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Homeland Security 5 Year Anniversary 2003 - 2008, One Team, One Mission Securing the Homeland

CIS Ombudsman's 2007 Annual Report to Congress

Complete 2007 Annual Report Available for Download:

CIS Ombudsman's 2007 Annual Report to Congress (PDF, 145 pages – 1.3MB)
- USCIS' February 13, 2008 Response (Thematic) to the 2007 Annual Report to Congress (statutorily due by September 9, 2008) (PDF, 8 pages – 64 KB) - New 03/21/2008
- USCIS' February 13, 2008 Response (Recommendations) to the 2007 Annual Report to Congress (statutorily due by September 9, 2008) (PDF, 14 pages – 100 KB) - New 03/21/2008

The following, online web version of the 2007 Annual Report, allows the reader to respond directly to the Ombudsman with comments by clicking on the icon embedded throughout the text of the report:

When commenting, please put the following phrase in the subject line of your e-mail: “AR2007_Page Number__ and a brief description of the topic you are commenting on such as Recommendation; Case Problem; Comments; or Best Practices. The Ombudsman welcomes all input as we work together to create a world class immigration services and benefits system.

This version also has updated technical information on pages 19 (Figure 3); 20 (Figures 4 and 5); 60 (Figure 13); and 81 (Figure 14), which does not affect the analysis or discussion of the Report.

Introduction

Message from the Ombudsman (PDF, 1 page – 33KB) A personal message from the Ombudsman in which he provides insights on his philosophy and vision for creating a twenty-first century immigration benefits system.

Executive Summary (PDF, 5 pages – 42KB) Contains an overview and brief summaries of key sections of the Annual Report.

Introduction (PDF, 4 pages – 51KB) An outline and description of the Ombudsman’s mission, vision and accomplishments. It also includes a dialogue on the State of USCIS.

USCIS Transformation

USCIS Transformation (PDF, 2 pages – 41KB) USCIS Transformation, which encompasses IT modernization efforts, forms revision, development of person-centric case management, and other initiatives, is vital to the agency’s future success. However, USCIS has devoted considerable resources to various types of modernization efforts since the 1990s with minimal progress. The success of the current USCIS transformation initiative requires decisive leadership, focused management direction, and committed resources. There should be input from customers and stakeholders and credible performance measures. At the same time, the Ombudsman hopes the transformation program does not divert attention and resources from resolving problems that could be fixed in the near-term with readily available IT solutions.

Pervasive and Serious Problems

Pervasive and Serious Problems faced by USCIS and its customers include:

