Detailed Information on the
Immigration Services Assessment

Reengineer business processes to modernize processes and systems to more efficiently adjudicate applications and effectively provide immigration benefits. In FY07, pilots were implemented to test selected technology solutions, evaluate newly developed business processes, and gather lessons learned for the proposed incremental rollout of Transformation goals and objectives. Release 1 of the Electronic Data Management Service (EDMS) digitization pilot went live June 4, 2007, and Release 1 of the Secure Information Management Service (SIMS) case management proof of concept to a limited user base went live July 5, 2007. SIMS will use biometric enumeration to increase USCIS ability to uniquely identify individuals.

Complete acquisition and award contract for Solutions Architect. Deploy Biometric Storage System (BSS) release 2.0 with deployment to USCIS and ICE users with Enterprise Service Bus Person Centric Query (PCQ) agent. Release 3.0 Secure Information Management Service (SIMS) that provides Section 508 compliance and interface with Department of State (DOS).

Develop and implement new IT services to accomplish the transformed business processes for the first increment, which is Citizenship; Citizenship includes Naturalization, Military Naturalization, and International Adoption. Increment 1 capabilities include the case management functionality. Evaluate best methods to expand e-filing while improving customer service, operational efficiency and national security.

Design the business processes associated with year one of the second increment-- the second increment spans two years - year one of the second increment will include business processes associated with the Replacement of the Permanent Resident Card. Begin the design of the remaining business requirements and processes to be included in the second increment, Immigrant.

Develop and implement new IT services to accomplish the remainder of the transformed business processes in the second increment, which will include Immigrant Workers, Alien Relatives, Travel Documents, and Adjustment of Status from Temporary to Permanent Resident. Finalize the design of business processes associated with the third increment, which is Humanitarian.

Develop and implement new IT services to accomplish the third increment, Humanitarian, which will include Asylum, Refugee, Asylum/Refugee Relatives, and Temporary Protected Status. Finalize the design of business processes associated with the fourth increment, Non-Immigrant.

Develop and Implement new IT services to accomplish the fourth increment, Non-Immigrant, which will include Non-immigrant Workers and Alien Fiancee.

Implementing pilots in FY07 to test selected technology solutions, evaluate newly developed business processes, and gather lessons learned for the proposed incremental rollout of Transformation goals and objectives. Release 1 of the Electronic Data Management Service (EDMS) digitization pilot went live June 4, 2007, and Release 1 of the Secure Information Management Service (SIMS) case management proof of concept to a limited user base went live July 5, 2007. SIMS will use biometric enumeration to increase USCIS ability to uniquely identify individuals.

Measure: System-wide busy and abandonment rate

Explanation:USCIS tracks and measures the percentage of customers requesting live assistance that are unable to speak with a telephone representative due to a combination of staffing and call volume.

Measure: Percent of customer inquiries handled through self-service means

Explanation:This measure accounts for the number of customers who opt to use USCIS automated systems such as the Customer Relationship Interface System (CRIS), the Internet, and the Inter-Active Voice Response (IVR) system to obtain service versus seeking live assistance.

Measure: Customer Satisfaction Rate with USCIS Phone Centers

Explanation:Percentage of people who obtained immigration services and benefits information from USCIS over the telephone, who have indicated satisfaction with the service they received. On a monthly basis, USCIS selects a random group of customers who have called the phone centers. A contracted company with expertise in conducting phone surveys then calls each customer and conducts a survey to rate their overall experience with the service received from USCIS' phone center. A standardized USCIS and General Accountability Office approved survey tool is used to collect customer responses. This satisfaction rate measures our performance in providing timely, consistent, and accurate information regarding immigration services and benefits to immigrants, U.S. employers, and the American public over the telephone.

Measure: Nonimmigrant application cycle time (I-129)

Explanation:The amount of time it takes for U.S. Citizenship and Immigration Services to provide a decision regarding an I-129, Petition for Nonimmigrant Worker, that an employer has used to petition for an alien to come to the U.S. temporarily as a nonimmigrant worker. To provide immigration benefit services in a timely manner, on a monthly basis the USCIS collects performance data on applications received, completed and pending through its Performance Analysis System. Actual Cycle Time is calculated by counting back the number of preceding months until the sum of the monthly receipts equals the current month's End Pending (e.g. if 100 cases are pending and case receipts were 20, 30, 15, 25, and 10 over the past 5 months, then cycle time is 5 months).

