (DHHS) in accordance with section 462 of the Homeland Security Act of 2002. Within ORR, UAC is located in the Division of Unaccompanied Children Services (DUCS). Effective March 1, 2003, ORR assumed responsibility for the care and placement for these children. The UAC program accomplishes these purposes through a competitive grant program to non-profit and for-profit organizations incorporated under State law which have demonstrated child welfare, social service or related experience and are appropriately licensed to provide shelter care, foster care, or group care and related services to dependent children. The program covers the contiguous United States. To date, there are facilities for UAC in 14 States. Default standards for the program are derived from the Stipulated Flores v. Reno Settlement Agreement.

Evidence: Section 462 of the Homeland Security Act (HSA) of 2002, Pub.L. No. 107-296, 116 Stat. 2153. Flores v. Reno, Case No. CV85-4544-RJK (C.D. Cal.1996) (hereinafter, Flores) The lawsuit originated in 1986 with Plaintiff Jenny Lisette Flores representing, as a class, all unaccompanied alien children in custody of the Immigration and Naturalization Service in response to detention policies for UAC in the INS Western District. Ultimately, the case was heard by the US Supreme Court and was remanded back to the District Court in 1993. The settlement agreement was agreed upon by stipulation in 1996. Flores states that the program shall "place each detained minor in the least restrictive setting appropriate to the minor's age and special needs, provided that such setting is consistent with its interests to ensure the minor's timely appearance before [DHS] and the immigration courts and to protect the minor's well-being and that of others." Furthermore, the agreement contains sections providing: procedures and temporary placement following arrest; policy favoring release; standards of placement and care in licensed facilities and juvenile detention facilities; transportation; transfer; government monitoring of facilities; attorney/client visits; training for government staff.

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

Explanation: The UAC program addresses the needs of UAC apprehended by US border patrol or other immigration officials and then put into immigration proceedings. Current statistics show that the number of UAC referred for initial placements continues to grow: 5,197 in FY 04; 7,086 in FY 05; and 5,457 through May of FY 06. Many UAC are fleeing poor socioeconomic conditions, gang violence/affiliation, family violence, homelessness, and sexual abuse. Many have had little formal education, speak little to no English, and have been working from a young age. They have traveled to the U.S. over hundreds of miles by foot, train, bus, and/or plane, often enduring physical and sexually assault during their journey. DUCS provides UAC shelter and care while they are in federal custody, rather than detaining them at border patrol stations or county juvenile detention centers. UAC receive these temporary services for the interim period between placement in the UAC program and ORR's release of the minor from custody, transfer to another facility, reunification with family or adult sponsors, foster care placement, or removal from the United States by DHS. The UAC shelter care network has developed a service delivery structure that is able to serve UAC while they are in Federal custody, as well as ensure the UAC do not run away and are available to attend their immigration proceedings as family reunification options are explored. In addition to bi-lingual case management, health, recreation, education, and counseling services, UAC receive services from non-profit legal service providers near the DUCS-funded facilities. Long term foster care is available for UAC without viable sponsors or for those who have specialized needs that cannot be met through shelter care. The Flores Settlement Agreement was agreed upon pursuant to litigation responding to care and detention and release policies for UAC in custody of the former INS. Despite this agreement, there were still concerns with the management of the program. In June 2003, Amnesty International released a report on UAC in immigration detention in the Department of Justice, which revealed that UAC were often held in detention for months or even years, and one-third were held in secure juvenile detention centers designed for young offenders. It found that UAC were sometimes held in solitary confinement, subject to strip searches, and shackled during transportation. Children did not receive adequate exercise and were not routinely released to relatives. The DUCS program specifically addresses the deficiencies cited in the report. Section 462 of the Homeland Security Act reflects the congressional interest in ensuring the well-being of UAC in Federal custody by charging the care and placement aspects of the entire program to ORR. Unlike the former INS, which dealt with UAC issues locally from the District Offices, DUCS operates centrally from ACF Headquarters in Washington, DC, thus reducing programmatic redundancy, promoting uniformity in policies and procedures, and allowing for more administrative consistency.

Evidence: Flores v. Reno, Case No. CV85-4544-RJK (C.D. Cal.1996) (hereinafter, Flores); "Unaccompanied Juveniles in INS Custody" (Office of the Inspector General, US Dept. of Justice, 2001); "Why Am I Here? Children in Immigration Detention," Amnesty International USA, June 2003; Section 462(3) of the HSA.

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

Explanation: The missions, activities, and authorizing legislation of related programs show that the UAC program is neither redundant nor duplicative of these other programs. Because services are for children in federal custody, competing with non-federal programs is not an issue. The program serves a targeted population that is very specific: undocumented alien children in federal custody due to their unlawful immigration status who are not accompanied by adult caretakers when apprehended by DHS immigration officials. No other federal programs offer specific services for children in federal custody who are unaccompanied by adults. DHS Immigration and Customs Enforcement houses a limited number of detained children who are with family members in special family shelters. Existing child welfare programs in HHS Administration for Children and Families (ACF), such as the Children's Bureau, are not designed to meet the needs of unaccompanied alien children, as they are geared toward English-speaking children with legal immigration status that are in state custody as a result of being abused, neglected or abandoned. In addition, the runaway and homeless transitional shelter network that serves children throughout the country that may/may not be in state custody is not geared toward serving UAC's special needs either. The Unaccompanied Children's Services program provides housing and services nationwide that meet the UAC's specialized needs and ensures uniform and consistent child welfare principles are implemented in their care. The ORR Unaccompanied Refugee Minors (URM) program (45 CFR 400.110-120) serves refugees, Cuban/Haitian Entrants, Amerasians, Asylees, and most recently, child victims of a severe form of trafficking (TVPA of 2000). Although the URM program does not have the statutory authority to serve UAC in Federal custody, the DUCS program utilizes its foster care network, through the DUCS funding source, to serve unaccompanied alien children who require longer-term care and/or have special needs. Such needs could include, but are not limited to chronic mental health concerns, pregnancy/parenting teens, and children of a tender age. Also, when children in DUCS custody receive a final grant of asylum they are referred to the URM program for placement. Foster and group homes that have taken UAC received additional training in order to better serve DUCS children, due to their unique circumstances and special needs. At times, an unaccompanied alien child may be identified as a potential victim of a severe form of trafficking. DUCS then works closely with the ORR Trafficking Division, DHS, and DOJ. If a determination of victim-hood is made, the child is then eligible for services as a trafficking victim and is eligible for the URM program. Since the transition, DUCS has provided care and placement for fewer than ten children that fall into this category.

