USCIS Response to 2005 Ombudsman 

Report

When the United States Citizenship and 

Immigration Services (USCIS) was formed 

on March 1, 2003, the employees of USCIS 

proudly assumed the challenges and 

responsibility of the mission of the 

Department of Homeland Security and their 

role within the Department of Homeland 

Security. 

Our core values encompass integrity, 

ingenuity, and respect. With these core 

values as our base, USCIS is committed to 

ensuring that the right person gets the right 

benefit(s) at the right time. 

Our vision is to strengthen America’s future 

by becoming a customer focused innovator 

of benefits processing, a catalyst for 

citizenship education, instruction and 

outreach, a recognized and credible source 

of useful information, and a leading 

contributor to the security of the United 

States. 

USCIS has made several improvements and 

is proud of its many accomplishments since 

its first day of operation. Some of these 

major accomplishments include: 

• In FY 2005, USCIS made significant 

progress in attaining the President’s 

mandate of eliminating the backlog 

by the end of fiscal year 2006. 

USCIS completed 7.3 million 

applications, increasing overall 

production by 14.3% and decreasing 

the backlog to 1 million immigration 

benefit applications. USCIS also 

met and/or exceeded cycle time 

targets in 14 of 16 major form types. 

Additionally, USCIS completed 1.3 

million more cases during FY 2005 

than the Service received. Efforts in 

this area have increased productivity 

and expedited the processing of 

immigrant benefits such as work 

authorization, permanent residence 

and naturalization, which allowed 

USCIS to deliver services and 

benefits to qualified applicants in a 

more timely manner. 

• USCIS initiated INFOPASS; a 

National line reduction program 

which features an innovative 

internet-based appointment system 

that allows customers to schedule a 

date and time to meet with an 

immigration officer, thus eliminating 

the need to wait in line. This system 

is available in 12 languages and is 

designed to make immigration 

services more convenient and 

accessible for the general public. 

• USCIS published Welcome to the 

United States: A Guide for New 

Immigrants. This is a 

comprehensive guide intended for 

use by new permanent residents. It 

contains practical information to help 

immigrants settle into everyday life 

in the United States, as well as basic 

civics information that introduces 

new immigrants to the U.S. system 

of government. Welcome to the 

United States also gives new 

immigrants tips on how to get 

involved in their new communities 

and how to meet their 

responsibilities and exercise their 

rights as permanent residents. This 

guide is available in hard copy in 

English and Spanish. It is also 

available in nine additional 

languages on the web at USCIS.gov.

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• Since the beginning of FY 2004, 

USCIS Asylum Division has 

exceeded all productivity targets, 

completing a total of 225,419 cases 

and reducing the pending caseload 

from 262,118 to 98,449 – a reduction 

of 62%. At the end of FY 2005, the 

number of pending asylum 

applications represented the lowest 

pending caseload since the creation 

of the Asylum Corps almost 15 years 

ago. 

• USCIS’ Anti-Fraud unit detected and 

referred suspected fraud to U.S. 

Immigration and Customs 

Enforcement (ICE) for investigation. 

This effort highlights USCIS’ 

commitment to deliver the right 

benefit to the right person, in the 

right amount of time while ensuring 

no applicant secures a benefit that he 

or she is not qualified to receive. 

• USCIS expanded e-filing, allowing 

customers to file their applications 

for a service or benefit electronically. 

• USCIS conducted the first overseas 

military naturalization ceremonies 

since the Korean Conflict, making it 

easier for qualified military 

personnel to become U.S. citizens. 

• USCIS issued Certificates of 

Citizenship to children from 82 

countries through the Citizenship and 

Immigration Services Child 

Citizenship Act Project (CCAP). 

• USCIS implemented new biometric 

standards to include the ability to 

store electronic fingerprints, 

photographs and signatures for future 

use. 

The Citizenship and Immigration Services 

Ombudsman’s Annual 2005 Report reflects 

a diligent effort by the Ombudsman to study 

USCIS and to make thoughtful 

recommendations about improvements for 

immigration processing. USCIS and the 

Ombudsman share a similar assessment of 

USCIS’ challenges and goals. It has been 

helpful to receive the product of the 

Ombudsman’s effort and perspective. 

This report fulfills the requirement in section 

451(a)(3)(F) of the Homeland Security Act 

for the Director of USCIS to respond to any 

recommendations in the Ombudsman’s 

Annual Report. 

Recommendations 

The Ombudsman delivered twelve formal 

recommendations to the USCIS Director 

from June 2004 to May 2005. Some of the 

recommendations were already being 

addressed through USCIS’ planning, others 

reflected ideas of USCIS employees 

amplified through the Ombudsman, and 

others originated with the Ombudsman’s 

office. USCIS efforts to implement many of 

the ideas reflected in the Ombudsman’s 

recommendations are in various stages of 

planning and/or implementation. 

USCIS and the Ombudsman share a vision 

for a transformed business process, 

facilitated by new technology that provides 

rapid processing by qualified adjudicators 

who have all of the information necessary to 

make a decision. USCIS is working with 

the Department to implement this vision for 

better business processes that embrace goals 

of national security, customer service, and 

efficiency. 