Measure: Percent of suspected fraud leads where the principal application/petition is ultimately denied.

Explanation:This measure assesses the proportion of suspected fraudulent petitions/applications that are verified as fraudulent by the Office of Fraud Detection and National Security (FDNS) or Immigration & Customs Enforcement (ICE), and ultimately denied. When U.S. Citizenship and Immigration Services (USCIS) field adjudicators determine that applications/petitions may be fraudulent, the files are forwarded to FDNS. After the initial review by FDNS, if administrative investigation is validated, a lead is opened and FDNS conducts additional research. When the results of the research indicate that prosecutorial and/or administrative investigation is warranted, a case is opened and an investigation is conducted, either by ICE or FDNS. Results are provided to the adjudicator handling the application/petition for use in final determination to grant or deny the benefit.

Measure: Level of compliance with adjustment of status quality procedures

Explanation:A monthly Quality Assurance review is conducted at each USCIS District Office, Sub-Office or Satellite Office adjudicating applications for adjustment of status to lawful permanent residence. The purpose of these reviews is to ensure National Standard Operating Procedures are being followed.

Measure: Naturalization application cycle time (N-400)

Explanation:The amount of time it takes to make a decision regarding an N-400, Application for Naturalization. On a monthly basis USCIS collects performance data on applications received, completed and pending. Actual Cycle Time is calculated by counting back the number of preceding months until the sum of the monthly receipts equals the current month's End Pending (e.g. if 100 cases are pending and case receipts were 20, 30, 15, 25, and 10 over the past 5 months, then cycle time is 5 months). Cases are removed from the backlog calculation if the applicant has failed the English/Civics requirement and is waiting the statutory period between testing attempts, is awaiting a judicial oath ceremony for more than one month, the required name check is pending with the FBI, or if a Request For Evidence is pending for the regulatory period with the applicant.

Measure: Backlog as a percentage of pending (percent of pending Backlog Elimination Plan applications that are greater than the number of those applications received during the most recent target cycle time period).

Explanation:Backlog is that number of pending cases which is greater than the total of the last six (or other target cycle time) months of receipts. Immigrant visa petitions for which no visa numbers are currently available as no immediate benefit would be available with a positive adjudicatory decision and adjustment of status applications held in abeyance due to statutory numerical limitations are not considered backlog. Cases delayed in processing due to factors beyond control of USCIS are likewise removed from the backlog calculation. Backlog is reported as a percentage of total pending cases.

Measure: Level of compliance with naturalization quality procedures

Explanation:A monthly Quality Assurance review is conducted at each USCIS location adjudicating or processing applications for naturalization. The purpose of these reviews is to ensure Naturalization Quality Procedures guidance is being followed.

Measure: Adjustment of Status application cycle time (I-485)

Explanation:The amount of time it takes to provide a decision regarding an I-485, Application to Adjust Status. This is the form used to adjust the permanent legal status of an immigrant, and is one of our highest volume application types. On a monthly basis, performance data on applications received, completed and pending is collected through the Performance Analysis System. Actual Cycle Time is calculated by counting back the number of preceding months until the sum of the monthly receipts equals the current month's End Pending (e.g. if 100 cases are pending and case receipts were 20, 30, 15, 25, and 10 over the past 5 months, then cycle time is 5 months). Applications for which no visa number is available are considered pending, but not part of the backlog. Cases are also removed from the backlog calculation if a Request For Evidence is pending for the regulatory period with the applicant, the applicant has requested a later appearance date, or the required name check is pending with the FBI.

Measure: Electronic Filing for Applications

Explanation:Automate the application process by implementing electronic filing. Implementation is based on volume of applications that impact the largest majority of our customers, rather than the number of form types. Measure will be reported as % of workload available for electronic filing.

Measure: Provide immigration information and benefits for customers in a timely, accurate, consistent, courteous, and professional manner; and to prevent ineligible individuals from receiving benefits.

Explanation:This outcome will be accomplished when we reach our targets for the supporting measures below.

Is the program purpose clear?

Explanation: USCIS' mission is to secure America's promise as a nation of immigrants by providing accurate and useful information to our customers, granting immigration and citizenship benefits, promoting an awareness and understanding of citizenship, and ensuring the integrity of our immigration system. This includes providing immigration information and benefits for customers in a timely, accurate, consistent, courteous, and professional manner; and, preventing ineligible individuals from receiving benefits.

