Department of Homeland Security
 

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U.S. Citizenship and Immigration Services’ Tracking 


and Monitoring of Potentially Fraudulent Petitions and 


Applications for Family-Based Immigration Benefits 


OIG-13-97 June 2013
 
 

 

 

 

 

 

 OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Washington, DC 20528 / www.oig.dhs.gov 

June 12, 2013 

MEMORANDUM FOR: 	 The Honorable Alejandro Mayorkas 

Director 

U.S. Citizenship and Immigration Services 

FROM: Charles K. Edwards 

Deputy Inspector General 

SUBJECT: U.S. Citizenship and Immigration Services’ Tracking and 

Monitoring of Potentially Fraudulent Petitions and 

Applications for Family-Based Immigration Benefits 

Attached for your information is our final letter report, U.S. Citizenship and Immigration 

Services’ Tracking and Monitoring of Potentially Fraudulent Petitions and Applications 

for Family-Based Immigration Benefits. We incorporated the formal comments from the 

U.S. Citizenship and Immigration Services in the final report. 

The report contains one recommendation aimed at improving procedures to record, 

update, and monitor fraud-related information. Your office concurred with the 

recommendation. As prescribed by the Department of Homeland Security Directive 

077-01, Follow-Up and Resolution for Office of Inspector General Report 

Recommendations, within 90 days of the date of this memorandum, please provide our 

office with a written response that includes your (1) agreement or disagreement, 

(2) corrective action plan, and (3) target completion date for each recommendation. 

Also, please include responsible parties and any other supporting documentation 

necessary to inform us about the current status of the recommendation. Until your 

response is received and evaluated, the recommendations will be considered open and 

unresolved. 

Consistent with our responsibility under the Inspector General Act, we are providing
 

copies of our report to appropriate congressional committees with oversight and 


appropriation responsibility over the Department of Homeland Security. We will post
 

the report on our website for public dissemination.
 

Major contributors to this report are Brad Mosher, Audit Manager; Chris Chamberlain,
 

Auditor; Elaine Ferguson, Auditor; Richard Joyce, Auditor; Keith Lutgen, Auditor; 


Matt Noll, Auditor; Katrina Bynes, Referencer; and Kelly Herberger, Communications 


Analyst.
 

Please call me with any questions, or your staff may contact Anne L. Richards, Assistant 


Inspector General for Audits, at (202) 254-4100. 


Attachment
 
 

 

 

 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Background 

In the Department of Homeland Security (DHS), U.S. Citizenship and Immigration 

Services (USCIS) oversees lawful immigration to the United States. U.S. immigration law 

grants permanent resident status to aliens who legally marry a U.S. citizen or lawful 

permanent resident and to certain aliens who are family members of U.S. citizens or 

lawful permanent residents. Immigration benefits may lead to the right to apply for and 

receive Social Security and Medicare benefits and food stamps, and the opportunity to 

sponsor alien spouses and relatives for permanent residency. 

We performed this audit to determine whether USCIS recorded information about 

adjudicated family-based petitions and applications suspected of being fraudulent 

according to agency policy requirements and in a manner that deterred immigration 

fraud. 

U.S. citizens or lawful permanent residents who petition to sponsor a qualifying family 

member, including a spouse, must file a PetitionfforfAlienfRelative (Form I-130) with 

USCIS.1

 USCIS officers adjudicate I-130 petitions at field offices or service centers. 

Through the I-130 adjudication process, USCIS must validate that the petitioner is a 

U.S. citizen or lawful permanent resident. When the petitioner is sponsoring an alien 

spouse, the petitioner must establish that the marriage is valid. For petitioners 

sponsoring relatives, USCIS must determine the validity of the relationship before 

approving the I-130 petition. 

Approval of an I-130 petition grants an alien immediate relative already residing in the 

United States the ability to apply for permanent residence by filing an Applicationftof

RegisterfPermanentfResidenceforfAdjustfStatus (Form I-485). An alien spouse or alien 

immediate relative who has an approved I-130 petition and is residing outside the 

United States may apply at a U.S. embassy or consulate for an immigrant visa to live in 

the United States. USCIS offices process all I-130 petitions and I-485 applications filed 

concurrently. 

According to USCIS policy, I-130 petitions and I-485 applications suspected of being 

fraudulent are to be referred to the USCIS Fraud Detection and National Security 

Directorate (FDNS) for further investigation. FDNS personnel are located in every 

domestic USCIS service center, as well as in district, field, and asylum offices and in 

certain overseas offices; they report to field management in field offices and service 

 1

 U.S. citizens may apply for their husband or wife or their married or unmarried children. If they are at 

least 21 years of age, they may also petition for parents, brothers, or sisters. Lawful permanent residents 

may apply for their husband or wife and unmarried children, regardless of age. 