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Below are summaries of USCIS’ responses 

to the twelve formal recommendations in the 

Ombudsman’s 2005 Annual Report. 

Additionally, this report provides details on 

steps already taken and activities underway, 

as well as future planned actions in these 

areas. 

Recommendation 1 – Fee Instructions.

Recommend the deletion of any reference 

within USCIS forms (“I” and “N” forms) 

that indicates a specific fee amount 

applies to an action, and replacing such 

language with the statement (or 

equivalent), “A fee is required to process 

this action. Information on the current fee 

for this action is available on the Internet 

at www.uscis.gov and by telephone from 

the National Customer Service Center at 1 

(800) 375-5283. If the correct fee is not 

included, the action will not be accepted by 

USCIS.” 

USCIS Response. USCIS generally agreed 

with this recommendation and evaluated the 

best way to achieve the goals of (1) 

informing the public of the fees for filings in 

connection with the forms to be filed; (2) 

efficiently updating filing fee amounts when 

they change; and (3) reducing confusion 

caused by discrepancies in information 

about filing fee amounts. 

USCIS has taken several steps to prevent 

discrepancies from happening. First, all 

forms are now available on the USCIS 

Internet site (www.uscis.gov). When fee 

increases are implemented, USCIS updates 

the filing fee amount(s). Second, via the 

website, USCIS plans to incorporate a PDF 

file that contains forms instructions 

regarding a list of current filing fees for all 

forms. Third, USCIS Forms Centers now 

send out current filing fees for all forms and 

form sets. Fourth, under consideration are 

longer term plans to eliminate the use of 

bulk-printed forms sets in favor of more 

dynamically printed (commonly referred to 

as “just-in-time” printing) forms from 

electronic templates consisting of the most 

current version of the form. 

USCIS recognizes that customers may retain 

forms for significant periods of time before 

submitting them, and during that time a fee 

change or even a change to the form may 

occur. Under consideration is a method that 

will alert customers to the possibility that a 

form, the instructions, or the fee may change 

and that reference to the website or the 

Federal Register is advisable before 

submitting forms. 

While USCIS is committed to providing 

great customer service, we established the 

National Customer Service Center to 

determine and resolve customers’ specific 

needs, not just to provide customers with fee 

amounts. 

Recommendation 2 - All USCIS 

employees who interface with 

immigration customers should be 

required to receive formal training in 

customer service. As an interim measure 

only, recommend all USCIS employees 

who interface with immigration 

customers be required to enroll and 

complete the no-charge customer service 

training courses available at the Gov 

Online Learning Center 

(www.golearn.gov). 

USCIS Response. USCIS agrees that 

customer service training is a valuable 

component for all of its employees, 

especially those who deal with the public. 

Basic officer training includes customer 

service training and has proven to be an 

important element of ongoing training for 

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our employees in the past. The first few 

sections of the USCIS Adjudicators Field 

Manual, which is available to all USCIS 

employees, provides excellent guidance on 

customer service principles as they apply to 

USCIS services. USCIS has updated a 

customer service training course that can be 

provided to employees at or near their work 

locations. The course is a one-hour module 

now available to all employees through 

USCIS’ new EDvantage online system, as of 

October 1, 2005. 

Recommendation 3 - Establishment of a 

separate fee structure for the “e-filing”

applications/petitions so that a different 

(lower) fee is permitted for filing an e-file 

application/petition that is required for a 

conventional paper-based filing. 

USCIS Response. USCIS and the 

Ombudsman are in agreement that USCIS 

could take steps to encourage electronic 

filing. In focus group discussions with its 

customers, USCIS has found that they 

prefer: 

• The ability to electronically 

transfer applicant information from 

their systems to USCIS. This system 

would benefit immigration service 

practitioners more than the individual 

customers. 

• The promise of reduced 

processing times for e-filed 

adjudications. 

• The opportunity to 

communicate more easily and quickly 

when problems arise. 

In this recommendation, the Ombudsman 

states that the e-filing system is “very timeconsuming and awkward for our customer 

base and so customers are not employing efiling as their preferred way of doing 

business with USCIS.” USCIS disagreed 

with this claim as it relates to individual 

customers approaching USCIS directly. In 

fact, USCIS has experienced an everincreasing incoming caseload via e-filing. 

Nevertheless, USCIS welcomes specific 

suggestions for improvement to the 

mechanics of e-filing as it relates to 

individual customers. 

USCIS recognizes, however, that the 

existing e-filing system is not meaningfully 

advantageous to customer representatives 

who use their own electronic systems to 

prepare forms and manage their client data. 

This is primarily due to the fact that USCIS 

has not yet implemented the upgraded 

technology that would allow an upload 

interface of customer data. In the future, 

USCIS intends to develop systems to allow 

batch loading and will work with 

immigration software vendors and other 

stakeholders in designing such functionality. 

Also, the Ombudsman cites private industry 

practices that encourage e-business so that 

they can realize cost savings. Unfortunately, 

in the case of USCIS, the age of many of our 

legacy systems does not allow us to provide 

an interface between e-filed applications and 

our database systems that store the 

applicant’s information. Therefore, USCIS 

will be unable to realize cost savings 

comparable to industry until legacy 

information systems are updated and 

redesigned with more capacity for interface. 