Evidence: USCIS Mission Statement, Immigration Services Business Plan and Information Technology Strategic Plan, FY 2006 President's Budget, DHS Strategic Plan, USCIS Strategic Plan, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, Homeland Security Act of 2002, Immigration Services and Infrastructure Improvements Act of 2000.

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

Explanation: Immigration Services is responsible for processing/adjudicating immigration benefit applications, including all adjudications previously performed by the former INS. This includes any application or petition to confer, certify, change, adjust, or extend any status granted under the Immigration and Nationality Act.

Evidence: Immigration and Nationality Act (INA), Appropriations Law, Applicable Executive Orders, Immigration Services Business Plan and Information Technology Strategic Plan, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, DHS Strategic Plan, USCIS Strategic Plan, Homeland Security Act of 2002, Immigration Services and Infrastructure Improvements Act of 2000.

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

Explanation: USCIS has the sole legislative authority to grant or deny immigration benefits; it does not duplicate other programs. Responsibilities include: 1) Family-based petitions for permission for close relatives to immigrate, gain permanent residency, etc; 2) Employment-based petitions for permission for current and prospective employees to immigrate or stay in the United States temporarily; 3) Residence and status renewal, verification, and record-keeping for eligible persons; 4) Naturalization for eligible persons who wish to become United States citizens; and, 5) Special status programs such as Temporary Protected Status.

Evidence: Immigration and Nationality Act (INA), Appropriations Law, Applicable Executive Orders, Immigration Services Business Plan and Information Technology Strategic Plan, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, FY 2005 Congressional Justification, FY 2006 President's Budget, Homeland Security Act of 2002, Immigration Services and Infrastructure Improvements Act of 2000.

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

Explanation: The challenges facing USCIS include a number of antiquated and stove-piped IT systems supporting primarily paper-based business processes along with a variable and unpredictable workload. To more quickly respond to outside events (e.g. 9/11, background checks) or policy changes that cause sudden increases in workload, USCIS implemented their Staffing Allocation Model to balance staffing and resources while addressing workload fluctuations and new requirements. USCIS initiated a number of pilot programs to increase its capacity and improve performance and is evaluating the results of these pilots and options to expand them. While USCIS developed an Immigration Services Business Plan and IT Strategic Plan, these efforts are in the early stages and have yet to be implemented. Significant work is needed to modernize and automate their business processes and the investments supporting these processes.

Evidence: Immigration Services Business Plan and IT Strategic Plan, IT Transformation Mission Needs Statement and IT Transformation Project Plan, Backlog Elimination Plan Update 2004, Staffing Allocation Model, Temporary Protected Status, Executive Orders, National Security Entry Exit Registration System, GAO and IG Reports.

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

Explanation: The program is primarily funded by user-fees and targets its resources to the adjudication of applications and petitions it receives. The Staffing Allocation Model enables USCIS to determine future staffing needs and align the workforce to meet those needs. Using application receipt forecasts and productivity data (hours needed per completion for each form type) USCIS can determine the number of adjudicators necessary to complete anticipated domestic workload, and re-align resources. USCIS also has begun to conduct zip-code analyses to determine whether their field offices are positioned to best serve their customers. Additionally, USCIS' Fraud Detection and National Security Office is an integral component in ensuring the right benefit is provided to the right person and benefit fraud attempts are identified and prevented. However, the fundamental processes and systems USCIS relies on to perform its day-to-day operations need to be upgraded and integrated. USCIS needs to prioritize its resources and make appropriate investmentes to modernize their processes and systems to more efficiently adjudicate applications and effectively provide immigration benefits.

Evidence: Budget Operating Plan, FY 2005 Congressional Justification, FY 2006 Budget submission, Staffing Allocation Model, Zip-code analysis.

