operational directorates to conduct extensive user-based discovery and release
planning. During discovery, field office and service center employees partner
with TDD portfolio teams to inform business requirements collection and
refinement, co-design workflow processes and prototypes, and improve those
prototypes through iterations of testing and redesign. As integral partners with
TDD portfolio teams, the field office and service center employees identify
development schedules and collaborate to develop successful digital solutions.
Usability is an integrated part of the design and delivery process, as new
features are prototyped and beta tested with small group of users in the field.
These features are continuously updated based on user feedback before being
deployed across the enterprise to the entire population of users.

e Broaden product development to provide stakeholders the opportunity to
experience the electronic filing environment. The new product design and
delivery process relies on the creation of prototypes to first explore challenges
and then to create and iterate on solutions. Prototypes will represent service
design solutions and will involve processes and tools in both the physical and
digital worlds that work together to address specific case management
challenges. Through this iterative design and delivery process, stakeholders
will have the opportunity to interact with prototypes prior to final rollout.

e Engage private-sector case management software companies. While USCIS
is open to working with private sector representatives, we note that significant
development resources have already been expended on USCIS ELIS. TDD
continues to take advantage of the experience and expertise of outside sources
in order to improve and enhance USCIS ELIS features and functionality. For
example, the new product design and delivery process was created in
partnership with the USDS team serving as advisors to the Transformation
Program.

C. USCIS Processing Times: Improved Accuracy Needed

In January 2017, USCIS announced an improved processing times reporting format for
applicants. The new format lists processing times using a specific date of filing as a
reference rather than reporting processing times in terms of weeks or months. The
CISOMB appreciated USCIS’ efforts to provide better data to our users, but believed
that USCIS was still not using the best data to report processing times. CISOMB
recommended that the agency pull processing data from its internal systems in order to
improve the accuracy of the data presented to the public.

On March 22, 2018, USCIS launched a new processing times pilot reporting format,
based upon a new formulation methodology using data from internal agency systems as
recommended in the CISOMB’s report. This new calculation methodology automates
the previously cumbersome, manual process previously used to calculate processing
times and allows USCIS to post processing times in a more efficient manner. For
example, instead of taking 45 days to calculate and post processing times, USCIS can
now post processing times within a matter of days.



each request are unique and thus, each office must consider them individually. Therefore,
USCIS does not believe a standard expedite criteria for an asylum interview is feasible.

. U Visa Backlog

CISOMB proposed that stakeholders would benefit from greater transparency regarding
an adjudications backlog involving petitions for U nonimmigrant status (U visas),
including a clearer breakdown of the number of U visa petitions that are pending review
before being placed on the waiting list.

To keep stakeholders informed, USCIS updates its public website each quarter regarding
U visa petition processing times and the current backlog of both principal and derivative
petitions. The website also includes data regarding the total number of pending U visa
petitions. USCIS considers all U visa petitions that are awaiting visa issuance to be
pending; therefore, this figure includes both petitions that have been placed on the
waiting list as well as petitions that are pending initial review by an officer prior to being
placed on the waiting list.

USCIS does not currently provide data regarding the number of petitions that are pending
review before placement on the waiting list because the amount of resources that USCIS
is able to dedicate to adjudicating cases for placement on the waiting list fluctuates
throughout the year depending on operational priorities and available resources. As a
result, USCIS believes that this data would be confusing to stakeholders who wish to use
it to better estimate the amount of time that petitioners will need to wait before USCIS
reviews their petition for placement on the waiting list. However, in recognition of
CISOMB and stakeholder interest in this data, USCIS will evaluate whether it is feasible
to add this figure to the data that we provide quarterly.

In addition to the data that we publish on our website, USCIS provides updated statistics
on the U nonimmigrant status program during outreach events with stakeholders,
including dissemination of statistics on pending petitions and those that have been placed
on the waiting list.

In the Annual Report, CISOMB noted that USCIS has implemented several initiatives to
reduce the processing times and its backlog, including the expansion of petition
processing locations and the rollout of operational guidance to improve efficiency.
CISOMB commended USCIS, but felt that more is needed to be done to address the
growing backlog.

At any given time, USCIS has between 40 and 60 full-time officers dedicated to the U
nonimmigrant status caseload. Staffing levels vary due to competing adjudicatory
priorities, In FY 2018, USCIS expects to receive approximately 60,000 new petitions for
U nonimmigrant status (35,000 principal petitions and 25,000 derivative petitions).
USCIS will continue to explore options to reduce the U nonimmigrant backlog, but as
petitions continue to be received at this rate, the U visa backlog and processing times will
likely continue to increase.



Since the notices are sent electronically to EPMS and the EFC and CPF do not handle
the physical file, USCIS is unable to mail notices using prepaid mailers provided by the
applicant or representative. Since the notices are sent electronically to EPMS and the
EFC and CPF do not handle the physical file, USCIS is unable to mail notices using
prepaid mailers provided by the applicant or representative.

VI. Conclusion

USCIS appreciates the CISOMB’s efforts in preparing its 2017 Annual Report and
providing USCIS the opportunity to review our progress and identify further refinements
we can make as an agency. USCIS remains committed to both performing our lawful
function of adjudicating benefit requests and providing exemplary service to all of our
stakeholders.

As this response notes, USCIS agrees with many of the concerns and recommendations
found in the Annual Report and has already taken action to address these issues. Our
efforts include:

e Increasing staffing across the agency in hopes of reducing processing times and
reducing backlogs;

¢ Working with the FBI to quicken background check procedures to assist in
backlog reduction and provide better service to our military enlistees awaiting
naturalization;

¢ Strengthening USCIS ELIS as an adjudicative environment through system
enhancements, testing, and analysis efforts to modernize processing and better
serve staff and applicants;

e Targeting spending on hiring, overtime pay, and processing improvements to
increase operational efficiency and reducing adjudications backlogs; and

e Testing new mailing and document return procedures to best ensure that
applicants receive their secure documents and are properly provided notice of
their appointments.

USCIS strives to be the best agency it can be, both for our nation and the people we
serve. USCIS greatly appreciates the CISOMB’s comprehensive and thoughtful
evaluation of our operations and recommendations for improvement. We look forward to
future collaborations with CISOMB as we implement solutions to our current challenges
and face new obstacles in the years to come.