Complexity of the Immigration Process (PDF, 4 pages – 583KB) - One of the most serious problems facing individuals and employers is the complexity of the immigration process. While the Immigration and Nationality Act is the principal statute governing immigration to the United States, there are myriad other laws, regulations, policies, and procedures that affect whether and in what manner a foreign national may enter the United States, seek temporary status, a green card, or U.S. citizenship. Many of the pervasive and serious problems detailed in this report are interconnected and stem from the complexity and opaque nature of the immigration rules and the agency administering them.
Backlogs and Pending Cases (PDF, 5 pages – 672KB) – USCIS customers continue to face lengthy and costly waiting periods for benefits, but thanks to the dedication and leadership of staff in support centers, field offices, and service centers, there has been a substantial reduction in the backlog. Unfortunately, the agency’s redefinition of the backlog obscures the issue and raises questions about its backlog reduction efforts.
Processing Times (PDF, 4 pages – 589KB) – On August 23, 2006, USCIS announced changes that would improve the reporting methodology for processing times of immigration benefit applications. The Ombudsman disagrees that this change provides better information and urges USCIS to return to the practice of providing the public with the actual processing time for each field office.
Customer Service (PDF, 10 pages – 1.12KB) – During the reporting period, USCIS made important strides in customer service. USCIS increased the number of appointments available via INFOPASS and began two new contracts in the effort to improve its toll-free customer service line. Nevertheless, the Ombudsman continued to observe other areas where communication issues with customers persist: (1) limited customer access to USCIS immigration officers who know about individual cases to resolve an inquiry accurately and efficiently; (2) questionable accuracy of information provided by customer service representatives; and (3) the practice of providing minimal information in response to customer inquiries.
Untimely Processing and Systemic Problems with Employment-Based Green Card Applications (PDF, 5 pages – 657KB) - USCIS’ inability to process enough green card applications and accurately track employment-based green card applications has resulted in a perpetual backlog of employment-based green card applications and widespread issuance of interim benefits. This lack of accurate data also has resulted in the underutilization of statutorily limited visa numbers.
Name Checks and Other Security Checks (PDF, 8 pages – 1.13MB) – FBI name checks, one of the security screening tools used by USCIS, continue to significantly delay adjudication of immigration benefits for many customers, hinder backlog reduction efforts, and may not achieve their intended national security objectives. FBI name checks may be the single biggest obstacle to the timely and efficient delivery of immigration benefits, and the problem of long-pending FBI name check cases worsened during the reporting period.
Interim Benefits (PDF, 1 page – 286KB) – The Ombudsman strongly supports efforts by USCIS to eliminate the need for interim benefits in favor of timely, efficient, and secure adjudication of the ultimate immigration benefit. Legitimate customers should not have to pay filing fees for interim benefits they would not need if the underlying petition were timely processed. Interim benefits also allow ineligible and fraudulent applicants to receive work authorization and travel documents because of processing delays.
Funding of USCIS (PDF, 4 pages – 668KB) – Due to the congressional requirement that USCIS be self-funded from fees, USCIS may make decisions that compromise operational efficiency to ensure revenue flow. The manner in which USCIS obtains its funding affects every facet of USCIS operations, including the ability to: (1) implement new program and processing initiatives; (2) begin information technology and other transformation efforts; and (3) plan for the future.
Lack of Standardization Across USCIS Business Processes (PDF, 3 pages – 490KB) – The Ombudsman is encouraged by USCIS’ attempts to foster standardization of adjudicative processes and decision-making, yet processing times and the quality of decisions between offices remain inconsistent.
Inefficient or Redundant Processes (PDF, 7 pages – 874KB) – There are certain USCIS processing inefficiencies and redundancies that could be easily addressed and would make substantial improvements for customers.
Coordination and Communication (PDF, 4 pages – 575KB) – Coordination and communication problems between USCIS field offices and service centers, USCIS headquarters and field offices, USCIS and stakeholders and other government agencies, and even among headquarters components continue to cause processing delays, inconsistency in adjudications, and costly inefficiencies.
Information Technology Issues (PDF, 3 pages – 480KB) – The effective deployment of information technology systems to all service centers and field offices remained a significant challenge for USCIS. Legacy agency systems are unable to communicate with one another, and USCIS continues to be a paper-based operation.
Staffing, Career Development, Training and Strategic Workforce Planning and Recruiting (PDF, 6 pages – 877KB) - During the reporting period, USCIS combined its human resources and training and career development components into a new office led by the agency’s first Chief Human Capital Officer. USCIS completed its first strategic workforce planning and integrated training effort, which addressed aspects of the staffing and training gaps identified in the Ombudsman’s 2006 Annual Report. Substantial workforce staffing and training challenges remain for USCIS. The Ombudsman urges USCIS to implement the findings of the Strategic Workforce Plan.
Delay in Updating U.S. Citizenship Designation in Records (PDF, 1 page – 191KB) – In the past, some naturalized citizens could not apply for passports because naturalization could not be verified. The Ombudsman understands that USCIS has corrected this problem and will continue to monitor it.
Green Cards Collected, Not Recorded, and Green Card Delivery Problems (PDF, 2 pages – 296KB) – In the past, untimely and inaccurate updating of records resulted in major inconveniences for certain USCIS customers and misdirected green cards for others. The Ombudsman will monitor the changes USCIS has implemented and is planning on these issues.

Up-front Processing

Up-front Processing (PDF, 6 pages – 67KB) To reduce the number of fraudulent applicants considered for interim benefits, the Ombudsman recommends that USCIS complete security checks prior to application submission and continues to recommend up-front processing of immigration benefit applications. The DORA pilot program has shown that up-front processing also improves customer service and efficiency by allowing USCIS officials to review applications for completeness before they are accepted for processing.