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: To meet their goal of providing the right benefit to the right person in a timely manner, USCIS developed a number of long-term performance measures. While these measures largely determine output USCIS is in the process of developing long-term outcome measures that focus on the reduction of risk as a result of implementing program objectives. In the interim, the output measures below are results-oriented and key to quantitatively assessing the program's performance in meeting its goals. USCIS' priorities include continued decreases in adjudications backlogs, enhancement of customer service, and prevention of benefit fraud. The program has engaged in strategic and business planning to enhance customer service and ensure USCIS meets the Presidential mandate to eliminate backlogs and achieve a six-month or less cycle time for applications by the end of 2006. After 2006, USCIS focus will be to maintain backlog elimination to provide timely decisions while continuing to look for opportunities to improve service. The Immigration Services Business Plan includes long-term outcome metrics and intermediate goals across four key objectives that include backlog reduction and customer service. The updated Backlog Elimination Plan includes specific long-term outcome measures and milestones for backlog reduction. USCIS made progress during FY 2004 toward eliminating the backlog by decreasing the number of pending cases by almost one million, reaching six-month or better cycle times in 7 of the 16 backlog elimination forms, and by exceeding completion targets by more than 10% in FY 2004. Additionally, USCIS is working with Immigration and Customs Enforcement as part of their joint anti-fraud strategy to identify volume and type of immigration benefit fraud and more robust measures to determine progress in reducing fraud.

Evidence: DHS Performance Budget Overview, FY 2006 Budget submission, DHS' Future Year Homeland Security Program, Immigration Services Business Plan and IT Strategic Plan, IT Transformation Mission Needs Statement and IT Transformation Project Plan, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates.

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

Explanation: USCIS's long-term objective is to maintain backlog elimination, enhance customer service, and detect and combat benefit fraud while operating in an environment with continually changing workload requirements. USCIS recognizes an integrated approach is needed to ensure that processes and systems can adapt to future spikes or changes in workload; to improve connectivity, access to information, and tools needed by employees to do their best work; to ensure the eligibility of applicants; and, to become a more flexible and adaptable agency. Changes will take place in phases and each phase builds on the improvements, accomplishments, and functionality of the last. The Backlog Elimination Plan (updated in 2004) provides a strategy to eliminate backlogs of applications and achieve a six-month or less cycle time for applications by the end of 2006. The program uses key performance indicators to monitor progress in achieving cycle time goals, while not negatively impacting quality or customer service. Additionally, a joint strategy was developed by USCIS' Fraud Detection and National Security Office and Immigrations and Customs Enforcement to detect and combat benefit fraud.

Evidence: DHS' Future Year Homeland Security Program, Immigration Services Business Plan and IT Strategic Plan, IT Transformation Mission Needs Statement and IT Transformation Project Plan, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, DHS Performance Budget Overview.

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: The Backlog Elimination Plan is based on a set of milestones to achieve the President's goal of a six-month or less cycle time for all immigration benefit applications. Goals include Cycle Time; Level of compliance with Naturalization Quality Procedures (and baseline Adjustment of Status); expand electronic filing efforts; and streamline background checks. USCIS also measures Customer Satisfaction and Network Busy Rate at our Call Centers. Additional indicators are under development to further measure program effectiveness and efficiency, including benefit fraud indicators.

Evidence: DHS Performance Budget Overview, FY 2006 Budget submission, DHS' Future Year Homeland Security Program, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates.

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

Explanation: The Immigration Services Business Plan and the Backlog Elimination Plan include baselines and are based on a set of milestones to ensure the right benefit is provided to the right person while achieving the President's goal of a six-month or less cycle time for all immigration benefit applications. Targets are set for Cycle Time; Level of compliance with Naturalization Quality Procedures (and baseline Adjustment of Status); E-filing; Customer Satisfaction Rate; and, Network Busy Rate.

Evidence: Immigration Services Business Plan and IT Strategic Plan, DHS Performance Budget Overview, FY 2006 Budget submission, DHS' Future Year Homeland Security Program, Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates.

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: Contract support partners include data entry and mailroom staffing at the Service Centers, Records support at field offices, customer service representatives at the National Customer Service Center, and fingerprint technicians at the Application Support Centers. As part of performance-based contracts, contractors agree to the goals of the program and structure work to achieve them. Numerical and processing time goals established through the USCIS program plans and Backlog Elimination Plan provide Regional and District-level targets. The Backlog Elimination Plan targets are updated semi-annually to reflect changing receipt levels, actual accomplishments and changes in priorities.

Evidence: Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, Relevant Performance-Based Contracts w/ goals included.