19



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The pilot consists of reports for the following forms:

e Form I-90, Application to Replace Permanent Resident Card;

¢ Form 1-485, Application to Register Permanent Residence or Adjust Status;
Form I-751, Petition to Remove Conditions on Residence; and
Form N-400, Application for Naturalization.

The processing times for these forms are posted as a range. The lower end of the range
is the median (the time it takes to complete 50 percent of the cases), and the upper end
of the range is the time it takes to complete 93 percent of the cases.

USCIS also redesigned the processing times webpages to improve the way data is
displayed to applicants. Processing times for all forms, regardless of whether they are
part of the pilot, are now posted using a new user friendly design. Similar to the launch
of other web-based service tools, USCIS is taking an iterative approach with the new
calculation methodology and web page design. USCIS is seeking stakeholder feedback
during the pilot phase and, if needed, will modify the methodology and design in future
releases.

16



documents. USCIS agrees with CISOMB’s recommendations to provide more
information to the public regarding the length of time required to update their address
and the limitations for when, in the process of production, an address change can or
cannot occur, We will consider all of these recommendations and develop a strategy for
updating our public information and communicating with stakeholders.

In June 2017, USCIS completed centralizing the processing of Post Office Non-
Deliverables (PONDS) for Service Centers and the National Benefits Center (NBC) at
the Lee’s Summit Production Facility (LPF). The PONDS Centralization project began
on July 1, 2016, as a pilot and concluded on June 26, 2017.

All undeliverable Permanent Resident Cards, Employment Authorization Documents,
and Travel Document Booklets are now being received by the LPF for research and
remailing to a new address if one is on file. When USCIS reviews undeliverable mail,
the LPF team searches the following systems for an address change: CLAIMS 3, ELIS,
Service Request Management Tool, AR11, and Person Centric Query Service. Once an
address is found, the most recent address change is verified by date and the address is
then checked with USPS to confirm validity. USCIS notes that an applicant’s address
of record is populated through an electronic process using data found in USCIS systems
at the time the case is approved and document production is requested. The documents
are mailed to the address in the system at the time the document goes into production.
The staff members at the card production facilities do not have access or authorization
to change data printed on the document or the address label.

‘The centralization of PONDS processing at the LPF has created numerous operational
efficiencies for USCIS including: having a dedicated, specialized, full-time staff who
are cross-trained focusing on this workload; consistency when responding to PONDS
inquiries; additional security of returned documents; increased integrity of the systems
and data for reporting; and improved accuracy and timeliness of data collection.

In the Annual Report, CISOMB recommended that USCIS expand its use of prepaid
mailers for document delivery. USCIS cannot support this recommendation because it
would run counter to our efforts to centralize document creation and mailing. Notice
centralization means that the prepaid mailer submitted with the form is not available at
the facility producing the notice or document. Still, USCIS is working to ensure that
initial mailings are as accurate and efficiently produced as possible.

USCIS began the process of centralizing its notice printing in 2012 and has continued
to expand the program into the current fiscal year. The Enterprise Print Management
System (EPMS) provides the capability to manage the production of notices for
centralized and local printing and is used by the Eastern Forms Center (EFC) and the
Corbin Production Facility (CPF). Once notices are batched and printed, they are
inserted into first class mail envelopes, postage is applied, and they are mailed the same
day. More than 3 million notices have been printed through EPMS. Centralization
allows USCIS to constantly improve the process of printing and frequently audit
notices for quality assurance purposes. Centralization also has allowed USCIS to
prioritize certain high priority notices or to recall notices in time sensitive situations.

18



Created the Transformation Delivery Division (TDD). The organizational
realignment has allowed the Transformation Program to benefit from OIT’s
technical expertise, exploit synergies with other OIT initiatives and programs,
and consolidate functions for efficiency. The creation of this division within
OIT better supports the transformation initiative, and the new management
structure has allowed USCIS to implement a technical development and
procedural approach that is delivering measurable business solutions
accountable to the agency’s mission. The Transformation Program remains a
results-focused digital services factory that can rapidly respond to evolving
changes and requirements.

Aligned within OFT to specific business domains. Within TDD, OIT
restructured the organization into portfolio teams to improve alignment with
USCIS business operations and assigned a Portfolio Manager to work with the
designated business leads from each directorate. Portfolio teams work hand-in-
hand with the directorates to prioritize new requirements and emergent needs.
This approach ensures the transformation project is consistently delivering new
IT capabilities and business process improvements that satisfy objectives with
the highest business value. Each TDD portfolio contains cross-functional
design and development teams that continuously deliver digital services through
an iterative cycle that includes defining potential solutions, designing and
testing prototypes, conducting beta and field tests, measuring outcomes, and
progressively enhancing products as necessary.

Targeted improvements to USCIS ELIS based on deficiencies listed in the
Office of the Inspector General (OIG) report. TDD has been focused on
resolving the deficiencies identified in the OIG report and implementing
product improvements to enhance both the system and the adjudicator’s
experience moving forward. Several major system changes have already been
implemented in USCIS ELIS including: standardizing and centralizing all
background checks; improving application and interface-level performance and
availability; ensuring systematic updates to the USCIS Central Index System
mainframe (CIS) are consistent; and deploying a contingency plan that prevents
the disruption of interviews and adjudications in the event there is a system
outage. The major product improvements to the online system include: fielding
a more effective and streamlined certificate printing module and evidence
scanning utility; deploying a systematic background check vetting utility;

and implementing a recurrent security vetting service.