Evidence: Section 462 of the Homeland Security Act (HSA) of 2002, Pub.L. No. 107-296, 116 Stat. 2153.
ORR URM program; http://www.acf.hhs.gov/programs/orr/programs/urm.htm
ORR Trafficking; http://www.acf.hhs.gov/trafficking/
ACF Children's Bureau; http://www.acf.hhs.gov/programs/cb/
ACF FYSB Runaway Homeless Youth Programs; http://www.acf.hhs.gov/programs/fysb/content/youthdivision/index.htm

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

Explanation: DUCS was formed specifically in response to the major flaws in the UAC program under the former INS: the fact that the Federal agency that was responsible for the enforcement of immigration laws was also responsible for the UAC's care and placement; the quality/setting of care; the lack of confidentiality or UAC records; INS resistance to placing long-term UAC in foster care and propensity for placing up to 1/3 of UAC in secure detention facilities; and limitations on sponsorship of UAC. The Homeland Security Act of 2002 removed the inherent conflict of interest by separating the care and placement functions (ORR) from the immigration and enforcement functions (DHS). The program is designed around the constellation of care provided to UAC through DUCS-funded facilities and foster care programs, and there is no strong evidence to show that another approach would b emore efficient or effective. Requirements for caring for UAC are based on the Flores Settlement Agreement and outlined in the grant announcement and the cooperative agreement under which grantees operate. Service provision is geared toward the special needs of UAC and includes bi-lingual services, access to pro bono legal representation, family reunification and release functions, and long term foster care placements for those without sponsors. In addition, DUCS has worked to better serve UAC with serious and persistent mental health needs. Finally, the DUCS program design includes suitability/home assessments for UAC whose reunification options require more thorough investigation. DUCS utilizes secure placements for children who are charged with criminal conduct or are deemed to be significant flight risks. Currently, approximately 1.5 percent of the UAC population is housed in secure detention facilities. When the care of UAC was with the former INS, most functions were performed by INS detention and removal officers assigned on a rotating basis to be juvenile field coordinators. This arrangement produced uneven oversight of juvenile detention centers and shelters. ORR's program is therefore structured to be centralized, operating with a small national staff and voluntary agency contractors in the field. Centralization ensures uniformity of compliance with policies and procedures. DUCS is composed of a Project Officer Team, a Case Management Team, and an Intake Staff. In addition, federal field specialists perform certain inherently federal functions under direct supervision of the central office. The program has encountered some difficulty in interagency operations. Specifically, timely DHS referral and initial transportation of UAC from DHS custody to ORR's placements, and timely removals of UAC back to their home countries are areas of concern. In the border sectors, DHS Customs and Border Protection (CBP) both apprehends and initially processes UAC and subsequently contacts the district ICE/Detention and Removal Office (DRO) to arrange the transportation to ORR-funded shelter facilities. DHS officials in the field explain the delays in transporting UAC to shelters or to their home countries as a lack of resources, primarily adequate staff but also funding. Every child has to be escorted by a DHS agent when transported. If several children are transported together, DHS must meet required staff to child ratios, further stretching their staff. Furthermore, even after DUCS makes referrals and placement determinations, it is CBP that typically provides staff for the initial transportation to the designated placement facility. Also, ICE has explained that it faces budget and staffing limitations that delay removing children back to their home countries. The longer it takes to return a UAC with a final order of removal, the longer the UAC stays in ORR-funded shelters and facilities. This in turn leads to fewer available beds for new referrals.

Evidence: Section 462 of the Homeland Security Act (HSA) of 2002 UAC FY06 Discretionary Grant Award Announcement; Cooperative Agreement between ACF/ORR and Grantee DUCS Organizational Chart

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

Explanation: The program's funding is a separate appropriation from other ORR programs and funds can only be used for UAC referred to ORR by the Department of Homeland Security, thereby allowing for effective targeting of resources. DUCS targets resources to directly address the program's purpose and ensure that appropriate care is provided to every unaccompanied alien child apprehended by the DHS while concurrently ensuring that all efforts are made to reunify him/her with appropriate family members/sponsors. Because UAC are referred to ORR from the DHS once DHS makes the determination that the child is, in fact, unaccompanied, without legal immigration status, and under the age of 18, there are no unintended subsidies. Eighty-five percent of DUCS' budget goes to capacity development to provide the UAC housing and care services (e.g., shelters, group homes, foster care, secure detention, staff secure facilities, Public Health Service for medical screenings and urgent care treatment). The rest of the budget targets efficient reunification with adult sponsors: cooperative agreements with two major voluntary agencies (VOLAGS) to do home suitability assessments on certain potential sponsors; a contract with HHS/PSC to do background checks on the children's potential sponsors; cooperative agreements with two VOLAGS to provide DUCS field support by providing staff with child welfare expertise to review family reunification applications and to make recommendations on sponsor suitability. DUCS program staffing also reflects the program's three main objectives (prompt placement into care from DHS apprehension; provision of quality care while in ORR custody; timely release from ORR custody to a safe reunification with family members or other adult sponsors in the U.S. or to foster care). The DUCS Intake Team finds available bed space in ORR-funded facilities and then coordinates with the DHS to ensure the UAC are transported to the designated placement. The Case Management Team and the Field Specialists work closely with the ORR-funded VOLAG Field Coordinators and facilities' case management staff to resolve difficult reunification cases, complex mental health cases, behavior management cases, and Chinese and Indian smuggled minors' cases, among others. They also work with DHS juvenile field coordinators on other complex cases requiring DHS cooperation. The DUCS Project Officers review, approve, and monitor the care provider facilities' budgets, program services, management plans, and emergency preparedness plans to ensure they are providing comprehensive, integrated and culturally appropriate services that meet the needs of each UAC. Currently, DUCS does not have a special policy for Mexican UAC. The average length of stay for Mexican UAC is 45 days, which is the same for most UAC. There are sections of the Immigration and Nationality Act relating to contiguous territories that cover Mexican nationals encountered by immigration authorities. See INA §§ 1225(b)(2)(a, c). Due to these provisions, Mexican UAC are typically removed back to Mexico and are not served with charging documents that require them to appear in immigration court. Mexicans encountered in the border sectors at ports of entry do not enter the ORR system of care. The only Mexicans that are referred to ORR are those who are apprehended in the interior of the United States. So far in FY06, only 6.5 percent of the UACs that are in care or have been served are of Mexican origin. Resources are targed to "other than Mexican" categories, such as Chinese and Indian UAC, who receive specialized programmatic attention due to concerns for dangerous criminal smuggling and/or trafficking networks.