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: GAO and DHS' Office of Inspector General conduct performance and program reviews of USCIS through regular audits (including financial) and special reviews of particular portions of the program. Additionally, the CIS Ombudsman provides an annual report with recommendations on improving the services of USCIS. Third party contractors are utilized on an as needed basis to review and validate USCIS' quality assurance processes. Their most recent evaluation, completed in FY 2005, validated the quality assurance processes. USCIS also conducts quality assurance reviews of its adjudication processes at Service Centers and Districts using Quality Assurance Analysts. At Districts the processes associated with naturalization and status adjustment applications are reviewed throughout the year. At the Service Centers, selected application and petition processes are reviewed and evaluated to identify whether problems are fixed.

Evidence: GAO reviews: Streamlining the US International Adoption Process, The Exchange Visitor Program, Immigration Benefit Fraud, DHS' Employment Verification and Enforcement Efforts, IRS/USCIS Data Sharing Options, Immigration Benefit Application Backlog, Security Threats and Vulnerabilities of Guam and the Commonwealth of the Northern Mariana Islands, Vulnerabilities in the US Visa Process, USCIS Call Center; DHS/OIG reviews: H-1B Program, Vulnerabilities and Potential Abuses in the L Visa Program, Background Checks for Beneficiaries, USCIS IT Modernization Initiatives. Quality Assurance Handbook and guidance. Performance Review Support Project. Annual CIS Ombudsman Reports.

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 President mandated a six-month or less cycle time standard for all immigration benefit applications by the end of 2006. In the FY 2006 President's budget, USCIS resources are prioritized to appropriately eliminate the backlog by the end of 2006 and make improvements in application processing while achieiving the six-month processing time standard for all immigration benefit applications. After FY 2006, USCIS' budget requests will be limited to mandatory resources, as the long-term performance goal of the agency will be maintaining the standard and identifying opportunities for performance improvements within a primarily fee-based environment.

Evidence: FY 2006 President's Budget, DHS' Future Year Homeland Security Program, Backlog Elimination Plan Update 2004, Backlog Elimination Plan Quarterly Updates.

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

Explanation: USCIS has undertaken a number of meaningful steps to correct deficiencies and ensure program processes and outcomes are linked to the USCIS Strategic Plan. In some instance steps have been implemented while in others USCIS has developed plans to remediate the problems. Some of these steps include: requiring security checks on all applications to ensure the security and integrity of the immigration system; updating the Backlog Elimination Plan in 2004 to address deficiencies previously identified; and developing the Immigration Services Business Plan and IT Strategic Plan to serve as the groundwork for USCIS' IT Transformation Program. In particular, the intent of the USCIS IT Transformation program is to migrate USCIS to a modern digital processing capability, improve customer service and responsiveness, and prevent future backlogs. The program should address all aspects of the USCIS transformation, including the organizational and business process changes needed.

Evidence: Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, Immigration Services Business Plan and IT Strategic Plan, IT Transformation Mission Needs Statement and IT Transformation Project Plan, USCIS Strategic Plan.

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: USCIS uses a comprehensive, uniform workload analysis to develop the initial backlog elimination plan. In order to achieve the performance goals, USCIS works with field offices and contractors to establish production plans. USCIS uses these plans to monitor office progress toward the backlog reduction milestones and to plan for future activities. USCIS identifies and resolves obstacles specific to individual offices to increase production. The Integrated Multi-Annual Performance System is a tool that tracks pending cases, backlog, and cycle times for each office. It enables USCIS to see how performance has affected progress towards cycle time milestones, and to forecast future production requirements. Individual offices can review performance against projected targets, and can input different scenarios to help plan for future needs. In addition, USCIS is updating its production management course for field managers. The course will provide managers with new and significant tools to help them address continuing production challenges, and moves offices toward increased efficiency. In coordination with the Performance Analysis System management office, the Performance Management Division adjusts counts as necessary and works with field offices to revise procedures to prevent future errors. They also analyze ongoing operational performance reports where performance is compared to performance goals in the area of information and customer service. They continue to track four key metrics established as a baseline for performance evaluation under GPRA, and initiate corrective actions when results indicate the need.

Evidence: Backlog Elimination Plan Update, Backlog Elimination Quarterly Updates, IMAPS, Performance Based Contracts w/ goals included, Information & Customer Service statistics.