Beta tested new functionality at field offices. TDD employed a new practice
whereby new systems features and solutions to ELIS issues are prototyped and
tested with small group of users before being deployed nationwide. This allows
the agency to identify issues and update systems based on user feedback before
deploying new functionality across the enterprise for use by the entire
population of users. For example, when developing a better solution for
printing the naturalization certificate, a team of developers and designers
traveled to the Newark Field Office to perform a test of the new feature. After
making changes based on user feedback, Newark and several other offices used

13



IV. Employment

A. USCIS Administrative Review in Employment-Based Decisions:
Appeals and Motions

The Annual Report noted that USCIS does not provide processing times for motions to
reopen or reconsider that are either adjudicated at a field office or forwarded to the
Administrative Appeals Office (AAO) after field office review. The CISOMB
recommended that USCIS establish processing time goals for initial field review of
motions to reduce delays and provide transparency for stakeholders. USCIS believes that
we have already accomplished this task. In a November 4, 2015, Policy Memorandum,
USCIS adopted a 45-day timeframe for initial field review (IFR) as the agency’s
processing goal.’ As a result, the AAO receives appeals (Form I-290B, Notice of Appeal
or Motion) in a timelier manner. ‘To ensure continued improvement, the AAO monitors
compliance with the 45-day IFR goal and provides feedback to the field to ensure
processing goals are being met. USCIS has also developed a systems-based query to
track I-290B appeals, which will lead to additional performance improvements in the
field offices. USCIS will explore the possibility of providing applicants with processing
times for how long it takes field offices to conduct an IFR. However, current systems
limitations do not permit ready quantification of IFR timeframes of appeals not yet
forwarded to the AAO.

CISOMB also reported that some delays in case processing are caused by applicants
choosing to submit their appeals briefs after they submit their appeal notices to USCIS.
The report recommended that USCIS encourage applicants to submit full briefs with their
initial filings to speed case processing. USCIS agrees with this suggestion and currently
does recommend that applicants submit their entire appeal package at the same time, both
at stakeholder engagements and in its Practice Manual.° Chapter 3.8 of the AAO Practice
Manual provides: “While appellants may submit supplemental materials after filing the
appeal, the submission of additional materials complicates USCIS’ ability to match the
appeal with those materials in time for the field office’s initial review of the appeal
(initial field review). To ensure that the field office has a meaningful opportunity to
consider supplemental materials during initial field review, the AAO recommends that
appellants submit supplemental materials concurrently with the appeal.”

Finally, the CISOMB relayed stakeholder complaints that Form I-290B remains a
confusing and unwieldy document for applicants despite recent USCIS efforts to simplify
the form. The report recommended that USCIS consider separating Form I-290B into

ice, November 4, 2015, PM-602-00124.
'2015/2015-

5 Initial Field Review of Appeals to the Administrative Appeal.
https://www.u: /sites/default/files/U: 5/Laws/Memorand
ial_Field_Re PM_APPROVED.pdf
ractice Manual, Chapt hitps://www.uscis.gov/about-us/directorates-and-program-

‘administrati ve-appeals-office-aao/practice-manual/cha



surge of naturalization applications, the agency could not have completed the necessary
recruitment, hiring, and training of officers required to meet the unanticipated growth of
receipts. Although USCIS experienced a surge of receipts, there was a seven percent
increase in the number of naturalization cases completed from Quarter 3 of FY 2016
(210,391) to Quarter 3 of FY 2017 (225,263). This positive trend demonstrates USCIS’
commitment to processing cases efficiently while ensuring the integrity of the
naturalization process and addressing the backlog.

The report attributed some processing delays to the slow rollout and suspension of
entering naturalization applications into USCIS ELIS. In its Annual Report, CISOMB
noted that USCIS suspended USCIS ELIS processing of new naturalization applications
for four months after the initial launch. However, USCIS did not suspend use of the
entire system. Instead, USCIS strategically suspended the ingestion of new paper-filed
N-400 cases into USCIS ELIS, but continued processing cases already in the system.
Applicants remained able to electronically file their naturalization applications directly
into USCIS ELIS through the online myUSCIS.gov portal. Currently, USCIS is
processing naturalization cases in both USCIS ELIS and the legacy system, Computer-
Linked Application Information Management System (CLAIMS 4 or C4). USCIS has
been using USCIS ELIS to process and adjudicate some Form N-400 applications since
April 2016. In FY2017, USCIS made final adjudicative decisions on 223,609 cases using
the ELIS online system; 205,777 of these completed cases have resulted in applicants
proceeding through a full adjudication in the online system and taking the Oath of
Allegiance.

USCIS has made system improvements since the online system was first used for
processing Form N-400 applications in April 2016, Recent accomplishments include:

¢ Enhanced systemic background check processing, including validation of results
outside of USCIS ELIS;
Improved naturalization certificate printing functionality;
Enhanced bulk-scanning and digital evidence storage capability; and

¢ Improved interfacing with internal technical systems like the National
Appointment Scheduling System (NASS) and Enterprise Correspondence
Handling On-line (ECHO).

As these and other enhancements are deployed, USCIS has conducted field tests and is
collecting input to ensure that the improvements are operating as intended for all
stakeholders. USCIS continues to evaluate the system’s technical and operational
readiness in order to determine the appropriate time to resume full case intake,
processing, and adjudication in the online immigration system.

Finally, CISOMB specifically referenced the delays in Federal Bureau of Investigation
(FBI) name check processing as a factor contributing to the naturalization backlog. As of
March 23, 2018, the total number of FBI name checks pending for more than 90 days was
52,016 down from 63,006 at the time of the Annual Report. USCIS is now completing
43% of background checks within 30 days and is no longer seeing delayed name checks



I. Legislative Requirement

This document responds to the reporting requirements set forth in the Homeland Security Act of
2002, codified at 6 U.S.C. § 272, which provides in relevant part:

(f) RESPONSIBILITIES OF BUREAU OF CITIZENSHIP AND IMMIGRATION SERVICES.—The
Director of the Bureau of Citizenship and Immigration Services shall establish
procedures requiring a formal response to all recommendations submitted to such
director by the Ombudsman within 3 months after submission to such director!

II. Introduction

U.S. Citizenship and Immigration Services (USCIS) thanks the Office of the Citizenship and
Immigration Services Ombudsman (CISOMB) for the thoughtful, wide-ranging analysis found in
its Annual Report for 2017. USCIS appreciates the CISOMB’s review of our agency’s
operations and welcomes the opportunity to respond to concerns and recommendations found in
the Annual Report. This response provides updates to USCIS programs mentioned in the Annual
Report and addresses several CISOMB’s recommendations for improving USCIS processes.
Where appropriate, the response also raises several of USCIS’ accomplishments in improving
procedures and applicant service from Fiscal Year 2016 (FY 2016). The section headings in the
response correspond to the section headings in the 2017 annual report.