It would be imprudent to encourage e-filed

applications until USCIS has procedures in 

place that actually make e-filed applications 

less costly for USCIS to process than paperbased applications. USCIS expects to 

develop concurrently the capacity for batch 

uploading for customers and electronic 

processing for USCIS, so that mutual 

benefits can be obtained simultaneously. 

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In short, USCIS agreed with the intent of 

this recommendation and continues to 

monitor its e-filing program for potential 

customer savings. When these savings 

begin to be realized, then USCIS will 

consider this recommendation and other 

alternatives to increase the e-filing method 

of filing applications. 

Recommendation 4 – Allow employers to 

store Form I-9s electronically 

USCIS Response. The jurisdiction for 

review of I-9 data in conjunction with 

employer sanction investigations rests with 

ICE. USCIS provides the form on its 

website as a service to the employer 

community. 

USCIS agreed with the Ombudsman’s 

recommendation. DHS supported 

enactment of H.R. 4306, and it became 

Public Law 108-390 on October 30, 2004 - 

prescribing an effective date of April 28, 

2005. On April 26, 2005, ICE issued 

interim guidelines to the public on electronic 

signature and storage of the Form I-9. 

USCIS works closely with ICE to ensure 

that its interests relating to the form itself 

and work authorization documentation, 

along with the interests of its customers, are 

fully taken into consideration in the 

employment eligibility verification area. 

Recommendation 5- Expand the Premium 

Processing Service (PPS) to include 

employment-based change of status (I539) applications. 

USCIS Response. USCIS has been 

evaluating the feasibility, policy 

considerations, and statutory authority 

concerning expansion of premium 

processing not only to employment-based 

change of status applications but also to 

other petitions and applications that may be 

susceptible to processing through the PPS. 

At this time, USCIS’ decision to expand the 

PPS to other form types is still undergoing 

review internally. 

Recommendation 6 - USCIS provide 

customers with a single forms package 

per type of petition/application regardless 

of which district office or service center 

will process the petition/application. 

USCIS Response. The USCIS agreed with 

the intent of this recommendation. 

Standardized filing via the lockbox as the 

single point of entry for applications 

discouraged the need and the use of unique 

instructions previously designed by local 

offices. These unique instructions were aids 

for customers that included such information 

as particular office hours regarding certain 

application types, instructions on how to 

access certain locations because of security 

requirements, and other such unique filing 

instructions that may have developed 

because of space and information 

technology challenges in a particular office. 

In other situations, USCIS offices developed 

addendums to forms and variances in 

processes because of court decisions that 

necessitated a special procedure in specific 

locations, or because a local office had 

uncovered a fraud pattern in its geographic 

area and instituted specific actions to deal 

with that issue. Although USCIS strives to 

standardize processes such as forms 

packages, it must retain the flexibility to 

support the integrity of processes and the 

system’s needs. It must be noted that these 

additional forms instructions were provided 

in the best interest of the customer and are 

meant to enhance customer service, not 

hinder it. 

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USCIS believes lock box filing will result in 

a reduction of local variations in forms and 

procedures. 

Recommendation 7 – USCIS should 

correct a Naturalization Policy 

Memorandum in order to fully comply 

with Section 319(a) of the Immigration 

and Nationality Act, as amended by 

Public Law 106-386. 

USCIS Response. USCIS agreed with the 

Ombudsman that Section 319(a) of the 

Immigration and Nationality Act (Act) 

treatment should be afforded to applicants 

who obtained permanent residence through a 

petition to waive the joint petition 

requirement for removal of conditions of 

permanent residence (I-751 waiver) on the 

basis of abuse. USCIS clarified a 2002 

policy memo to reflect this position and 

published it on the USCIS website. 

USCIS and the Ombudsman agree that, 

contrary to arguments that were made by 

plaintiffs in recent litigation, section 319(a) 

of the Act does not extend to applicants who 

did not obtain or remove conditions on 

permanent residence by virtue of a finding 

of abuse, but who now are not living in 

marital union with a U.S. citizen spouse and 

claim abuse in connection with a 

naturalization application filed less than 5 

years after acquiring permanent residence. 

USCIS prevailed in this litigation. 

Recommendation 8 - USCIS issue 

national policy guidance on the 

implementation of INFOPASS to ensure 

equitable access to immigration services. 

Specifically, the guidance should direct 

that: 

1. All districts should 

schedule as many 

INFOPASS appointments 

as possible. 

2. Each field office must 

either reserve some time 

each week for walk-in 

appointments or 

implement clear 

procedures for emergency, 

same-day appointments 

due to exigent 

circumstances. To ensure 

standard implementation 

nationwide, USCIS 

Headquarters should 

promulgate a definition of 

“exigent circumstances” 

and provide examples of 

situations that would 

warrant same-day 

appointments. 

3. Each field office must 

either have a kiosk or 

computer available to help 

customers make an 

INFOPASS appointment. 

If the local offices are not 

immediately capable of 

providing this service they 

must at least compile and 

provide a list of public 

libraries, legal services 

providers, and/or 

community-based 

organizations that can help 

immigration customers 

make INFOPASS 

appointments. Local 

offices should not simply 

use their current list of 

immigration legal service 

providers, but should 

compile a new list with the 

prior consent of each listed 

entry. 