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: While USCIS has made progress in this area, Federal managers and program partners are not yet fully accountable for cost, schedule, and performance results in regards to major IT investments. For example, USCIS relies on the performance of other Federal agencies in adjudicating benefits. More robust accountability is needed in order to minimize negative impacts on performance from their partners. Some examples of USCIS progress are listed. Fulfillment of performance goals is an element of Performance Work Plans (PWP) for program and field managers. As part of ongoing performance management initiatives within USCIS, numeric goals are set for each office based on staffing and workload. Targets must be met by the end of the fiscal year, and manager's ratings are based in part on whether those goals are met. Additionally, managers must perform their operations within the resources and budgets provided annually. USCIS utilizes performance-based contracts at Service Centers in support of USCIS goals. The work of the Service Centers relates to about 70% of the entire benefits workload. The performance-based contracts include both goals and incentives for contract employees.

Evidence: Performance Work Plans, Backlog Elimination Plan Update, Backlog Elimination Quarterly Updates, Staffing Allocation Model, Congressional reports, performance-based contracting.

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

Explanation: In its audit of the Department's Financial Statements, the OIG Financial Audit Contractor reviews USCIS procedures for timely deposit of funds as well as proper use of obligations. There were no significant problems identified in these areas. Further, USCIS implemented lockbox operations that assure real-time deposits of fees; and, USCIS requires contractors to deposit fees timely in line with Treasury guidelines.

Evidence: Lockbox procedures, Quarterly Financial Reviews, FY 2004 Auditors' Exit meetings.

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: The program has procedures to ascertain effieciencies and cost effectiveness. For example, USCIS used a comprehensive, uniform workload analysis to develop the initial backlog elimination plan. In order to achieve the performance goals, USCIS works with field offices and contractors to establish production plans. USCIS identifies and resolves obstacles specific to individual offices to increase production. The Integrated Multi-Annual Performance System assists USCIS in achieving their cycle time milestones and helps them determine whether hours per case completion are going up or down, and then identify issues that need to be remedied or efficiencies that can be implemented elsewhere. Efficiency and effectiveness are also measured through long-term and annual performance measures consistent with USCIS' Strategic Plan. Efficiency measures are used to track application cycle times, customer satisfaction and network busy rates at our phone centers. USCIS continues to work with the Office of the Ombudsman to identify additional solutions, both IT and workflow related, to increase program efficiencies. Where feasible, Immigration Benefit Services lets performance-based or firm-fixed price contracts to achieve cost efficiencies. Further, USCIS' IT Transformation Program plan covers IT and development and operations, legacy system replacement and decommission, human factors such as training and cohesive IT staffing, and the policies, procedures, guidance, governance, and strategic direction and alignment of IT within the organization. Successful implementation of this plan will allow USCIS to better manage its offices based on quantifiable metrics, comprehensive data, and reliable data gathered via the IT infrastructure and systems. It encompasses a cost-effective enterprise approach to integration, which enables greater flexibility to adapt to changing needs while reducing life cycle costs to build and maintain applications and their interfaces.

Evidence: IT Transformation Mission Needs Statement and IT Transformation Project Plan, Immigration Services Business Plan and IT Strategic Plan, Backlog Elimination Plan, Backlog Elimination Quarterly Updates; Staffing Allocation Model; IMAPS; Performance Based Contracts for key functions & systems; Pilot projects; Information and Customer Service Statistics; DHS' Future Year Homeland Security Program.

Does the program collaborate and coordinate effectively with related programs?

Explanation: USCIS collaborates both internally in the Department and externally with other Federal agencies on a variety of common initiatives. Re-engineering of USCIS business processes and modernization of their IT investments would significally improve their ability to more effectively coordinate on related programs. USCIS coordinates with the Department of State and Department of Labor in a data-share initiative to electronically share traveler visa and application information thereby improving the issuance process and identification of fraudulent visas. USCIS participates in the interagency management of the US VISIT program, and is taking an active role in implementing aspects of the program. USCIS has the lead on travel documents; is part of a requirements team gathering data for document standards; provides information on USCIS activities (including biometrics and sharing data); and, collaborated with US-VISIT to locate the Biometric Storage System Repository with US-VISIT/IDENT to enable data sharing, and more meticulous background check and authentication processes. The USCIS Office of Fraud Detection and National Security (FDNS) coordinates initiatives with DHS enforcement bureaus. In place are a joint USCIS/ICE anti-fraud strategy, case referral criteria, and process allowing FDNS to more easily facilitate the referral of cases to ICE for criminal investigation and prosecution. In turn, it also offers ICE the much needed USCIS support in the furtherance of criminal investigations, prosecutions and removal of criminal aliens. USCIS is also developing a Fraud Tracking System to better track and manage leads and cases where fraud has been validated and referred for prosecution. USCIS is participating in the Department of Transportation led initiative for On-line Rulemaking and the SBA led initiative to provide one-stop services to small businesses in support of the Presidential initiative to provide citizen one-stop service delivery integrated through Firstgov.gov, cross-agency call centers, and offices or service centers.