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centers. Once they complete their investigation, FDNS officers return the petition or 

application to adjudicators with a Statement of Findings (SOF) summarizing their work 

and identifying one of the following results: (1) Fraud Found; (2) Fraud Not Found; or 

(3) Inconclusive. Adjudicators consider the SOF when deciding whether to grant 

immigration benefits. 

USCIS initially reviews I-130 petitions for aliens located overseas who wish to obtain a 

visa to live in the United States. USCIS then forwards approved I-130 petitions to a 

Department of State consular officer, who conducts an interview to determine eligibility 

of the alien into the United States. The Department of State sends petitions that are 

suspected of or found to be fraudulent back to a USCIS service center as consular 

returns. USCIS policy requires that all consular returns suspected of or determined to 

be fraudulent be returned to the originating service center and routed to FDNS for 

investigation and creation of a case file in the FDNS-Data System (FDNS-DS) and in TECS, 

when applicable.2

 USCIS may either reaffirm or revoke petitions suspected of being 

fraudulent. When a USCIS adjudicator reaffirms a petition, the original petition is 

returned to Department of State with a cover letter explaining why the petition was 

reaffirmed. When an adjudicator revokes a petition, the Department of State can no 

longer issue a visa. 

Results of Audit 

USCIS has procedures to track and monitor documentation related to petitions and 

applications for family-based immigration benefits suspected of being fraudulent. 

However, once family-based immigration petitions and applications were investigated 

and adjudicated, fraud-related data were not always recorded and updated in 

appropriate electronic databases to ensure their accuracy, completeness, and reliability. 

Specifically, FDNS personnel did not record in appropriate electronic databases all 

petitions and applications denied, revoked, or rescinded because of fraud. Supervisors 

also did not review the data entered into the databases to monitor case resolution. 

Without accurate data and adequate supervisory review, USCIS may have limited its 

ability to track, monitor, and identify inadmissible aliens, and to detect and deter 

immigration benefit fraud. 

USCIS procedures require FDNS personnel to record cases of identified immigration 

fraud in TECS. USCIS uses TECS to record cases of suspected or identified immigration 

fraud, as well as aliens inadmissible to the United States. The system is linked to DHS 

2

 TECS, formerly called The Treasury Enforcement Communications System, is now referred to only by its 

acronym. 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

law enforcement facilities worldwide and allows other Federal, State, and local entities 

to access the data. 

FDNS did not record all cases of identified fraud in TECS. For example, nationwide from 

fiscal year (FY) 2008 through FY 2011, USCIS denied or revoked 2,557 family-based I-130 

petitions for fraud. Of these petitions, 622 were associated with an FDNS finding of 

fraud, but 302 (49 percent) did not have corresponding TECS records. In the same period, 

at the four offices we evaluated, 6 (21 percent) of 29 family-based I-130 petitions 

associated with an FDNS finding of fraud did not have corresponding TECS records. 

For the same period, nationwide, USCIS denied or rescinded 2,961 family-based I-485 

applications for fraud. Of these applications, 522 were associated with an FDNS finding 

of fraud, but 247 (47 percent) did not have corresponding TECS records. A review of 

data from the same period at the four offices we evaluated showed that 3 (11 percent) 

of 28 family-based I-485 applications denied or rescinded for fraud had no TECS records. 

Table 1 shows the total number of family-based I-130 petitions and I-485 applications 

with an FDNS finding of fraud that were denied, revoked, or rescinded, as well as the 

number and percentage of corresponding TECS records. 

Table 1. TECS Records for Family-based Immigration Petitions and 

Applications With an FDNS Finding of Fraud That Were Denied, Revoked, or Rescinded

FYs 2008–2011

Petition/Application

Type 

Total With FDNS 

Finding of Fraud 

(Fraud Found) 

TECS Record No TECS Record 

National I-130 622 320 (51.4%) 302 (48.6%) 

Local* I-130 29 23 (79.3%) 6 (20.7%) 

National I-485 522 275 (52.7%) 247 (47.3%) 

Local* I-485 28 25 (89.3%) 3 (10.7%) 

Source: DHS OIG analysis of USCIS data.
 

*Local refers to the four offices that we evaluated.
 

At the four offices we evaluated, supervisors in adjudications and FDNS units did not 

monitor database entries to determine whether fraud cases had been properly recorded. 

Conclusion

Not following USCIS’ established procedures to record, update, and monitor fraudrelated information in databases may have increased the risk that aliens committing 

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OFFICE OF INSPECTOR GENERAL 

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fraud were granted immigration benefits or given additional opportunities to apply for 

benefits. Accurate immigration and law enforcement database records would enable 

USCIS to improve its ability to track, monitor, and deter fraud. 