III. Families

A. The Perfect Storm: Fee Increases, Call to Citizenship, and USCIS
ELIS

The Annual Report noted that USCIS experienced delays in naturalization processing
which caused a significant backlog in unadjudicated naturalization cases (Form N-400,
Application for Naturalization) during FY 2016. The report proposed that delays were
caused by three main factors: (1) an unanticipated increase in filings, (2) the rollout of
the USCIS online electronic immigration system (USCIS ELIS) as a case management
system and adjudicative tool, and (3) delays in background checks.

The report stated that USCIS received nearly 200,000 more naturalization applications
than anticipated in FY 2016. The Ombudsman outlined certain factors that contributed to
the surge of applications and determined that USCIS could have better projected for the
increased naturalization workload. USCIS does not agree with the Ombudsman’s
determination that the agency could have anticipated or prepared for the 30 percent
increase in filings from the previous year. Moreover, even if USCIS had projected the

" Sec. 452(f) of the Homeland Security Act of 2002, Pub. L. No. 107-296, 116 Stat. 2135, online at
hutp://www.dhs.gov/xlibrary/assets/hr_5005_enr.pdf.3.



the new solution in a limited release before TDD rolled out the new
functionality nationwide.

¢ Implemented an operations dashboard to track progress of cases and spot
problems. TDD developed and built a dashboard that reports on the case and
task status of the cases in USCIS ELIS, which can be drilled down to the
specific field office level. This allows both TDD and FOD to be able to see the
upcoming workload and identify when cases may become “stuck” in the
workflow process. Previously, employees had to create reports in a separate
system to have this high-level view of case progress.

¢ Built VERIFI tool that audits background checks. Previous code problems
in USCIS ELIS led to FOD expending significant resources to validate data
used in background checks. ‘TDD worked closely with the background check
officers at the National Benefits Center (NBC) to build a tool called VERIFI
that removes much of the manual work officers performed in order to complete
these audits. The VERIFI tool has also helped the developers in TDD detect if
there are any discrepancies between the automated checks performed in ELIS
and those run in the principal systems.

¢ Limited ingestion to test the performance of the new fixes. In June 2017,
USCIS ingested 11,517 naturalization applications into ELIS in order to test the
enhanced functionality and system improvements that have been developed over
the last several months. A limited test is a private industry practice designed to
contain risk by exposing functional weaknesses prior to a large scale, system-
wide deployments. These test cases have been closely tracked using the USCIS
ELIS Operations Dashboard. As of September 2017, approximately 50 percent
of these cases have been scheduled for an interview and roughly 40 percent of
scheduled cases have either resulted in an applicant being scheduled to take the
Oath of Allegiance ceremony or having been issued a Certificate of
Naturalization after taking the Oath. These results indicate a significant
improvement over previous naturalization processing, and have led to consensus
recommendations to pivot back to ELIS for processing of naturalization
applications from FOD, the Office of Intake and Document Production, the
Customer Service and Public Engagement Division, OIT, and U.S. Digital
Services (USDS).

The CISOMB provided USCIS with three recommendations it felt would improve
USCIS transformation efforts. CISOMB recommended that USCIS expand the
participation of line adjudicators and local office managers in case management process
development; engage more with external stakeholders and provide them the
opportunity to experience the electronic filing environment; and engage directly with
private-sector representatives to ensure product usability and process integrity. USCIS
strongly agrees with the first two of these recommendations and is open to exploring
the third. Our reasoning and the initial steps we have taken to meet these
recommendations are explained below:

e Expand the participation of end-users and their direct supervisors. TDD
has recently introduced a product design and delivery process that uses USCIS

14



Individuals who are granted deferred action may file Form 1-765, Application for
Employment Authorization, and must demonstrate economic necessity to warrant
approval by USCIS. The USCIS deferred action policy facilitates the MAVNI applicant’s
enlistment if he or she falls out of status while waiting for DOD background checks to
clear; however, deferred action does not automatically confer work authorization
following approval. In addition to processing deferred action requests, USCIS continues
to accept requests for parole-in-place from military family members and evaluates each
request on a case-by-case basis to determine each applicant’s eligibility.

C. Changes in Policy and Practice for Provisional Waivers

USCIS recognizes that several inquiries regarding provisional waiver applications
referenced by CISOMB in the Annual Report stemmed from cases in which USCIS took
adverse action because it had a reason to believe that the applicant was inadmissible to
the United States for a ground of inadmissibility other than unlawful presence. The
Expansion of Provisional Unlawful Presence Waivers of Inadmissibility Final Rule’
(Final Rule) eliminated this “reason to believe” standard. Therefore, as of August 29,
2016, the effective date of the Final Rule, USCIS no longer denies cases where the person
may be inadmissible for a ground of inadmissibility other than unlawful presence.

On October 21, 2016, USCIS published Volume 9, Part B: Extreme Hardship, in the
USCIS Policy Manual,’ providing guidance to officers on how extreme hardship
determinations are made when adjudicating waivers of inadmissibility. This guidance
applies to all discretionary waivers of inadmissibility that require proof of extreme
hardship and is not exclusive to the provisional unlawful presence waiver. The guidance
found in the Policy Manual focuses solely on how officers assess extreme hardship to
qualifying relatives. The new guidance did not change who can be considered qualifying
relatives when adjudicating a provisional waiver; this was accomplished in the Final
Rule. The guidance was intended to provide clarification to officers on how to apply the
extreme hardship standard and to better outline what factors should be considered when
making such a determination. This is the first time USCIS has issued comprehensive
guidance addressing extreme hardship.

As of February 2018, USCIS had a 4.1-month processing time for the provisional
unlawful presence waiver. The increase in processing times per case is primarily due to
applicants submitting additional documentation to support claims of extreme hardship, as
well as a system change that requires offices to manually conduct records checks.
Despite these recent changes, USCIS continues to strive to meet a 3-month processing
goal for provisional waivers.