DORA data indicate that this up-front review reduces the number of interim benefits issued to ineligible applicants. During the reporting period, USCIS expanded DORA to the El Paso and Oklahoma City offices, but USCIS support for DORA’s expansion has been lacking. As the pilot enters its fourth year, USCIS must decide whether to implement it nationwide or end it.

Recommendations

Recommendations (PDF, 18 pages – 134KB) This section of the report discusses the Ombudsman’s recommendations to the USCIS Director during the reporting period, which include:

AR2007-01: Transformation (p. 6)
AR2007 -02: Pending Cases (p. 15)
AR2007-03: Processing Times (p. 21)
AR2007-04: FAQ List (p. 29)
AR2007-05: Applicant Redress (p. 30)
AR2007-06: FBI Name Checks (p. 45)
AR2007-07: Premium Processing Costs Compared With Regular Processing Costs (p. 50)
AR2007-08: Fraud Interviews (p. 53)
AR2007-09: Fraud Investigation Time Limits (p. 53)
AR2007-10: Quality Assurance (QA) Training (p. 54)
AR2007-11: Chicago Lockbox (p. 56)
AR2007-12: Request For Evidence (RFE) Issuance (p. 61)
AR2007-13: Fund Headquarters Staff Visits to the Field (p. 63)
AR2007-14: Records Management (p. 64)
AR2007-15: Information Technology Network Solutions (p. 69)
AR2007- 16: Chief Human Capital Officer (p. 71)
AR2007-17: Career Paths (p. 71)
AR2007-18: Training (p. 72)
AR2007-19: Standardize Staffing Levels (p. 72)
AR2007-20: Office Communication (p. 74)
AR2007-21: Training for Office Supervisors (p. 74)
AR2007-22: Personnel Recruitment and Development (p. 75)
AR2007-23: Training (p. 77)
AR2007- 24: End the Dallas Office Rapid Adjustment (DORA) Pilot (p. 84)
AR2007-25: Asylum Application Redraft (p. 95)

Each one of the above, along with many of the other recommendations from previous years, is discussed in detail within the report. The report also provides a summary of USCIS responses and progress on implementation of the recommendations.

Ombudsman Outreach

Ombudsman Outreach (PDF, 4 pages – 60KB) To obtain feedback from individuals, employers, and stakeholders, the Ombudsman and his staff visited 40 USCIS facilities during the reporting period. The Ombudsman also: (a) initiated the creation of a Virtual Ombudsman System, an online suite of Ombudsman services, to be available during FY 08; (b) organized a series of pilot teleconferences in which USCIS applicants and stakeholders discussed problems encountered with USCIS programs and offices; and (c) established an email address to receive and monitor trends, and for the public to make suggestions for improving USCIS.

Case Problems

Case Problems (PDF, 4 pages – 60KB) By statute, the Ombudsman receives and processes case problems to assist individuals and employers who experience problems with USCIS. The case problem resolution unit helps identify systemic issues that, once corrected, will prevent the reoccurrence of future such case problems. During the reporting period, the Ombudsman expanded services to individuals and employers by developing the new DHS Form 7100 (CIS Ombudsman Case Problem Submission Form). This form is designed to provide a streamlined and standardized way to provide case problem information to the Ombudsman’s office.( Please note: This is a pilot project that we request you participate in, so that we can determine feasibility of submitting cases online in the future. )

2007-2008 Reporting Year Objectives

2007-2008 Reporting Year Objectives (PDF, 2 pages – 22KB) In 2007-2008, the Ombudsman will continue to identify areas in which individuals and employers have problems interfacing with USCIS, and to the extent possible, propose changes to mitigate identified problems. The Ombudsman will gather information and feedback from USCIS customers and stakeholders by continuing to conduct frequent site visits to USCIS facilities; meeting regularly with community, employer, and immigration law organizations; and expanding individual and employer access to the Ombudsman.

The Ombudsman will improve the process for resolving problems individuals and employers face in dealing with USCIS by establishing a Virtual Ombudsman’s Office to provide for online case problem submission. Additionally, the Ombudsman will continue to initiate and expand activities to promote interagency cooperation and holistic approaches to immigration issues.

Appendices

Appendices (PDF, 13 pages – 125KB) This section contains charts, graphs and explanations to support and illustrate the concepts and topics discussed in the report.