Evidence: Section 462 of the Homeland Security Act (HSA) of 2002; 2006 Appropriations Bill with House and Senate Committee Reports; Immigration and Nationality Act, Section 1225(b)(2), (a), (c) - [provisions on the treatment of aliens arriving from contiguous territory].

Immigration and Nationality Act, Section 1225(b)(2)(c) In the case of an alien described in subparagraph (A) who is arriving on land (whether or not at a designated port of arrival) from a foreign territory contiguous to the United States, the Attorney General may return the alien to that territory pending a proceeding under section 1229a of this title.

Immigration and Nationality Act, Section 1225(b)(2)(a) Subject to subparagraphs (B) and (C), in the case of an alien who is an applicant for admission, if the examining immigration officer determines that an alien seeking admission is not clearly and beyond a doubt entitled to be admitted, the alien shall be detained for a proceeding under section 1229a of this title.

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: DUCS has identified two long-term ouput measures that reflect the goal of the UAC program to ensure that all UAC are safe and healthy while in Federal custody. The proposed long-term performance measures reflect the purpose and progress of the program in providing a safe and appropriate environment for UAC. The primary performance data source is the DUCS Tracking and Management System (TMS), a web-based data management system that provides statistics on placements, discharges, capacity availability, UAC case information, and UAC pending ORR placement after a DHS referral. Another data source is monitoring reports. Long-term Performance Measure #1: Reduce time between DHS/ICE notification to ORR of UAC apprehension and ORR placement designation in a care provider facility. Long-term Performance Measure #2: Increase percentage of UAC that receive medical screenings or medical examinations within 48 hours of arrival to an ORR-funded facility.

Evidence: Flores Settlement Agreement; Section 462 of the Homeland Security Act (HSA) of 2002

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

Explanation: Because the two suggested measures are newly developed, the program is collecting data to set appropriate targets and timeframes. DUCS has modified the Tracking and Management System to collect hourly data for the first measure since June 2006. Exact baseline data will be available after facility grantees submit their 1st quarter FY2007 reports. Targets will follow. For the second measure, DUCS has an agreement with the ACF/Office of Information Services to implement the functionality of data collection within the DUCS Tracking and Management System. Exact baseline data will be available following grantee submission of reports from those quarters (probably data aggregated over four consecutive quarters). The data collection fields to be incorporated will capture the date and time when UAC receive the initial medical screening. DUCS expects to have this data feature on its Tracking and Management System by the 4th Quarter of FY 2006 and to have an exact baseline by 2nd Quarter of FY 2007. Targets will follow.

Evidence: TMS data for records of UAC [to be completed]

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: DUCS identified three annual ouput measures, two of which also serve as the long-term measures, but with annual targets. See 2.1 and the Program Performance Measures section for information on the first two measures. The third identified annual measure reflects the maintenance of the percentage of runaways from the program (i.e., "unsafe exit"). The percentage of runaways is currently low; therefore, DUCS aims to maintain this low percentage. A low percentage of runaways reflects care provider programs that have engaging programs, nurturing environments, quality programmatic services, highly trained staff, and appropriate security measures.

Evidence: Flores Settlement Agreement; Section 462 of the Homeland Security Act (HSA) of 2002 TMS data for records of UAC [to be completed]

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

Explanation: Annual measures are the same as long-term measures, but with annual targets. See 2.2 for more information on baselines and targets. The third proposed annual measure reflects the maintenance of the percentage of runaways from the program (i.e., "unsafe exit"). The percentage of runaways is currently low; therefore, DUCS aims to maintain this low percentage. Though data is collected on runaways from facilities, it is undergoing a correction and rectification process, so only approximate figures can be presented at this time. The program expects to identify accurate baseline by 4th Quarter of FY 2006. Since the goal of this measurement is the maintenance of the baseline figure, the target will remain static. See Program Performance Measures for more information.

Evidence: TMS data for records of UAC [to be completed]

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: Though the proposed annual measures and long-term goals are being developed, they represent principles of the DUCS program as stated in Cooperative Agreements, policies and procedures, and the draft regulations. The proposed measures reflect what DUCS is currently implementing and what will be communicated to all program partners. ORR funds grantees under cooperative agreements to "facilitate the provision of assistance and services for each UAC including, but not limited to: physical care and maintenance; provide routine and emergency medical/mental health care; dental services; comprehensive orientation; education; recreation; individual and group counseling by licensed clinicians; access to religious services, legal services and other social services. Grantees may be required to provide other services if ORR determines in advance that a service is reasonable and necessary for a particular child. Grantees are expected to develop and implement an appropriate individualized service plan for the care and maintenance of each child in accordance with his/her needs as determined in an initial intake admission assessment and psychosocial assessment. In addition, DUCS funded care providers are required to implement and administer a case management system which tracks and monitors UAC's progress on a regular basis to ensure that each child receives the full range of program services in an integrated and comprehensive manner." These requirements go towards meeting the program goal of providing a safe and appropriate environment, which is reflected in the performance measures outlined in the responses to 2.1 and 2.3. Several federal agencies work with DUCS to ensure safe reunification of UAC to family members in the United States. The Department of Homeland Security's Immigration and Customs Enforcement (ICE) or Customs and Border Patrol agents apprehend the UAC. Once the UAC has been recognized by ICE, it notifies DUCS, which then identifies appropriate placement. DHS/ICE then works with DUCS to safely transfer UAC to ORR-funded facilities and to facilitate safe returns to home countries when UAC have orders of removal from Immigration Judges. To achieve the goal of providing UAC appropriate shelter, ACF's Family and Youth Services Bureau provides surplus beds for UAC. Toward the goal that UAC are safe, ACF Program Support Center (PSC), through an interagency agreement, performs background checks on the UAC sponsors before reunification is approved. The U.S. Public Health Service (PHS) works to ensure UAC are medically screened and receive needed medical care while in ORR custody. DUCS also works with the ORR Trafficking Division to identify UAC victims of trafficking. DUCS also works with the Executive Office for Immigration Review (EOIR) regarding UAC's immigration proceedings. All of these partners are committed to helping the UAC program achieve its goals, as can be seen in the Interagency Agreements, Cooperative Agreements, and Statements of Principles that outline their responsibilities in serving UAC in ORR custody. DUCS also partners with non-federal organizations. The Vera Institute of Justice is assisting DUCS to develop a plan to ensure each UAC has competent and qualified legal representation through a 3-year pilot program to build pro bono capacity within non-profit legal service providers throughout the United States. DUCS also works with legal service organizations to coordinate legal representation of UAC. Finally, two national VOLAGS ensure safe reunification of UAC with family members in the US: the United States Catholic Conference of Bishops (USCCB) and the Lutheran Immigrant and Refugee Service (LIRS).