* 81 Fed, Reg. 50,244 (July 29, 2016), online at hitps://www.gpo.gov/filsys/pka/FR-2016-07-29/pdt/2016-

17934.pdf.
“hups://www.uscis. gov/policymanual/HTML/PolicyManual-Volume9.html,



Appendix A: Acronyms and Abbreviations

AAO Administrative Appeals Office

AFM Adjudicator’s Field Manual

ANPRM Advanced Notice of Proposed Rulemaking

CIs Central Index System

CISOMB Office of the Citizenship and Immigration Services Ombudsman
CLAIMS Computer-Linked Application Information Management System
CPF Corbin Production Facility

C4 CLAIMS 4

DEP Delayed Entry Pool

DHS Department of Homeland Security

DOD Department of Defense

DTP. Delayed Training Program

ECHO Enterprise Correspondence Handling On-line
EFC Eastern Forms Center

ELIS Electronic Immigration System

EPMS Enterprise Print Management System

FBI Federal Bureau of Investigation

FDNS Fraud Detection and National Security Directorate
FOD Field Operations Directorate

FY Fiscal Year

IO Immigration Officer

IPO Immigrant Investor Program Office

{sO Immigration Services Officer

LPF Lee’s Summit Production Facility

MAVNI Military Accessions Vital to the National Interest
NASS National Appointment Scheduling System

NBC National Benefits Center

NPRM Notice of Proposed Rulemaking

OIG Office of the Inspector General

PONDS Post Office Non-Deliverables

RAIO Refugee, Asylum, and International Operations Directorate
SCOPS Service Center Operations Directorate

USCIS U.S. Citizenship and Immigration Services

USDS US. Digital Services

USPS United States Postal Service

8 CFR Title 8, Code of Federal Regulations

20



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.
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: USCIS Response to the
| Citizenship and Immigration Services
Ombudsman’s (CISOMB)

_ 2017 Annual Report to Congress
May 1, 2018

U.S. Citizenship and
Immigration Services



¢ Improving operational efficiencies. USCIS has created a new team within IPO
comprised of economists and adjudicators to focus on adjudicating the Form I-
829. Additionally, USCIS has continued to focus on standardizing and better
managing assignment of EB-5 cases in FY 2017 to improve adjudication of cases.

e Engaging with stakeholders. USCIS continues to engage its stakeholders
through frequent events in which the agency informs them of operational updates,
offers filing tips, and provides the latest statistics on processing for each form
type. Improvements made operationally and through regularly scheduled
engagements with stakeholders are expected to reduce delays in the processing of
EB-S applications and petitions.

A regulatory priority for the U.S, Department of Homeland Security (DHS) is reforming
the EB-5 program. Recently DHS, after consulting USCIS, advanced several regulatory
proposals related to the program. In January 2017, DHS published a Notice of Proposed
Rulemaking (NPRM), which proposed, among other changes, to increase the minimum
investment amounts for new EB-5 petitioners and reform the targeted employment area
designation process. DHS also published an Advance Notice of Proposed Rulemaking
(ANPRM) seeking public input on potential changes to certain aspects of the EB-5
regional center program. A number of the potential regulatory changes discussed in both
the NPRM and ANPRM are intended to further support and enhance EB-5 program
integrity. DHS is currently considering public input received from both the NPRM and
ANPRM.

In addition to its regulatory activities, DHS continues to provide technical assistance as
requested on proposed legislative reforms of the EB-5S program. DHS and USCIS have
also taken steps within their authorities to internally improve program integrity and
administration, including:

© Synthesizing and aligning policy guidance regarding the eligibility requirements
for EB-5 regional centers and immigrant investors in the USCIS Policy Manual;

¢ Using USCIS’ Administrative Site Visit and Verification Program to conduct
EB-S site visits by the Fraud Detection and National Security Directorate
(FDNS);

¢ Establishing a dedicated compliance division focused on regulatory compliance,
which enhances EB-S program integrity by performing regional center
compliance reviews and verifying information in regional center applications and
annual certifications;

¢ Conducting remote interviews of select Form I-829 petitioners;

¢ Publishing revised forms to enhance data collection to support improved vetting
of regional centers, regional center principals, and individual petitioners, as well
as ensuring appropriate application and petition fees to support these enhanced
vetting and compliance efforts;

* ‘Terminating more regional centers in FY 2017 for failure to comply with
continued participation requirements than in any previous year; and



two forms, one for appeals and one for motions, or amending the form to be clearer to
applicants.

In April 2017, USCIS updated the I-290B instructions to be clearer. For example, the
agency revised the instructions to help applicants submit their forms to the correct
address. USCIS is aware of the possible confusion in selecting between the various
boxes currently on the I-290B that distinguish between an intended appeal or motion
(and, further, what kind of motion or motions the applicant is filing), USCIS is
concerned, however, that separating the I-290B into two forms could result in filers
choosing the wrong form instead of the wrong box, thereby providing the agency with
even less flexibility to ascertain and honor the party’s intent. USCIS is committed to
continuously making its forms clearer and welcomes stakeholder suggestions as to how
we can best accomplish this task.

. EB-5 Investors

As the Annual Report noted, Congress has reauthorized the regional center program in a
series of short-term extensions while continuing efforts to enact legislative reform of the
employment-based fifth preference (EB-5) program. The regional center program is
currently authorized through September 30, 2018.

CISOMB reported, and USCIS acknowledges, that EB-5 processing times are long and
are generally getting longer. The continuing popularity of the EB-5 program has led to
sustained high volumes of related applications and petitions.

Due in large part to several potential sunset dates in FY2015, 2016, and 2017, USCIS
received more than 51,000 EB-S applications and petitions from January 1, 2015 through
December 31, 2017, which is 80.3% more than the agency received from January 1, 2012
through December 31, 2014.

Although the influxes of receipts hindered USCIS’ efforts to reduce processing times in
FY 2016, the agency continues to take steps to improve the processing times for

Form 1-526, Immigrant Petition by Alien Entrepreneur; Form 1-829, Petition by
Entrepreneur to Remove Conditions on Permanent Resident Status; and Form I-924,
Application for Regional Center Designation Under the Immigrant Investor Program, In
response to the significant increase in application and petition receipts, USCIS has taken
many actions to improve overall program efficiency, including the following:

¢ Concentrating resources to review and adjudicate aging cases. USCIS has
reduced the number of aging cases (those outside of posted processing time) and
continues to focus on reducing processing times.