Evidence: DataShare Initiative, E-gov initiatives, FDNS Business Plan, SOPs.

Does the program use strong financial management practices?

Explanation: For 13 years, the annual financial audit of INS and now DHS identified an internal control weakness in USCIS' ability to support the amount of deferred revenue reported in financial statements. During FY 2004, USCIS relied on its automated systems to identify the number of pending applications, which is the foundation for determining and reporting deferred revenue. This methodology was reviewed by the financial auditors and found to be sound. In FY 2005, USCIS institutionalized the process to ensure consistency and timeliness in reporting deferred revenue.

Evidence: No material weaknesses reported in USCIS FY 2004 Financial Statement audit; have already implemented corrective action for the one reportable condition: OFM Bulletin #1, Policies and Procedures, Computation and Validation of Deferred Revenue, February 17, 2005; FY 2004 Auditors' Exit meetings; FY 2004 DHS Performance and Accountability Report.

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

Explanation: USCIS has a system for identifying, correcting, and following up on specific management deficiencies. USCIS created the Senior Review Board comprised of top level managers that meet at least monthly to monitor program performance. USCIS has set goals and manages production against milestones. The Director meets weekly with the Director of the Performance Management Division and senior agency managers to review performance on backlog elimination and reducing case cycle times, and to provide direction for future activities. Performance on backlog elimination is reviewed to determine shortcomings, identify solutions, and make any needed resource adjustments to ensure targets will be met. The USCIS Office of Financial Management is responsible for following up on all deficiencies identified by the GAO or the OIG. The Offices of Performance Management and Service Center Operations monitor results of quality assurance reviews and ensure corrective actions are taken on identified problems. To combat fraud in the adjudications process, USCIS created the Office of Fraud Detection and National Security (FDNS). FDNS reengineered background check procedures and eliminated two major delays in the adjudicative process. InfoPass was deployed nationwide during 2004 and eliminated the massive lines at our field offices. InfoPass enhanced customer service and provides USCIS a better tool to manage its resources. USCIS has incorporated and deployed appropriate application status inventory functionality in the National File Tracking System to ensure the availability of accurate, real-time data for pending applications and completions. Additionally, USCIS expects to continue business process re-engineering efforts and develop an integrated case management system.

Evidence: Executive staff meetings are held weekly. Performance information is used in conjunction with other data, such as application receipts and revenue projections, to manage and plan for future staffing and workload requirements. USCIS continues to work with the Office of the Ombudsman to identify additional solutions, both Information Technology and workflow related, to improve customer service and reduce the backlog. USCIS implemented four pilot projects that continued through the end of FY 2004. USCIS is analyzing the effectiveness of each pilot and will make determinations regarding expansion or modifications. To date, one of the pilots (I-90 Application to Replace Permanent Resident Card (Green Card) Pilot - Los Angeles District Office) looks promising. USCIS intends to expand the pilot and is currently in the process of determining the most appropriate IT solution and developing an implementation schedule. IT Transformation Mission Needs Statement and IT Transformation Project Plan, Backlog Elimination Plan Update 2004, Naturalization QA reports.

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

Explanation: The updated Backlog Elimination Plan laid out an aggressive strategy to meet the President's goal to eliminate backlogs of applications for immigration benefits and naturalization that had plagued the INS for almost a decade. Since 2003, USCIS has made progress toward eliminating the backlog. The fourth quarter of FY 2004 saw increased completion levels. USCIS completed almost 2.2 million cases while receiving about 1.3 million new cases in receipt. During the last two quarters of FY 2004, USCIS decreased the number of pending cases by almost one million, reached six month or better cycle times in 7 of the 16 Backlog Elimination forms, and completed the fiscal year by exceeding completion targets by more than 10%. During the course of FY 2004, USCIS reduced the backlog by over 1.1 million through increased adjudication production. Information and Customer Service strategic and performance accomplishments include improved self-service applications, improved case status information, and improved operational service levels.