Evidence: Interagency Agreements (FYSB, PSC, HRSA/PHS); Statement of Principles between HHS & DHS; Cooperative Agreement between ACF/ORR and Grantees contract with Vera Institute; Flores Settlement Agreement; 8 C.F.R. section 236.3(d).

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: The DUCS program is currently undergoing a programmatic evaluation by the HHS Office of the Inspector General entitled "Office of Refugee Resettlement Efforts to Safeguard Unaccompanied Alien Children," OEI-07-06-00290. The HHS/OIG is tasked with carrying out high quality, comprehensive program evaluations. Also, due to the functional separation of the HHS/OIG with the DUCS program, OIG evaluations are unbiased and independent. GAO has requested an Entrance Conference entitled Implementation of Detention Standards for Aliens in Custody, Job Code 440515, indicating it also intends to carry out an evaluation of the DUCS program. Additionally, the program is pursuing an independent, contracted evaluation this year that will include long-term strategic planning (by end of 3rd quarter of FY06) and plans to contract evaluations every two years to objectively gauge program progress. The DUCS program puts an emphasis on creating a culture of accountability. DUCS requires its grantees to include evaluations as part of their performance. This information will inform DUCS' overall strategic planning. Vera Institute is providing reports for ORR on an annual basis on pro-bono outreach capacity in areas where DUCS has shelter care for UAC. DUCS intends to have an independent contractor perform bi-annual evaluations. Additionally, the continued development of the online Tracking and Management System will allow for ready access to key statistics for enhanced strategic planning.

Evidence: Vera Institute reports [after close of FY 2007]; ORR Director letter authorizing the evaluation/training program [FY 2006 evaluation]; Start Notice "Office of Refugee Resettlement Efforts to Safeguard Unaccompanied Alien Children," OEI-07-06-00290.

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: The program is working on clearly linking budget requests to its newly-developed annual and long-term performance goals. Currently, budget requests are primarily based on the projected number of children ORR expects to serve that fiscal year.

Evidence: Program Announcements for FY05 and FY06; FY 2007 Congressional Justification, pp. E 36-37; DUCS Logic Model

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

Explanation: The UAC program has, since its arrival at ORR, taken several steps to improve strategic planning. The program began by determining what outcomes its grantees needed to demonstrate to accomplish program goals. This thought process has led to development of extensive regulations and standards for the operation of shelter facilities, as well as increased reporting requirements and monitoring, and the development of the Tracking and Management System. All of these are efforts to better track program outcomes. Building on this process, the UAC program has developed a number of performance measures, both for internal use and as part of the performance budget submission, that allow them to evaluate the program's success. Some of these measures are discussed in the Performance Measures section. Baselines and targets for these measures are determined through analysis of TMS data. In addition to the creation of outcome data collection instruments and related performance measures, and as part of an ACF-wide initiative, UAC program developed a logic model demonstrating how it will accomplish its short and long-term goals. This model describes and links the resources, program activities, and program outputs that lead to identified outcomes (short and long-term), as well as any external factors that impact the achievement of goals. In addition, the program hired three new staff members in FY 2005. These staff members were hired after a careful examination of increased numbers of children being referred for placement over the course of FY 2003 determined that more staff was necessary in order to adequately cover required programmatic functions. UAC also hired four new field staff to serve in areas of concentration of UAC care provider facilities. These hires were based on careful strategic planning following increases in the number of UAC being apprehended by DHS/ICE, and analysis of the requirements for the program to meet the needs of these children. In FY 2006, a total of six new field staff, including one supervisory position, and one headquarters staff member have been budgeted to meet the projected needs for field operations coverage. Finally, the program is identifying independent evaluator to conduct an evaluation during the 3rd Quarter of FY 2006 to supplement internal strategic planning activities. DUCS continues to seek other independent evaluations to support internal efforts for strategic planning.

Evidence: DUCS Logic Model ORR Director letter authorizing the evaluation/training program [FY 2006 evaluation]

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: DUCS collects grantee related performance information including: Quarterly Program Progress Reports provide information regarding program adjustments, and progress made toward meeting the performance goals and objectives of the UAC Cooperative Agreement. The Quarterly Program Progress Report includes the: Period covered by the report; Program progress toward attaining program goals, program achievements under each service, program problems and actions taken, program needs, program strengths and/or weaknesses, coordination efforts and future plans; and a chronological listing of all clients which includes name, alien number, date of birth, country of origin, date of admission, date of discharge and case disposition (i.e. family reunification, runaway, voluntary departure, removal, transfer, etc.). For those reunified with sponsors, the names, addresses and relationship to UAC is required. For UAC represented by attorneys, names, and addresses of such attorneys are provided. For UAC in foster care, and for all UAC transferred to another ORR care provider, the address of foster homes or receiving facilities must be indicated. For those UAC transferred, reasons for the transfer, name of care provider to which transferred, date the transfer was made, name of staff that authorized the transfer and executed the transfer should also be included. Staff hiring and development data, and any changes from the previous quarter, are included. Monthly Statistical Reports include statistical information concerning arrivals, departures, releases, and immigration case disposition of UAC in care provider's care. Weekly Statistical Reports include information concerning runaways, significant incidents, case disposition of UAC in care provider's care. Daily, grantees electronically update and provide case file information including: admission information - admission date, time, and type; Discharge Information - Discharge Date, Time, Type, and Detail; Attorney of Record Information; Site Reports/Monitoring Reports (on an as needed basis). DUCS conducts programmatic and financial on-site monitoring of grantees for the purpose of ensuring that the grantee's service delivery program and financial management system meets the requirements and standards of the program. Tracking and Management System: DUCS is in the process of implementing a web-based data management system that can provide close to real-time statistics on discharges, capacity availability, and UAC pending placement by DHS post referral. DUCS utilizes the performance information listed above, including information from key program partners to help inform decision making through better understanding of UAC related conditions, trends and impacts. Grantees have benefited from performance assessments resulting in effective and efficient programmatic management (i.e., we have shared lessons learned through the projects with new grantees). The performance information allowed for the program's improved ability to measure trends and make future project related decisions (i.e., funding in response to emergency influx in a particular area of the country). To measure and improve performance, DUCS has finalized and implemented the UAC cooperative agreement, policies and procedures, and the program's strategic plan. These serve as parameters for core performance indicators to manage the program. Findings and analysis of the reports (as listed above) facilitates the delivery of agency technical assistance for grantees to promote program development and increase their capacity to provide services.