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USCIS Response. The INFOPASS Program 

is a recent innovation at USCIS and is now 

in place at all of our Domestic District 

offices. Despite positive feedback, USCIS 

has a team that is working on INFOPASS 

policy and procedures so that continuous 

improvements may be implemented as 

necessary. 

USCIS has prepared formal guidance that 

addresses issues raised by items 1 and 2 in 

this recommendation. 

It is the policy of USCIS that all Field 

Offices provide opportunities for customers 

to schedule appointments through 

INFOPASS, and to also have a process in 

place to provide services to customers who 

appear at such offices without appointments 

due to exigent circumstances. 

The Ombudsman’s recommendation is 

consistent with the feedback USCIS has 

received from its customers. USCIS, in 

addition to encouraging its customers to 

schedule appointments through INFOPASS 

also is encouraging community service 

providers such as community-based 

organizations, public libraries, and legal 

service providers to accommodate those 

customers who do not have Internet access 

to make appointments. This initiative is part 

of an ongoing effort to interact with 

customers and local communities. 

Recommendation 9 - USCIS should cease 

operation of the Chicago lockbox upon 

the expiration of its current 

Memorandum of Understanding 

(September 30, 2005) with the U.S. 

Department of Treasury due to: 

A. Inefficient shipment of files 

between USCIS offices, resulting 

in tracking and management 

challenges; 

B. Inefficient processing within the 

Chicago Lockbox, resulting in 

delays in issuing receipts to 

immigration customers; and 

C. Insufficient guidance and 

oversight within the Chicago 

Lockbox which have resulted in 

valid filings being incorrectly 

rejected and returned to 

immigration customers. 

USCIS Response. USCIS rejected this 

recommendation. The relationship between 

USCIS and the Department of Treasury 

(Treasury) has been in development for 

many years due to recommendations and 

criticisms made in various General 

Accounting Office (GAO) Reports and 

Audits, and Office of Inspector General 

Reports over the past fifteen years of legacy 

Immigration and Naturalization Service and 

USCIS. At that time, their criticisms 

focused on existing processes seen as a 

major detriment to good, sound financial 

performance. 

Since then, USCIS has developed a business 

strategy over a number of years that ensures 

consistency in filing, fee receipting, 

processing, and adjudicating. Part of this 

business strategy includes turning over the 

fee receipting to another government entity, 

whose core mission relates to the processing 

of fees, in order for USCIS to focus on its

core mission, the adjudication of benefit 

applications. This business system supports 

our vision of the future where electronic 

adjudications and the elimination of 

inefficient handling of paper files will be a 

reality. 

The Ombudsman identified many problems 

in this recommendation that were a 

challenge to the start-up of the lockbox 

operation. For example, it was noted that 

setting up the case resolution unit took 

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longer than expected, which delayed 

receipting and file movement. Also, there 

was some delay in the movement of files 

from one location to another due to case 

resolution issues and other issues at the 

lockbox. Unfortunately, these problems 

occurred at the beginning of the adjudicative 

process and thus had a downstream rippling 

effect on subsequent operational steps. 

However, USCIS has created processes and 

procedures to mitigate or eliminate such 

problems, while addressing problems that 

arose from their initial impact. 

The Ombudsman’s recommendation 

outlined three reasons the Lockbox 

operation should not be continued which 

USCIS refutes specifically: 

 

A: Beginning in October 2003, through 

November 2004, there was a phased-in 

program that affected certain offices 

throughout the nation. This initial phase 

required some Field Offices to send pending 

applications to the Chicago Lockbox for 

processing while providing for USCIS to 

track the movement of the files. The 

lockbox operation consistently met or 

exceeded all financial audits related to the 

lockbox process, including the delivery of 

data, both electronic and paper to the 

appropriate office. With the institution of 

the fully implemented program, beginning in 

December 2004, applications are now 

received at the lockbox directly from 

individuals. The relationship between 

USCIS and the Department of Treasury has 

resulted in an expanded lockbox network, 

proving to be both more efficient and timely 

in the depositing of funds than the previous 

method requiring all 82 Field Offices to 

receipt applications locally. 

B: Through the use of the Chicago 

Lockbox, USCIS has proven to be more 

efficient in the receipting of applications and 

the issuance of the actual receipt to the 

individuals than it has in the past. In 

complying with governing Treasury rules, 

the bank is required to process all receipts 

within 24 to 48 hours. When not requested 

to process at capacity overload, the Chicago 

Lockbox maintains complete compliance 

with Treasury Regulations. In addition, due 

to the sophisticated imaging technology 

used at the Chicago Lockbox, USCIS is able 

to respond to public inquiries in a more 

efficient and expeditious manner. 

C: Field Operations has put in place an 

oversight process that has helped ensure that 

exception cases and unique filings are 

handled correctly and not rejected 

improperly. On occasion, USCIS receives 

inquiries regarding rejected lockboxprocessed applications and in the majority of 

these cases, a review by USCIS indicates 

that the cases have been processed and 

appropriately rejected by the lockbox. It is 

important to note that the lockbox process is 

completely automated, and not able to 

correct or complete improperly filed 

applications, but rejects them and provides 

the individuals valuable information on how 

to properly file applications. 