Evidence: DHS Performance Budget Overview, DHS' Future Year Homeland Security Program, Backlog Elimination Plan Update, Backlog Elimination Quarterly Updates, Information & Customer Service statistics.

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

Explanation: Target cycle times for FY 2004 were met or exceeded in 15 of the 16 applications types tracked in the Backlog Elimination Plan. Annual performance goals for increasing the percentage of customers whose needs are met via self-service options were met. Follow-up service requests were decreased, and overall customer satisfaction goals were met.

Evidence: DHS Performance Budget Overview, DHS' Future Year Homeland Security Program, Backlog Elimination Plan Update, Backlog Elimination Quarterly Updates, Information & Customer Service statistics.

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

Explanation: Throughout FY 2004, USCIS reduced cycle times for virtually all Backlog Elimination form types where a benefit is available. This has been the result of increasing productivity by 26% in a year where staffing levels were largely unchanged. For example, between FY 2003 and FY 2004, the numbers of hours expended to complete cases (hours per case rate) for Applications for Adjustment of Status (I-485) and Applications for Naturalization (N-400) were reduced significantly. I-485s went from 1.61 hours to 1.24 hours, and N-400s went from 1.64 hours to 1.44. In other words, it now takes 23% less time to process an I-485, and 12% less time to process an N-400. Lockbox operations for fee deposits has proven to be cost effective for the agency. USCIS implemented five pilot projects in FY 2004, two of which continue. USCIS is analyzing the effectiveness of each pilot and will make determinations regarding expansion or modifications of those that continue. USCIS plans to implement a 90-day adjudication process in three initial offices beginning in April 2005.

Evidence: Backlog Elimination Plan Update 2004, Backlog Elimination Quarterly Updates, PAS, Staffing Allocation Model (SAM), Lockbox Operations, Pilot projects, Information & Customer Service statistics.

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

Explanation: While this program increased productivity by 26% in a year where staffing levels were largely unchanged, USCIS did not provide information on how this performance compares to other government benefit programs. E-filing is available for many applications and applicants are able to check case status online and through a 1-800 number. Enhanced case status on-line portfolio became available April 2004 that offers customers the option of establishing a portfolio of up to 100 cases that can be checked through a single login 24 hours a day, 7 days a week. Customers can also elect to have an email automatically sent that informs them of any change in status of a pending case. These services are available in both English and Spanish. As of November 2003, USCIS began posting reports with processing time data on the Internet as well. InfoPass is a web-based system that enables the public to go online to schedule appointments with immigration information officers. InfoPass offers a convenient alternative to waiting in line for assistance. The performance measurements established for the call center program were developed using best practices data from both government and private sector organizations. In some instances, USCIS call center operations performed better than call centers from other entities. For example, USCIS Interactive Voice Response completion rate (customers satisfied with automated assistance and did not require transfer to live help) was about 53% compared to industry completion rate range of 30-40% depending on the type of call center.

Evidence: Performance Reports, USCIS Web access, Information & Customer Service statistics.

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

Explanation: While previous evaluations have shown USCIS has consistently struggled with providing immigrants with timely decisions on applications for benefits, USCIS is working to implement a number of recommendations from these evaluations. USCIS established the Office of Fraud Detection and National Security to detect and pursue suspected fraud. The office developed a joint USCIS/ICE benefit fraud strategy and case referral criteria, and is developing a system to track fraud cases from referral to completion. In addition, standard operating procedures were implemented for computation and validation of deferred revenue, which has resolved a long-standing material weakness in their financial statement audits.

Evidence: TAXPAYER INFORMATION: Data Sharing and Analysis May Enhance Tax Compliance and Improve Immigration Eligibility Decisions, GAO-04-972T, 7/21/2004; IMMIGRATION BENEFIT FRAUD: Focused Approach is Needed to Address Problems, GAO -02-66, January 2002; IMMIGRATION APPLICATION FEES: Current Fees are not Sufficient to Fund U.S. Citizenship and Immigration Service Operations, GAO-04-309R, 1/5/2004.