Evidence: Letter requesting continuation applications and end of the year reports; Agenda for DUCS facility training reflecting workshops on areas of improvement/performance requirements; Monitoring Report Findings and analysis of the reports facilitates the delivery of agency technical assistance for grantees to promote program development and increase their capacity to provide services.

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: Federal managers have clearly defined performance standards. The Assistant Secretary for Children and Families has a performance plan that includes critical elements that hold him accountable for cost and schedule. For example, there are quantifiable goals related to improving financial management, expanding electronic government and improving budge and performance integration that apply to all ACF programs. Within the program office, the cost, schedule, and performance objectives are reflected in the performance plans of all level of staff. For example, all staff have clearly identified responsibilities related to grant and contract administration and must demonstrate expertise in the area of UAC and complex child and family welfare issues, program management, and grant and contract administration processes. The DUCS Director must also make adjustments to delineated responsibilities in accordance with a fluctuating workload. ORR requires grantees under cooperative agreements to facilitate the provision of a variety of social, educational, legal, and health services. All of service requirements go toward meeting the program goal of providing a safe and appropriate environment, which are reflected in the program performance measures. Grantees are selected based on whether their specific project descriptions and applications focus on outcomes (preferably outcomes that lead to data needed for performance measures) and convey strategies for achieving intended performance. Project descriptions are evaluated on the basis of substance and measurable outcomes. Grantees are required to describe how they will conduct evaluations to demonstrate progress in achieving the goals of the program. Applicants for funding are selected partially based on their ability to demonstrate an evaluation plan methodology based on performance, particularly in the area of reunification and ensuring timely release of those UAC with sponsors, where applicable. Evaluations must demonstrate grantee effectiveness and measures that track performance in this area. The program announcement for these grants also discusses reporting requirements and states that grantees must provide program quarterly progress reports and statistical reports as required. Upon grant award, DUCS requires that all grantees must provide comprehensive and detailed costs justification for each cost category for review and approval. Failure of DUCS grantees to comply with the performance related requirements can be considered for grounds of termination of the grant or related agreement. DUCS grantees are held accountable for their cost, schedule, and performance results by onsite and off-site monitoring activities and by recommendation and corrective action mechanisms and regular (daily, weekly, and monthly) reporting requirements on programmatic activities. For example, continuation awards are based on satisfactory progress which is measured in part by the timely submission of the required - program and financial reports site/monitoring visits conducted during the fiscal year and the results of the SF 269 Financial Status Reports.

Evidence: Notice of UAC grant award conditions, UAC Cooperative agreement signed by each grantee. Blanket Purchase contracts which include a statement of work and conditions of the award. SF 269 Financial status report forms required by all grantees. OMB Circular A-122, "Cost Principles for Non-Profit Organizations"

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

Explanation: DUCS grantee awards are disseminated in a timely fashion. Payments of funds are transferred electronically at the request of the grantees. Funds are prepared and disbursed by the U.S. Treasury, under the authority of Treasury Circular 1075. Special procedures are in place to provide continued funding during interim budget periods (i.e. funding under a continuing resolution) DUCS works closely with ACF's Office of Legislative Affairs and Budget (OLAB) to develop agency specific program, budget development, budget execution matters, and regulatory activities. DUCS require grantees to submit an End of Year report documenting all financial elements and guidance. The continuation application requests include documenting all financial elements/guidance. Upon initial award of UAC cooperative agreement, grantees also receive a notice of grant award with grant financial grant conditions included. One of the more significant financial monitoring activities performed by DUCS staff is the review of Financial Status Reports (SF 269) submitted by grantees. Grantees submit the SF 269s to cover a reporting period of 6 months. DUCS Staff monitor the SF 269 submissions for the following key information: total Federal funds authorized for the funding period; indirect expenses; rate of expenditure; mathematical accuracy; unliquidated obligations. Grant awards and Blanket Purchase Agreement contracts are processed via GATES and the Procurement Tracking System (PTS). GATES is the primary grants administration system used by ACF. GATES automates the process of awarding grants and facilitates access to fiscal information about a grantee. GATES also compiles post-award monitoring information that assists DUCS staff with monitoring and performance plans. The functionality of PTS is similar to the GATES system, and is the primary contract administration system used by ACF.

Evidence: Notice of UAC grant award conditions [sample] UAC Cooperative agreement signed by each grantee. Blanket Purchase contracts which include the financial conditions of the award, 269 Financial status report

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: DUCS has identified two measures to demonstrate efficiencies and cost effectiveness in program execution. Efficiency Measure (1) - Increase percentage of "closed" corrective action plans issued by DUCS with respect to care provider facilities for UAC. Goal of measure: To improve the efficiency of DUCS in improving the overall quality of UAC shelters through monitoring, guidance, training, and technical assistance. Justification: This measure allows DUCS to monitor its efficiency in using training, technical assistance, and guidance/monitoring activities to improve program performance. For every performance shortcoming that a grantee has (compared to a list of potential deficiencies that DUCS has identified), a separate "corrective action" is filed. Measuring the percentage of "closed" corrective actions provides DUCS with a measure of the quality and performance of the DUCS funded care providers. DUCS Project Officers issue corrective actions when there are findings that care providers are not in compliance with the DUCS cooperative agreements, the policies and procedures, which incorporate the requirements of the Flores Settlement Agreement, as well as state licensing standards. DUCS procedures provide 21-days for care providers to respond to with "corrective action plans," which must include a plan with timelines for remedying the non-compliance. Plans that are not satisfactory will not be considered "closed." To calculate the measure, DUCS will examine the total number of "closed" corrective action at the 21-day response time frame from the total number of corrective actions opened. It is expected that as the UAC program grows and DUCS becomes more sophisticated in its provision of T/TA and monitoring, there should be a decrease of corrective action plans initiated for faulty performance, and then a decrease in corrective actions not closed satisfactorily. Baseline data and Targets: DUCS will evaluate its monitoring records and data on corrective actions. A baseline is expected by the 1st Quarter of FY 2007. Data source: Data for this measure will be collected from monitoring reports performed by DUCS Project Officer staff, and review of corrective action plans generated as a result of these reports. Efficiency Measure (2): As an additional efficiency measure, DUCS proposes to use the annual and long term measurement of reduced time between DHS/ICE notification to ORR of UAC apprehension and ORR placement designation in a care provider facility. See 2.1 and the Program Performance Measures section for more information.