¢ Continuing to hire adjudicators and economists to reduce the backlog. As of
July 27, 2017, the Immigrant Investor Program Office (IPO) had 185 on-board
full-time employees, which is more than six times its staffing at the beginning of
FY 2014. IPO is currently recruiting and hiring to reach a target authorized
staffing level of 247 by the end of Calendar Year 2017.



as a factor contributing to backlogs.

B. Military Immigration Issues: Immigration Services for Those Who
Serve

The Annual Report specifically referenced and acknowledged that many service members
who are applying for naturalization under the Naturalization at Basic Training Initiative
or based on their service after being recruited through the Military Accessions Vital to the
National Interest (MAVNI) Pilot Program Extension experienced delays in case
processing due to background investigations outside USCIS’ control. USCIS and the FBI
meet regularly to discuss challenges that we and our applicants face when background
checks are delayed. We are working on solutions that both ensure our background checks
retain their integrity and better serve our applicants’ needs.

CISOMB also noted that new Department of Defense (DOD) regulations for the MAVNI
program, which require MAVNI recruits to remain in a valid nonimmigrant status or
obtain deferred action in order to be eligible to enlist, are causing difficulties for
applicants. Specifically, the report asserted that MAVNI applicants complained that
USCIS denied or held requests for deferred action, despite the memorandum requiring
that MAVNI recruits either maintain their prior status or obtain deferred action.
Applicants complained that failure to grant deferred action left them without work
authorization as they awaited adjudication of their naturalization applications or
deployment.

USCIS notes that the U.S. Army places MAVNI enlistees into two different groups: the
Delayed Entry Pool (DEP) and the Delayed Training Program (DTP). The USCIS
deferred action policy for the military is geared toward the DEP recruits, who do not
complete their enlistment process until they are cleared to attend basic training. For these
individuals, USCIS considers their DEP as a strong positive factor for granting deferred
action because the Army requires them to maintain a valid nonimmigrant status or
deferred action in order to be eligible to enlist and serve. Conversely, DTP enlistees may
not be strong candidates for deferred action because they have already completed their
enlistment process by completing basic training. Since the DHS deferred action policy is
intended to facilitate enlistment in the military by assisting recruits in maintaining their
status before they attend basic training DTP enlistees are not covered by the current
policy. This is because they have already completed their basic training which is the
program the deferred action policy is intended to facilitate. Deferred action is a
discretionary determination to defer removal action of an individual as an act of
prosecutorial discretion. USCIS reviews deferred action requests on a case-by-case basis
and considers the totality of the circumstances by weighing all relevant factors when
making its determination.”

> Adjudicator’s Field Manual (AFM) Chapter 21.1(c)(2)(A),
hitps://www.uscis. gov/ilink/doc View/AEM/HTML/AFM/0-0-0-1/0-0-0-348 1/0-0-0-350 | html#0-0-0-385



D. Mailing Issues

Each year, USCIS sends millions of notices and documents to our applicants through
the United States Postal Service (USPS). Despite recent improvements to agency
mailing protocols, not all mail is delivered as intended.

USCIS shares the CISOMB’s concerns regarding mail that is either incorrectly
delivered or returned to USCIS without reaching an applicant. In order to reduce the
amount of mail that never reaches its intended audience, USCIS has instituted several
process improvements to both capture mail that was not delivered by the USPS and to
ensure initial mail is addressed to the proper recipients. USCIS believes that these
improvements will ensure applicants are better served by notices in the future.

To enhance the efficiency, security, and integrity of the document production program
which includes delivery of our secure identification documents, on April 30, 2017,
USCIS began phasing in USPS’s Signature Confirmation Restricted Delivery (SCRD)
as the method of document delivery for applicants approved for immigration benefits
which required issuance of a Permanent Resident Card, Employment Authorization
Document, or Travel Document Booklet. Applicants who have changed mailing
addresses during the course of the application process are more likely to have their
secure documents sent with the new delivery method, which USCIS will expand to all
secure documents in the future. In order to utilize this delivery service, the agency has
updated a number of related internal systems and will revise several forms and their
associated instructions. SCRD requires that an applicant or their designee sign for a
secure document before a postal worker will release it to them. If no one is available to
sign, the USPS will hold the secure document at the post office for 15 days until an
applicant comes and retrieves it by showing proper identification. After 15 days, USPS
will return the secure identification document to USCIS as undeliverable. SCRD
increases the security, integrity, and efficiency of document delivery and provides better
tracking and accuracy of delivery information, improving service to applicants.
Additionally, through discussions with USPS, USCIS has had the opportunity to learn
about other technologies and services related to mail delivery.

Benefit cards are often returned to USCIS as undeliverable because the applicants
provided poorly formatted addresses. To assist, USCIS added a pop-up message and
link to the USPS Look Up a ZIP Code tool to 12 public facing forms to help reduce
benefit cards returned to USCIS as undeliverable. Applicants that use the USPS Look
Up a ZIP Code tool will provide USCIS with a full address using the standard
abbreviations and formatting recognized by USPS. The tool will be added to additional
form types as the form is updated.

USPS recently provided a briefing on the Informed Delivery initiative, which allows an
applicant to receive an email which contains a digital preview of mail that will be
delivered at his/her home each day. This service is not yet available for Priority Mail,
which USCIS employs to send secure documents to applicants, but may be a program
the agency could share with applicant as an additional safeguard for the delivery of

17


USCIS Response to the Citizenship and
Immigration Services Ombudsman’s
2017 Annual Report to Congress



VI.

A.

Interagency, Customer Service and Process
Integrity

The Escalating Cost of Immigration Services

In FY 2017, USCIS increased filing fees for a number of applications by a weighted
average of 21 percent. USCIS increased fees in order to recover the full cost of
otherwise unfunded activities, thereby increasing the resources available to improve
case processing, reduce backlogs, and shorten processing times. The CISOMB
reported that, though USCIS committed to timely processing of applications and
petitions when announcing the fee increase, the agency is currently unable to meet
processing time goals, and unlikely to do so in the near future.