Although the Ombudsman has argued for a 

different approach to adjudications and fee 

receipting, USCIS believes that 

implementing this recommendation would 

be a step backward in modernizing 

adjudication processing. In short, the 

Ombudsman’s recommendation does not 

seem to fulfill the spirit of advancing best 

practices. USCIS is committed to making 

the adjudication process efficient and 

effective so that all resources can best be 

dedicated to core business areas. 

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Recommendation 10 - Long and shortterm recommendations concerning 

USCIS issuance of permanent resident 

cards to arriving immigrants. 

USCIS Response. This recommendation 

regarding long and short-term 

recommendations concerning USCIS 

issuance of permanent resident cards to 

arriving immigrants has the following 

elements: 

1) In the short term, the Ombudsman 

recommends that USCIS revise its 

procedures for processing lost 

immigrant visa cases in light of new 

methods available to USCIS to 

electronically verify valid immigrant 

visa issuance and lawful admission 

to the United States. 

2) For the long term, the Ombudsman 

recommends that USCIS enter into a 

memorandum of understanding 

(MOU) with the Department of State 

(DOS) and Customs and Border 

Protection (CBP) to allow electronic 

transfer of the immigrant visa packet 

from DOS to USCIS and to 

automatically initiate production of a 

permanent resident card (I-551) upon 

inspection and admission of an 

arriving immigrant by CBP. 

USCIS is generally in agreement with this 

recommendation. A discussion of the issues 

and actions taken are provided below. 

USCIS agreed with the Ombudsman’s shortterm recommendation. A similar suggestion 

was made by employees from the Buffalo 

District Office to modify immigration visa 

procedures, particularly as they relate to 

processing of adopted orphan cases where 

certain children qualify for automatic 

citizenship under the Child Citizenship Act 

of 2001 upon admission as lawful permanent 

residents. USCIS implemented these 

suggestions. It should be noted that USCIS 

has never required adopted children to be 

brought to Buffalo for interviews as alluded 

to in the background section of the formal 

recommendation from the Ombudsman. 

USCIS has not yet implemented the 

suggestions for broader changes to the 

immigrant visa processing. However, it has 

been determined that the adopted orphan 

citizenship program that has been 

implemented is working successfully. It 

was also determined that the old procedures 

referenced in the 1997 memo are outdated 

and should be replaced. To that end, 

discussions have taken place with the State 

Department’s Visa Office to confirm that all 

of the Machine Readable Immigrant Visa 

(MRIV) data are accessible through the 

State Department’s Consular Consolidated 

Database (CCD). Access to the CCD 

database and all of its relevant elements, 

would provide USCIS offices with the 

ability to conduct electronic verification of 

data and thereby better address processing of 

lost immigration visa cases. USCIS is 

currently working with the State Department 

on the development of memoranda of 

understanding for the electronic sharing of 

necessary information between the two 

agencies. The finalization of these 

memoranda will support improvements to 

customer service as well as national security 

and public safety. 

The Ombudsman’s recommendation 

advocates a long-term solution to 

immigrants arriving at ports of entry with 

visa packets instead of information being 

provided electronically through the State 

Department. The electronic transfer of data 

and biometrics is a cornerstone strategy of 

the U.S. VISIT program and any changes to 

the data being provided to USCIS from that 

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information will be coordinated with all 

affected agencies within the Department of 

Homeland Security (DHS). USCIS is 

participating with other components of the 

DHS and the State Department in these 

efforts. It is essential that the service and 

enforcement components of DHS and DOS 

develop the biometric standards, the data 

fields, and the data systems, in concert to 

facilitate the transfer of accurate information 

in electronic formats that can be accessed by 

the appropriate Department officials. 

Recommendation 11 - Whenever USCIS 

implements a pilot program which 

directly impacts customer service, USCIS 

either: 1) at the onset of the pilot program 

publishes public notice of when the pilot 

program will begin and terminate, 

including specific information to 

customers on the subsequent handling of 

receipted petitions/applications affected 

by the pilot program; or 2) provide 30-

days notice before terminating a pilot 

program, during which USCIS shall 

provide its customers with specific 

information as to the subsequent handling 

of receipted petitions/applications 

affected by the termination. 

USCIS Response. USCIS is generally in 

agreement with this recommendation. 

USCIS initiated all three Pilot Programs 

(Dallas, Los Angeles and New York) in the 

same manner. USCIS offices took the 

initiative and met with local community 

organizations explaining aspects of the 

proposed programs, thus ensuring the 

community was provided adequate 

information. From the outset, USCIS 

indicated that all three pilots, initiated for 

various reasons, would be 90 days in 

duration, and then evaluated. Midway, it 

was decided the pilots would continue 

during the evaluation period, thus extending 

the previously agreed upon 90 day 

timeframe. 