Evidence: Budget allocation for DUCS program Monitoring Reports/Corrective Action Initiations.

Does the program collaborate and coordinate effectively with related programs?

Explanation: ORR/DUCS partners with a variety of federal entities which serve the UAC population, including grantees, the Department of Homeland Security's Immigration and Customs Enforcement agency (ICE) Customs and Border Patrol, ACF's Family and Youth Services Bureau, HHS's Program Support Center, the U.S. Public Health Service (PHS), the ORR Trafficking Team, and the Department of Justice, Executive Office for Immigration review (EOIR). DUCS also has Non-federal partners, including the Vera Institute of Justice, pro-bono community agencies, and two national Voluntary Agencies (Volags): the United States Catholic Conference of Bishops (USCCB) and the Lutheran Immigrant and Refugee Services (LIRS). All of these partners are committed to helping the UAC program achieve its goals, as can be seen in the Interagency Agreements, Cooperative Agreements, and Statements of Principle that delineate their interaction with DUCS.

Evidence: Homeland Security Act, Section 462; Interagency Agreement with FYSB, PSC, PHS; Statement of Work with Vera Institute for Justice Cooperative Agreement between ACF/ORR and Grantees.

Does the program use strong financial management practices?

Explanation: ACF has a strong Federal Managers Financial Integrity Act (FMFIA) program. Individual program managers are required to provide an annual certification attesting to whether or not internal controls are in place and functioning as intended. If not, managers are required to prepare an action plan and track progress until the issue has been resolved. Also ACF, as the second largest OPDIV in the Department of Health and Human Services (HHS), has prepared annual financial statements and had them audited by an independent audit firm in accordance with the CFO Act. Including four years in which ACF had a stand-alone audit of its own financial statements and three years being audited as part of the HHS financial statement audit process, ACF has received seven consecutive unqualified or "clean" audit opinions. To minimize erroneous payments, ACF uses the HHS Program Support Center (PSC) as its accounting service provider. Sufficient internal control procedures are in place to obtain clean Statement of Auditing Standards (SAS-70) audit reports over the financial processes undertaken at the PSC. The DUCS program is not required to perform Improper Payments Information Act risk assessments as the program does not meet the requirements of this Act. ACF's accounting services provider PSC currently prepares financial statements manually. Despite this fact, ACF's financial information has been deemed accurate and timely. While ACF's current financial management system has a Federal Financial Management Improvement Act weakness due to the system not being able to produce automated financial statements, ACF (as part of the Department's One HHS' initiative) is developing the Unified Financial Management System (UMFS) to resolve this issue, to achieve economies of scale and several other financial management goals of the Department. ACF is scheduled for implementation of UFMS in October 2007. DUCS uses strong financial management practices. DUCS requires that all grantee budgets must provide comprehensive and detailed costs justification for each cost category for review and approval. Failure of DUCS grantees to comply with the performance related requirements can be considered for grounds of termination of the grant or related agreement. For example continuation awards are based on satisfactory progress which is measured in part by the timely submission of the required - program and financial reports site/monitoring visits conducted during the fiscal year and the results of the SF 269, Financial Status Reports. The UAC program meets regularly with agency staff to assess financial aspects of the program.

Evidence: Section 462 of the Homeland Security Act (HSA) of 2002 Cooperative Agreement between ACF/ORR and Grantee Blanket Purchase contracts which include the financial conditions of the award, and the SF 269 Financial status report. [sample] Grantee Annual Reports; Continuation application requests include documenting all financial elements/guidance. [sample]

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

Explanation: The UAC program has, since its arrival at ORR, taken several steps to improve strategic planning. The program began by determining what outcomes its grantees needed to demonstrate to accomplish program goals. This has led to development of draft regulations and standards of care for the operation of shelter facilities, as well as increased reporting requirements and monitoring, and the development of the Tracking and Management System. All of this is an effort to better track program outcomes. Building on this process, the UAC program developed a number of performance measures, both for internal use and as part of the performance budget submission that allows for evaluation of the program's success. Some of these measures are discussed in 2.1 and 2.3. Baselines and targets for these measures are determined through analysis of TMS data. In addition to the creation of outcome data collection instruments and related performance measures, and as part of an ACF-wide initiative, UAC program developed a logic model demonstrating how it will accomplish its short and long-term goals. This model describes and links the resources, program activities, and program outputs that lead to identified outcomes (short and long-term), as well as any external factors that impact the achievement of goals. To facilitate programmatic feedback, DUCS regularly requires reports on a daily, weekly, monthly, semi-annual, and annual basis for a variety of functions. DUCS systematically monitors its facilities through site visits and semi-annual and annual progress and budget reports. In the event deficiencies or needs for improvement are indicated by DUCS, the items are documented through monitoring reports and corrective action plans are drafted if necessary.

From FY04 to the present, UAC program demonstrated increased number of facilities serving UAC; increased number of available beds; increased number of foster care placements; increased federal field staff; increased federal case managers and project officers; and increased overall funding to grantees. Finally, the program has identified an independent evaluator to conduct an evaluation during the 3rd Quarter of FY 2006 to supplement internal strategic planning activities. DUCS continues to seek other independent evaluations to support internal efforts for strategic planning.

Evidence: Monitoring reports; Recommendation and Corrective action plans; DUCS Logic Model; Subjects from Table of Contents from DUCS Draft Policies and Procedures Manual

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

Explanation: ORR funds grantees under cooperative agreements to "facilitate the provision of assistance and services for each UAC including, but not limited to: physical care and maintenance; provide routine and emergency medical/mental health care; dental services; comprehensive orientation; education; recreation; individual and group counseling by licensed clinicians; access to religious services, legal services and other social services. Recipients may be required to provide other services if ORR determines in advance that a service is reasonable and necessary for a particular child. Grantees are expected to develop and implement an appropriate individualized service plan for the care and maintenance of each child in accordance with his/her needs as determined in an initial intake admission assessment and psychosocial assessment. In addition, grantees are required to implement and administer a case management system which tracks and monitors children's progress on a regular basis to ensure that each child receives the full range of program services in an integrated and comprehensive manner." All grant applications received are reviewed by independent three-person panels composed of individuals knowledgeable about the program and trained in the ACF grant review process. Applicants are scored according to established criteria (as published in the Request for Proposal or Program Announcement), including need for services, expected benefits, staff qualifications, proposed approach, and budget. A "Decision Memo", which is a ranking of applicants based upon their scores, is submitted to the ORR Director. The best (i.e. most competitive) applications??although factors such as geographic distribution of grants may also be taken into consideration, are assessed for the likelihood of meeting program standards. With that determined, applicants are awarded cooperative agreements.