USCIS is employing a multi-pronged approach in an attempt to decrease the backlog
and address applicant concerns. As a primarily fee-funded agency, new initiatives are
funded through increases like those announced in FY 2017. With the additional
funding, USCIS has employed numerous strategies to decrease the backlog and to
promote greater efficiencies among programs. These efforts include an evaluation of
best practices; a determination of priorities and potential strategies to better align
workloads with available adjudicative capacity; the use of overtime; and concerted
efforts to determine and achieve adequate staffing levels.

USCIS approved an increase of 219 authorized positions across the Field Operations
Directorate (ROD) in FY 2017, increasing authorized staffing from 6,097 in FY 2016 to
6,316 in FY 2017, USCIS field offices have experienced an attrition rate of 10 percent
to 12 percent per year, resulting in an average loss of approximately 800 onboard
positions per year. In an effort to fill approximately 1,100 vacancies, USCIS
implemented strategic hiring initiatives, resulting in a 4 percent growth rate of onboard
positions above and beyond the attrition rate in FY 2017. In addition to additional
hiring initiatives, FOD spent approximately $30 million on employee overtime during
FY 2017 to help improve processing times and manage backlogs.

FOD will continue to promote innovative recruitment and hiring strategies to efficiently
hire Immigration Services Officers (ISOs) and Immigration Officers (IOs) in a timely
manner. FOD is also evaluating its current field office policies and operating
procedures in an effort to identify improvements that will help achieve, among other
goals, increased production performance. In FY 2018, USCIS will work to implement
measures to increase production and transition operations to meet new policy
requirements.

The Service Center Operations Directorate (SCOPS) carefully reviews authorized and
onboard staffing levels to determine where the most efficiency can be gained through
staffing allocations. In FY 2017, USCIS authorized an increased staffing level for
SCOPS by 660 positions. The authorization for hiring new positions was distributed

10



USCIS will continue to evaluate and address issues that contribute to longer case
processing times and implement measures to reduce backlogs and improve applicant
service. USCIS will enhance its adjudicative capacity through increased staffing and
by providing overtime funding to combat backlogs where available. USCIS will also
analyze whether new policies or procedures could further enhance efficiency
throughout the agency. The fee increase implemented in FY 2017 is integral to USCIS’
ability to increase its processing capacity and to improve the experience of those when
interacting with our agency.

The Continuing Challenge of Transformation

Historically, Immigration and Naturalization Service (INS) and now USCIS operations
have been heavily paper-based, which has constrained the agency’s ability to innovate
or to streamline its processes. The USCIS Transformation Program (Transformation) is
a digital modernization initiative that was established by USCIS to transform the
agency from a paper-based organization into a digital agency supported by end-to-end
adjudicative case management and benefits processing operations. This effort is
seeking to replace the current inventory of regional paper-based processes with an
integrated set of digital capabilities and services via a web-based IT solution.

Rather than trying to automate all forms, Transformation is using automation and
business process re-engineering to make innovative changes in the way USCIS
processes applications, petitions, and other requests for the agency’s central lines of
business. One such change is through the USCIS ELIS, the web-based, end-to-end
case management system that forms the center of the transformed benefits processing
operations.

To date, USCIS ELIS has been used to complete over 5.75 million cases, and currently
processes over 34 percent of the agency’s entire annual workload. The system supports
ingestion and processing of applications and petitions filed through both traditional
paper methods and through newly developed electronic filing channels. Approximately
44 percent of cases processed through USCIS ELIS were electronically filed (e-filed),
which directly supports the agency’s efforts to encourage e-filing in order to streamline
the application process. By continuing to build and strengthen these capabilities,
USCIS is being positioned to both meet current demand and to serve the agency’s
future case management, fraud prevention, and adjudicative needs.

Over the past year, USCIS has made significant internal adjustments designed to
increase productivity, as well as ensure positive and significant progress towards
enhancing the reliability, security, and efficiency of the Transformation effort. During
the first quarter of 2017, USCIS placed the then-Office of Transformation Coordination
under the Office of Information Technology (OIT) within the USCIS Management
Directorate. This restructuring has allowed Transformation to benefit from OIT’s
technical expertise, and efficiently consolidate various technological operations. OIT’s
recent improvements to the program include the following:

12



A Message from the Director

May 11, 2018
It is my pleasure to present the USCIS response to the Office of
Citizenship and Immigration Services Ombudsman’s (CISOMB)
2017 Annual Report to Congress. Our response addresses
concerns raised in the Annual Report and highlights some of the
agency’s many accomplishments during the reporting period.

In the Annual Report, the Ombudsman noted many of our
achievements in the past year, which included:

e Our continued effort to provide our applicants and
petitioners with the best data regarding processing times
for numerous application types across multiple processing
centers;

° Our efforts to reduce these processing times by distributing work among offices in order
to leverage our resources and increase our processing capacity; and

¢ Our flexibility in response to emergent issues such as detailing our refugee officers to
assist in completing asylum interviews at newly opened satellite offices throughout the
country.

The Annual Report also noted many areas within the agency where improvements are warranted
and we are pleased to provide our plans for addressing these concerns. We remain committed to
fulfilling our duties to our nation and those persons seeking immigration benefits.

This is the first Annual Report for the new Ombudsman and my first response as USCIS
Director. This marks the first milestone in what I expect to be long and productive partnership
between our offices. The open line of communication and the constant interaction between
USCIS leadership and the CISOMB has contributed to the agency’s past successes and I am

* committed to keeping these lines of communication open as we plan for our future. USCIS, as
always, stands ready to work with the CISOMB to ensure we provide the best service possible to
our applicants, stakeholders, and the American public.

Sincerely,

pe. a

L. Francis Cissna
Director



artment of Homeland Security
ip and Immigration Services

Office of the Director (MS 2000)

Washington, DC 20529-2000

ART Hy,

Seer, U.S. Citizenship
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*
May 11, 2018

Julie Kirchner

Ombudsman

Citizenship and Immigration Services
U.S. Department of Homeland Security
Washington, DC 20528

Dear Ms. Kirchner

Thank you for the information in the 2017 Citizenship and Immigration Services
Ombudsman’s Annual Report to Congress (Annual Report). I value your candid and
comprehensive assessment of U.S. Citizenship and Immigration Services’ (USCIS) processes,
policies, and operations.