The New York City District Office Pilot was 

an internal pilot aimed at determining 

whether USCIS would be better able to 

detect fraudulent filings through upfront 

interviews, in addition to determining 

whether USCIS could adjudicate adjustment 

cases within 90 days or less. Thus it was 

substantively different than the other pilot 

programs that had more of an external 

customer service orientation. The USCIS 

evaluation of the New York Pilot indicated 

the pilot was negatively impacting the 

backlog reduction effort. The analysis also 

indicated New York was unable to meet the 

original concept of the pilot, to identify, 

interview, and appropriately deny fraudulent 

filings all within 90 days of initial receipt. 

This pilot program was never promoted as a 

rapid adjustment program, and so, its 

initiation and termination without public 

notice was not considered a customer 

service issue. In retrospect, USCIS believes 

that advance notice of termination would 

have been a better course of action. 

It is our intention to provide such a public 

notice for future pilots via the Federal 

Register, USCIS website, or press release as 

appropriate whenever the processing of 

benefits forms directly impacts the way the 

applicants submit them unless there are law 

enforcement considerations associated with 

the pilot program that would be negatively 

impacted by such notice. It is our belief that 

in the case of the New York City Pilot the 

lack of public notice at the commencement 

was the correct approach as it was an 

internal process, but notice of cessation of 

the pilot would have been appropriate. 

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Recommendation 12 - USCIS should 

correct apparent failures to perform by 

its agent (Department of the Treasury 

and its contractor Bank One Inc.) for its 

inability to timely issue receipts to 

petitioners and applicants. 

USCIS Response. USCIS established its 

initial Lockbox operation in Chicago, IL in 

October 2003. JPMorganChase, Inc., 

operates this Lockbox under contract to the 

Department of Treasury as a U.S. 

Government Depository. This facility 

receives, processes and deposits fees for 

numerous applications and petitions in 

compliance with Department of Treasury 

requirements that monies presented to 

USCIS as fees for petitions and applications 

be deposited at a U.S. Government 

Depository within 24-48 hours of receipt at 

the Lockbox. 

USCIS has provided the Ombudsman with 

information and data requested on the 

operations and processes at the Lockbox 

facility. USCIS Operations closely monitors 

the performance of the Federal and private 

sector partners in this program. USCIS is 

committed to providing our customers with 

timely receipt notices as well as with 

ensuring that fees are deposited timely. 

The Ombudsman was concerned that there 

was a backlog at the Lockbox when he 

visited in March 2005. The backlog 

observed was eliminated, and an additional 

315,543 applications and petitions were 

processed by the second week of May, a few 

days following the transmittal of this 

recommendation. The backlog that the 

Ombudsman observed on his March visit 

was not caused by a failure to perform, but 

rather by increased filings due to a surge in 

filings for Temporary Protected Status 

(TPS). These surges are common in 

immigration processes caused by 

commencement and/or termination of 

statutory benefit programs, or in this case, 

an extension of the TPS for certain 

nationalities. 

Unlike other agencies such as the Internal 

Revenue Service that have a schedule of 

filing peaks and valleys in their workload, 

USCIS’ workload surges are erratic and 

follow no such annual or seasonal pattern. 

This results in ongoing challenges for the 

USCIS in terms of planning and coping with 

workload surges while not always knowing 

exactly when they will occur. Also, it is the 

rare case that additional funding 

authorization is provided to USCIS when 

statutory or regulatory changes are made 

resulting in workload surges as they occur. 

USCIS has developed strategies to minimize 

the harm caused by the inefficiencies of the 

current funding processes and to cope with 

the issues described above. One of these 

strategies has been this partnership with 

Department of Treasury and the private 

sector to create Lockboxes to process 

application receipts and remittances. The 

Lockbox reduces costs for USCIS and its 

customers, permits USCIS to outsource 

work (data entry, and fee processing) not 

core to the business of providing 

immigration information and adjudications, 

and supports USCIS efforts more readily to 

adapt to workload surges when they do 

occur. In the case of the most recent TPS 

surge, USCIS was able to address this surge 

by handling the initial work at the lockbox 

rather than creating backlogs in our local 

offices. 

As USCIS moves forward on initiating and 

expanding the lockbox concept, there have 

been challenges that had to be overcome. 

USCIS experienced some delays which are 

common with the conception and start-up of 

any new program. USCIS has reengineered 

the process and since April 2004, has not 

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experienced any ongoing delays as was 

captured in this recommendation. During 

the Ombudsman’s visit to the newest 

lockbox located in Los Angeles, California, 

the Ombudsman acknowledged that USCIS 

had eliminated many of the growing pains 

there that had been experienced at the first 

lockbox USCIS had in Chicago. Not only 

has USCIS met and overcome the challenges 

inherent in the start-up of this new program 

but it also has incorporated processes, 

procedures, and metrics to mitigate and 

ultimately, eliminate such problems. 

In the past the Ombudsman has suggested 

that USCIS revert back to filings with fee 

collections performed at our local offices. 

USCIS has 82 local offices, and has found 

that a decentralized filing approach results in 

disparate treatment, multiple points of 

failure, and increased costs of trying to staff 

all offices to process receipts and 

remittances timely. The monitoring of fee 

receipting at 82 offices is considerably more 

cumbersome, inefficient, and expensive than 

monitoring performance at a limited number 

of lock boxes. 