Evidence: Program Announcements for FY05 and FY06; Notice of UAC grant award conditions; UAC Cooperative agreement signed by each grantee

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

Explanation: DUCS engages in a number of oversight practices to gain knowledge of grantee activities:

Quarterly Program Progress Reports provide information regarding program adjustments, and progress made toward meeting the objectives of the UAC Cooperative Agreement. The Quarterly Program Progress Report includes the: Period covered by the report, Program progress toward attaining program goals, program achievements under each service, program problems and actions taken, program needs, program strengths and/or weaknesses, coordination efforts and future plans. A chronological listing of all clients which includes name, alien number, date of birth, country of origin, date of admission, date of discharge and case disposition (i.e. family reunification, runaway, voluntary departure, removal, transfer, etc.). For those reunified with sponsors, the names, addresses and relationship to UAC is required. For UAC represented by attorneys, names, and addresses of such attorneys are provided. For UAC in foster care, and for all UAC transferred to another ORR care provider, the address of foster homes or receiving facilities must be indicated. For those UAC transferred, reasons for the transfer, name of care provider to which transferred, date the transfer was made, name of staff that authorized the transfer and executed the transfer should also be included. Staff hiring and development data, and any changes from the previous quarter, are included. Monthly Statistical Reports include statistical information concerning arrivals, departures, releases, and immigration case disposition of UAC in care provider's care. Weekly Statistical Reports include information concerning runaways, significant incidents, case disposition of UAC in care provider's care.

Daily, grantees electronically update and provide case file information including: admission information - admission date, time, and type. Discharge Information - Discharge Date, Time, Type, and Detail. Attorney of Record Information.

Site Reports/Monitoring Reports (on an as needed basis) DUCS conducts programmatic and financial on-site monitoring of grantees for the purpose of ensuring that the grantee's service delivery program and financial management system meets the requirements and standards of the program. All DUCS grantees are visited at least once a year by DUCS Project Officer Staff, who regularly makes site visits, monitor the care provider grantees, and make recommendations for non-compliance or improvements. Tracking and Management System: DUCS is in the process of implementing a web-based data management system that can provide close to real-time statistics on discharges, capacity availability, and UAC pending placement by DHS post referral.

Evidence: FY04 and FY05 program announcements (federal register announcements); Cooperative Agreement between ACF/ORR and Grantees; Letter requesting continuation applications and end of the year reports; Monitoring Reports; SF 269 Financial status report forms required by all grantees.

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: The program is working on collecting grantee data on the newly-established performance measures and making it available to the public in a transparent and meaningful way. DUCS has posted general statistics about the UAC program on the ORR website, including number of children, country of origin of children, length of stay, range of children in care over the year, gender of the children, and percentage of children under the age of 12. Also, as the program moves forward with implementing its performance measures as detailed in the PART submission, it proposes to post performance data on the ORR website and in the HHS Congressional Justification.

Evidence: DUCS website: http://www.acf.hhs.gov/programs/orr/programs/uac.htm

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

Explanation: Because these measures are newly-established, the program cannot yet achieve long-term progress. Long-term Performance Measure #1: Reduce time between DHS/ICE notification to ORR of UAC apprehension and ORR placement designation in a care provider facility Goal of measure: To reduce the amount of time from DHS referral to DUCS placement designation. Justification: This measure is representative of the "placement" aspect of the program. ORR makes placement designations to care provider facilities for UAC referred by DHS officials. Timeliness of this designation is crucial to allow for logistical arrangements to be made by DHS to arrange transportation to the designated placement facilities, which at times may be located outside of the district of initial apprehension. For much of the year, placement designations are made within several hours of notification by DHS. This time increases on the weekend and non-regular business hours, and periods of heavy influx of UAC. The most significant delays occur during influx periods. This measure directly correlates to bed space capacity status - lack of capacity prevents timely designations, which cannot be made until space is available. Reductions in placement designation times, especially during influx periods, would reflect DUCS' improved preparations and capacity to accommodate referrals of UAC from DHS. Current data trends: Time between notification and placement designation during FY 2005 was 1.22 days. That same statistic from FY 2004 could not be analyzed due to incomplete records that cannot be retrieved despite efforts for correction and rectification. This is largely due to the transitional state of the program during that fiscal year. Current operational status of data collection on the developing DUCS Tracking and Management System captures date entries, but not time entries, and the TMS has been modified to begin collecting this data. DUCS began to capture this data in early June 2006. DUCS expects to have a baseline for Measure 1 at the completion of the 1st Quarter of FY 2007. Once this exact baseline is determined, targets will be set. Long-term Performance Measure #2: Increase percentage of UAC that receive medical care screening or examination within 48 hours. Goal of measure: To ensure immediate screening for primary care needs and communicable diseases that may affect both UAC and care provider staff alike. Justification: DUCS proposes to measure the percentage of UAC that receive medical screening/examination within 48 business hours after arrival at a DUCS funded care provider facility. This measure reflects the efforts to achieve the programmatic standard as established by the Flores Settlement Agreement, which states that UAC are to be medically examined within 48 business hours of admission, excluding weekends and holidays. Current data trends: Though there is no data field in the existing TMS to provide trend data on this measure, monitoring reports indicate that the number of programs which are marked with corrective actions as a result of a lack of timely medical screenings has decreased between 2004 and 2005. DUCS expects to have a baseline for Measure 2 at the completion of the 2nd Quarter of FY 2007. Once this exact baseline is determined, targets will be set.

Evidence: TMS data for records of UAC [to be completed] FY 06 budget and spending plans

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

Explanation: See 4.1 for measures #1 and #2. Annual Performance Measurement #3: the maintenance of the percentage of runaways from the program (i.e., "unsafe exit"). Justification: The percentage of runaways is currently low; therefore, DUCS aims to maintain this low percentage. A low percentage of runaways reflects care provider programs that have engaging programs, nurturing environments, quality programmatic services, highly trained staff, and appropriate security measures. Current data trends: From preliminary data analysis of this data, the approximate percentage of UAC running away from DUCS care provider facilities is 1.5%. Data source: The data sources for this will be data recorded by DUCS on-call staff and Significant Incident Reports from care providers; DUCS tracking and management system.