Ihave reviewed the Annual Report and discussed your findings with my senior leadership
team. We appreciate your analysis of the immigration issues that impact our agency’s work as
we carry out our mission. My team and I concur with many of the findings contained in the
Annual Report.

We share your objective to continually improve the quality and efficiency with which we
serve individuals who are seeking immigration benefits across all of our programs. Your
recognition of our continued efforts to reduce processing times, better inform stakeholders of
policies, and streamline adjudications through efforts such as enacting new regulations
implementing the American Competitiveness in the 21" Century Act (AC21) is greatly
appreciated. We acknowledge that we saw an increased demand for immigration benefits during
the reporting period, which led to backlogs in the adjudication of numerous form types. While
the Annual Report noted stakeholder concerns about the backlogs, the USCIS response addresses
both these concerns as well as outlines the current steps the agency is taking to alleviate these
backlogs.

USCIS continues to modernize our operations and streamline our adjudications
processes to best fulfill our essential mission. Thank you again for your valuable feedback.
Iam pleased to present USCIS’ response to the Annual Report for your consideration.

Sincerely,
Plo

L. Francis Cissna
Director



e Posting termination notices, redacted as appropriate, in addition to lists of
currently designated and terminated regional centers on the USCIS website to
improve program transparency and facilitate investor due diligence.

USCIS will continue in its efforts to ensure that the EB-5 program is administered

efficiently and securely while working towards improving service to petitioners,
applicants, and other stakeholders.

Humanitarian

. Delays in Asylum Processing

USCIS understands and is sensitive to the impact the affirmative asylum backlog has on
its applicants. In the Annual Report, CISOMB commended the Asylum Division on its
efforts to streamline the adjudications process but noted that applicants complained that
interviews were too long and re-traumatized asylum seekers. USCIS is not aware of any
streamlining initiatives resulting in longer interviews. Asylum officers are required by
regulation to conduct interviews in a non-adversarial fashion.’ The purpose of the
interview is to ascertain credibility, determine whether the individual is eligible for the
benefit or relief sought, and determine whether the applicant is subject to any bars or
negative discretionary factors that would lead to denying the requested benefit or relief.
Asylum officers receive extensive training on non-adversarial interviewing techniques,
eliciting testimony, and interacting with persons who have experienced trauma, including
vulnerable persons and children. Interviews are fact-specific inquiries and interview
length may vary significantly based on the complexity of the case, the information
available, and the interviewee.

USCIS continues to take significant steps to address the affirmative asylum backlog such
as increasing the size of the asylum.officer corps and opening three satellite offices in
recent years. The Asylum Division has increased its adjudicative capacity by raising the
authorized level of asylum officers from 533 to 625 in FY 2017, as well as training and
deploying refugee officers on details to asylum offices and detention centers across the
country. The increase in staffing resources, combined with a drop in credible fear
receipts, has slowed the growth of the affirmative asylum backlog in recent months.
Even so, new affirmative asylum receipts continue to outpace USCIS’ capacity to process
affirmative asylum claims. USCTS continues to evaluate both operational efficiencies
and resource investments to address the affirmative asylum backlog.

CISOMB wrote that it has received complaints from stakeholders that asylum offices
were inconsistent when granting requests to expedite cases. Asylum offices grant a
limited number of expedited interview requests each year. Each request is evaluated
case-by-case based on a variety of factors, The underlying facts provided in support of

7Sce, 8 CER. § 208.9(b).



across operations in the service centers to maximize efficiency. Of the 4,624 total
authorized positions, USCIS has filled 90.2 percent as of September 30, 2017. Once
fully trained, new personnel will help USCIS manage its current and incoming
workloads. However, a new employee is hired with a preliminary background
investigation while the full background investigation is under way. Until a new
immigration officer’s full background investigation is complete, that employee cannot
access select systems.

SCOPS has taken steps to optimize its available processing capacity. To accomplish
this, SCOPS strengthened and expanded its efforts to identify specific work to be
transferred and redistributed among the service centers. Since the beginning of

FY 2016, SCOPS has conducted weekly planning sessions to review and identify
available capacity at each of the service centers. While workload movement has not
reduced wait times for all form types, SCOPS has made significant progress in
reducing the backlog of two form types from FY 2106 to FY 2017. SCOPS reduced the
backlog of pending Form I-129s, Petition for Alien Worker, by 48,298 and eliminated
the backlog for the Form J-131 to approximately 33,908 active pending cases based
upon a target pending caseload of 52,696 receipts which is equal to three months of
filings. SCOPS expects that processing times will continue to improve throughout FY
2018. Transferring cases to service centers will assist with backlog reduction and
ensure that all service centers are adjudicating within similar processing times. USCIS
carefully monitors its workload trends to determine optimal capacity. Overall, USCIS
anticipates that its workload will continue to grow in the coming years.

USCIS authorized the use of overtime at service centers to increase adjudicative
capacity. In the second quarter of FY 2016, USCIS began allocating overtime funding
to service centers with instructions that adjudications performed on overtime be
targeted specifically toward form types with the largest volume of backlog. With the
authorization of overtime in this manner, SCOPS is able to track and report, on a
quarterly basis, the impact of overtime on reducing backlogs. In FY 2017, the service
centers spent $33,633,806 on employee overtime. The need for overtime will continue
in FY 2018 to help improve processing times and manage backlogs.

The affirmative asylum backlog is a product of both an increase in the number of
affirmative asylum applications received, as well as the diversion of the Refugee,
Asylum, and International Operations Directorate (RAIO) personnel to other high
priority workloads in recent fiscal years. In light of these challenges, the authorized
staffing levels for the Asylum Division were increased by 227 positions in FY 2017,
and 191 positions in FY 2018, resulting in a new authorized level of 1,435 positions
(of which 686 are asylum officer positions) and the new authorized level is currently
1,313 positions. The Asylum Division uses an over-selection strategy to offset attrition
with the goal of reaching a 90 percent officer onboard rate by the end of the fiscal year.
The officer onboard rate is 86 percent for all duty stations established by FY 2017. In
addition, refugee officers are being trained and detailed to work on all asylum
workloads to further increase production. RAIO will continue to prioritize hiring to
help timely processing of benefit requests.

13]