It is for these reasons that the USCIS does 

not agree with this recommendation. 

Problems 

The Annual Report also provided a 

summary of some “pervasive and serious 

problems” observed by the Ombudsman. 

These topics also deserve discussion. 

Backlogs 

USCIS continues to make substantial 

progress toward meeting its backlog 

elimination targets by October 1, 2006. The 

goal has been to process all categories of 

cases within 6 months from the time of 

filing and to meet that goal by the end of FY 

2006. However, in some instances USCIS 

has surpassed this goal and has established 

more aggressive targets, such as a cycle time 

target of two months for petitions for 

nonimmigrant workers (Form I-129). 

USCIS’ progress on backlog elimination is 

described in quarterly reports to Congress. 

USCIS and the Ombudsman share the longterm goal of processing all cases with the 

attention for which customers currently pay 

extra for “premium processing.” 

Interim Benefits 

USCIS has historically provided “interim” 

work and travel authorizations to permanent 

residence applicants where processing of 

their application exceeds 90 days. The 

Ombudsman points out that interim 

employment documents can often serve as 

“breeder” documents that enable applicants 

to obtain other identity documents that may 

outlive the duration of an unsuccessful 

permanent residence application, thereby 

facilitating overstays. USCIS agrees that the 

best way to avoid issuing interim documents 

is to speed processing times. USCIS is 

already achieving that processing time in 

some offices and will aim for that goal in all 

offices. USCIS is also taking steps to ensure 

that interim documents are not provided to 

applicants who have not cleared basic 

security checks or who have not provided 

the essential evidence of eligibility for 

permanent residence. Some of these 

initiatives may require additional 

rulemaking. 

Employment Based Processing

The Ombudsman has pointed out several 

effects of USCIS’ previous backlogs in 

employment-based permanent resident 

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filings, including, but not limited to: failure 

to use all of the visa numbers annually 

allocated to employment-based immigration, 

failure to cause the Department of State to 

adjust the “priority dates” established for 

several employment based categories, and 

failure to properly account for filings and to 

stop accepting filings where visa numbers 

are not available. USCIS has worked 

diligently to process Petitions for Immigrant 

Workers and has recently achieved 6-month 

average cycle times for such petitions. By 

completing these cases at a faster rate, and 

by demonstrating to the Department of State 

the volume of such additional cases already 

in the USCIS “pipeline,” USCIS revealed 

the extent to which existing immigrant visa 

quotas are already accounted for. This has 

enabled the Department of State to adjust 

employment-based “priority dates” in a 

manner that restricts the flow of new 

adjustment filings to a level that is 

commensurate with existing annual quotas, 

as reflected in the Visa Bulletin for October 

2005. 

Background and Security Checks 

The Ombudsman has recognized the 

challenges faced by USCIS in using existing 

tools to complete and resolve background 

checks on each applicant for immigration 

benefits. USCIS is working with the 

Department and with the FBI to seek more 

efficient and effective means to ensure that 

immigration benefits are not afforded to 

aliens who are a risk to national security or 

public safety. Additionally, USCIS has been 

developing technology tools to store and 

retrieve biometric data more effectively and 

to track and share the resolution of 

background checks. These tools will benefit 

customer service, efficiency, and national 

security goals. 

Information Technology 

The Ombudsman and USCIS agree that 

replacing USCIS’ outmoded technology and 

integrating various databases remains among 

USCIS’ most urgent challenges. USCIS is 

working with the Department to clarify and 

implement a business transformation 

program supported by an account-based 

database and a robust and flexible case 

management system. Implementation of 

these tools within our organization will 

benefit customer service and national 

security goals, and increase efficiencies. 

Case Status Information 

The most important way to improve 

customer service information is to better 

display such information for customers, 

information officers, adjudicators, and 

contractors. Our goal is for a broader range 

of customers to be able to obtain case status 

information directly through the USCIS 

website or through email alerts as each step 

in the application process is completed. One 

of USCIS’ most significant recent 

accomplishments has been the INFOPASS 

system which has allowed a more rational 

process by which a customer can arrange a 

personal visit to a USCIS office and speak 

directly to an immigration information 

officer. The process for handling calls to the 

National Customer Service Center has been 

improved, especially with the completion of 

a system by which inquiries about longprocessing cases can be tracked to 

completion. Additionally, USCIS is in the 

process of initiating a competition for the 

call center contract which is intended to 

improve the service provided to our 

customers. 

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Coordination and Communication 

USCIS is taking steps to improve the level 

of coordination between its two primary 

types of offices: service centers and local 

offices. The mantra of “one team, one goal” 

has been emphasized throughout the 

organization. USCIS has improved the 

dissemination of headquarters guidance by 

distributing to all employees daily news 

broadcasts summarizing and linking to new 

policy guidance. Employees can find those 

memos on the USCIS intranet, and 

appropriate items are also placed on the 

external website. USCIS is placing new 

emphasis on the Adjudicator’s Field Manual 

(AFM), the repository of practical policy 

guidance derived from various memos and 

other authorities. USCIS will place the 

AFM on the Internet for its customers to see, 

with sensitive information redacted from 

public view, just as the State Department has 

done with its Foreign Affairs Manual. 