Evidence: TMS data for records of UAC [to be completed] FY 06 budget and spending plans

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

Explanation: As described in 3.4, DUCS proposes two measures for its efficiency measurements. As these measures are in the process of being developed, DUCS has not yet formulated baselines to determine ambitious annual goals. DUCS expects to have baselines for its efficiency measures by the close of FY 2006. Efficiency Measure #1: Increase the percentage of "closed" corrective actions. Goal of measure: To improve the efficiency of DUCS in improving the overall quality of UAC shelters through monitoring, guidance, training, and technical assistance. Justification: This measure allows DUCS to monitor its efficiency in using training, technical assistance, and guidance/monitoring activities to improve program performance. This measure will demonstrate that as UAC program grows and DUCS becomes more sophisticated in its provision of T/TA and monitoring, there should be a decrease of corrective action plans initiated for faulty performance, and then corrective actions not closed satisfactorily.

Baseline data and Targets: DUCS will evaluate its monitoring records and data on corrective actions. A baseline is expected by the 1st Quarter of FY 2007. Current data trends: In order to put this measure into operation, DUCS will compile all the corrective action plans initiated and closed in a single fiscal year as a result of monitoring reports. Once the exact baseline is determined, targets will be set. Data source: Data for this measure will be collected from monitoring reports performed by DUCS Project Officer staff, and review of corrective action plans generated as a result of these reports. Efficiency Measure #2: Reduce time (in hours) between DHS/ICE notification to ORR of UAC apprehension and ORR placement designation in a care provider facility. See 4.1

Evidence: FY04 and FY05 program announcements (federal register announcements); Monitoring Reports [sample] Recommendation/Corrective Actions [sample] Cooperative Agreement between ACF/ORR and Grantees

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

Explanation: See Question 1.3. The UAC program neither duplicates nor competes with any other program, whether Federal, State, or private. UAC in Federal custody are a unique population. No other federal programs offer specific services for children in federal custody who are unaccompanied by parents or legal guardians. DHS/Immigration and Customs Enforcement houses a limited number of detained non-UAC children who are with family members in special family shelters. The UAC program improves upon the DHS program with respect to the comprehensive nature of the services it provides for its population. Other HHS/ACF programs, such as those offered by the Children's Bureau and the Family and Youth Services Bureau, house domestic runaway children, but do not serve as the managing conservators of their client population. Also, the ORR Unaccompanied Refugee Minors (URM) program serves refugees, Cuban/Haitian Entrants, Amerasians, Asylees, and most recently, child victims of a severe form of trafficking. The quality of services for UAC by DUCS is at least comparable to its ACF and ORR counterparts, with comprehensive health, educational, legal, and social service components. The program has been greatly diversified with respect to its care and placement options with comparison to the Unaccompanied Juvenile Alien Program managed by the former INS. From FY 2003 to FY 2005, ORR discontinued placing UAC in county lock-down juvenile detention centers and reduced the number of secure placement facilities from 32 to 3. Based on the individual needs of the UAC population, DUCS has increased its reliance on shelter type care provider facilities, short-term and long-term foster care settings, and group homes. It has also created a placement option for higher staff ratio (or staff-secure) facilities for UAC with behavioral needs that do not warrant placement in secure facilities. It has also introduced a mental health treatment program to provide for UAC with acute mental health needs. The DUCS program compares favorably to similar programs in other countries. Regarding Belgium: "A great concern is the disappearance of separated children from reception centres. A newspaper wrote about 216 cases of children missing in September 2001 since February 2001." Also, "Separated Children, after living for a while in a reception center, and institution or a foster family tend to disappear in 45 to 50% of the cases." During FY 2005, only 1.5 children in ORR custody were unaccounted for as "runaways." Regarding France, "Not all accommodation centers have social workers able to deal with young non-French speaking children." As per DUCS Cooperative Agreements with care provider facilities, service delivery for UAC must be sensitive to their culture, native language and complex needs. While most of the UAC population uses the Spanish language, certain facilities within the DUCS network of care providers offer an expansive availability of language resource through staff and local community partnerships. Regarding Italy, "There are some cases in which, due to insufficient availability, children are not immediately placed, they are, therefore, added to waiting lists, and end up sleeping for long periods of time in abandoned factories and cars, etc; or might even be invited to go to other cities to be placed." From FY 2005 data, the average time of UAC placement designation by ORR was 1.22 days. In reference to other Federal programs, comparisons with DHS/ICE/DRO performance measures are not appropriate due to the differing nature of the programs. ICE/DRO's performance measures, according to its PART evaluation, are oriented towards enforcement of immigration laws, whereas DUCS' proposed measures are a reflection of national and international child welfare principles and emphasize the best interest of the child.

Evidence: "Unaccompanied Juveniles in INS Custody" (Office of the Inspector General, US Dept. of Justice, 2001); Save the Children reports on separated children seeking asylum - http://www.separated-children-europe- programme.org/separated_children/publications/assessments/index.html, reports from Belgium, France, and Italy; Cooperative Agreement between ACF/ORR and Grantee.

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

Explanation: The DUCS program is currently undergoing a programmatic evaluation by the HHS Office of the Inspector General entitled "Office of Refugee Resettlement Efforts to Safeguard Unaccompanied Alien Children," OEI-07-06-00290. The HHS/OIG is tasked with carrying out high quality, comprehensive program evaluations. Also, due to the functional separation of the HHS/OIG with the DUCS program, OIG evaluations are unbiased and independent. GAO has requested an Entrance Conference entitled Implementation of Detention Standards for Aliens in Custody, Job Code 440515, indicating it also intends to carry out an evaluation of the DUCS program. Additionally, the program is pursuing an independent, contracted evaluation this year that will include long-term strategic planning (by end of 3rd quarter of FY06) and plans to contract evaluations every two years to objectively gauge program progress. The DUCS program puts an emphasis on creating a culture of accountability. DUCS requires its grantees to include evaluations as part of their performance. This information will inform DUCS' overall strategic planning. Vera Institute is providing reports for ORR on an annual basis on pro-bono outreach capacity in areas where DUCS has shelter care for UAC. DUCS intends to have an independent contractor perform bi-annual evaluations. Additionally, the continued development of the online Tracking and Management System will allow for ready access to key statistics for enhanced strategic planning. As these activities are not yet complete, the program has not established by independent evaluations that the program is effective in achieving results.

Evidence: Vera Institute reports [after close of FY 2007]; ORR Director letter authorizing the evaluation/training program [FY 2006 evaluation]; Start Notice "Office of Refugee Resettlement Efforts to Safeguard Unaccompanied Alien Children," OEI-07-06-00290.