Standardization of Business Processes 

USCIS recognizes the need for more 

standardization in its decision-making and 

processes, and simplification is the best way 

to reach this goal. Clearer rules result in 

faster and more consistent decisions. The 

enhanced use of the AFM, combined with 

better training and dissemination of new 

policy, will help reach this goal. USCIS will 

seek to simplify its forms by using fewer 

forms to accomplish its functions. USCIS 

already has eliminated significant 

inconsistency in local processing methods 

by centralizing the filing of family-based 

permanent residence filings in the National 

Benefits Center. This means that all 

customers use the same sets of forms to seek 

the same benefits no matter where they live. 

USCIS is adding additional staff and 

resources in offices with longer processing 

times so that all offices will have 

comparable, and acceptable, cycle times. 

With the increased use of technology, the 

USCIS goal of distributing work to offices 

with shorter cycle times will be more 

attainable as this newer technology is 

deployed. 

Staffing 

USCIS had allocated new resources to some 

offices in reaction to the LIFE Act of 2000 

for volumes of anticipated cases that did not 

fully materialize. Meanwhile, the 

performance of additional background 

checks following 9/11 caused heavier 

resource demands in other offices. During 

FY 2005, USCIS has detailed officers from 

offices with shorter cycle times to offices 

with longer cycle times. The goal is to 

emerge from the backlog elimination period 

with a staff size in each office 

commensurate to future expected filing 

volumes. USCIS will continually analyze 

volumes to make adjustments in staffing as 

necessary. Also, in the area of staffing, 

USCIS now requires applicants for 

permanent adjudicator positions to pass a 

writing test to ensure that its long-term work 

force has the essential skills necessary for a 

first class customer service agency. 

Training 

USCIS is improving its training system in 

several areas. The Management Rotation 

Program required by the Homeland Security 

Act of 2002 has been developed and will be 

implemented in FY 2006. The Office of 

Training and Career Development (OTCD) 

has identified the educational needs for 

rising leaders and is currently making 

arrangements to offer additional general 

management training opportunities. 

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Learning materials for the resident multiweek sessions for new adjudicators are 

being revised, and a series of online courses 

for follow-up training for adjudicators on 

various topics is under development. 

Advanced training for all Immigration 

Officers is being reconstituted and will be 

reintroduced in FY 2006. In addition, 

USCIS designed a special training initiative 

for adjudicators hired to assist in backlog 

reduction that combines online training with 

traditional residential classroom training, 

and On-the-Job Training 

mentored/supervised in the local offices. 

This collaborative effort is a harbinger to 

channeling all USCIS training into a blended 

approach. 

Pilot Programs 

USCIS has cooperated with the Ombudsman 

in devising pilot programs to explore new 

ways of processing different types of cases. 

These experiments have been fruitful. 

For instance, a “green card 

renewal/replacement” pilot has resulted in 

USCIS’ implementation of a new method of 

Form I-90 (Application for Replacement 

Permanent Resident Card) processing that 

begins with the filing of a form and fee, 

continues with the submission of any 

supporting identification papers at the 

Application Support Centers where 

biometrics are taken, and results in a new 

permanent resident card being delivered to 

the applicant normally within 5 days of the 

ASC visit. This new process simultaneously 

yields much better service to customers, 

who previously had to wait sometimes 

months to receive their cards, and provides 

better security and process integrity through 

tighter identification confirmation measures. 

Other pilot programs involving initial 

permanent residence processing have 

yielded useful information about processing 

options. It has become clear that 

background checks need to take place early 

in the process and before any interim 

benefits, such as employment authorization, 

are provided. USCIS has determined that a 

90-day process, as opposed to a 6-month 

process, is preferable, and that speed and 

quality of processing is a major goal beyond 

mere backlog elimination. Possibilities for 

use of customer interaction over the Internet 

for scheduling interviews have been 

explored. USCIS believes that, with 

improved technology and the elimination of 

the backlog, the best aspects of electronic 

case filing and personal interview 

scheduling learned from the pilot programs 

can be combined to meet USCIS’s goal of 

protecting national security while providing 

excellent customer service. 

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Conclusion 

The USICS and the Ombudsman have a 

shared interest in the fulfillment of the 

USCIS mission and vision for the future. 

There are several points of agreement and 

they are: 

• World class customer 

service is a goal of 

USCIS 

• Give the right benefits 

to the right person in 

a timely manner 

• Current backlogs 

impact efficient and 

effective service and 

have the potential for 

a negative impact on 

national security 

• Background and 

security checks 

continue to present 

ongoing challenges 

and delays 

• Granting interim 

benefits due to delays 

related to backlogs for 

certain application 

types negatively 

impact our customers 

• Staffing and effective 

training are 

challenges that persist 

throughout the agency 

• Increased 

standardization of 

various business 

processes throughout 

the agency will 

increase efficiencies 

in operations 

• Fee Structure and 

workload surges 

cause hurricane-like 

changes impacting 

efficient operations 

• Enhancement of 

Information 

technology systems 

and infrastructure can 

lead to increased 

efficiencies subject to 

funding and work 

processes 

USCIS looks forward to further discussions 

with, and recommendations from, the 

Ombudsman. 

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