Recommendation

We recommend that the Director, U.S. Citizenship and Immigration Services: 

Clarify and enforce policies and procedures to ensure that TECS records are created and 

updated for all identified cases of immigration benefit fraud. 

Management Comments and OIG Analysis 

Recommendation: USCIS concurred with the recommendation. Management indicated 

that it has (1) reviewed its existing procedural guidance that governs the creation and 

maintenance of TECS records; (2) determined that, to focus greater attention on TECS 

policies and procedures, it will remove TECS guidance from the current Fraud Detection 

Standard Operating Procedure and issue separate guidance on TECS; and (3) drafted the 

enhanced TECS guidance. USCIS plans to issue the enhanced TECS guidance within 30 

days. 

OIG Analysis: USCIS’ planned corrective actions are responsive to the recommendation. 

This recommendation will remain open and resolved until we receive documented 

support that USCIS has issued the enhanced TECS guidance. 

www.oig.dhs.gov 5 OIG-13-97
 
 

 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix A 

Objective, Scope, and Methodology 

The Department of Homeland Security (DHS) Office of Inspector General (OIG) was 

established by the HomelandfSecurityfActfoff2002 (Public Law 107-296) by amendment 

to the InspectorfGeneralfActfoff1978. This is one of a series of audit, inspection, and 

special reports prepared as part of our oversight responsibilities to promote economy, 

efficiency, and effectiveness within the Department. 

The objective of our audit was to determine whether USCIS recorded information about 

adjudicated family-based petitions and applications suspected of being fraudulent 

according to agency policy requirements and in a manner that deterred immigration 

fraud. To accomplish our objective, we assessed USCIS’ efforts to process, evaluate, and 

respond to family-based petitions and applications with suspected immigration benefit 

fraud that were adjudicated between October 1, 2007, and September 30, 2011. 

We obtained and reviewed all pertinent Federal, Departmental, and USCIS-specific 

regulations, policies, procedures, and internal controls governing the processing and 

adjudication of family-based petitions and applications. 

We reviewed I-130 petitions and I-485 applications denied, revoked, or rescinded by 

USCIS adjudicators between FYs 2008 and 2011 at the offices we visited. The purpose of 

the review was to determine whether the petitions, applications, and consular returns 

had been recorded according to established USCIS’ policies. We limited USCIS office 

visits to Baltimore, MD; Mt. Laurel, NJ; Philadelphia, PA; Washington, DC; and the 

Vermont Service Center in St. Albans, VT. 

We relied on computer-processed USCIS data that contained information on familybased petitions from FYs 2008 through 2011. We conducted a limited review through 

physical observation of the process used to update these systems to ensure that the 

data were sufficiently reliable for use in meeting our audit objective. In developing our 

tests, we worked with personnel from USCIS’ Office of Performance and Quality, Office 

of Policy and Strategy Field Operations Directorate, Service Center Operations 

Directorate, and FDNS. 

Tracking and Monitoring Test 

Positive TECS matches were based on a match of both name and date of birth for the 

petitioner, beneficiary, or applicant. Using a total of 1,838 Form I-130 and Form I-485 

receipts with a matching FDNS-DS record, we identified instances in which at least one 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

of the subjects involved with the petition or application had a corresponding TECS 

record. To verify the data, we checked the date of birth used to query TECS against the 

date of birth returned with a matching name. 

We interviewed USCIS officials from FDNS, Service Center Operations, Field Office 

Operations, Office of Policy and Strategy, Office of Performance and Quality, Office of 

Chief Counsel, and Office of General Counsel. 

We conducted this performance audit between August 2011 and January 2012 pursuant 

to the InspectorfGeneralfActfoff1978, as amended, and according to generally accepted 

government auditing standards. Those standards require that we plan and perform the 

audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our 

findings and conclusions based upon our audit objectives. We believe that the evidence 

obtained provides a reasonable basis for our findings and conclusions based upon our 

audit objectives. 

We appreciate the cooperation by USCIS management and staff in providing the 

information and access necessary to accomplish this review. 

www.oig.dhs.gov 7 OIG-13-97
 
 

 

 

 OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix B 

Management Comments to the Draft Letter Report

www.oig.dhs.gov 8 OIG-13-97
 
 

 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

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OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretary 

Director, GAO/OIG Liaison Office 

Assistant Secretary for Office of Policy 

Assistant Secretary for Office of Public Affairs 

Assistant Secretary for Office of Legislative Affairs 

Acting Chief Privacy Officer 

U.S. Citizenship and Immigration Services 

USCIS Audit Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as appropriate 

www.oig.dhs.gov 10 OIG-13-97 
 

ADDITIONAL INFORMATION AND COPIES 

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request to (202) 254-4305, or e-mail your request to our Office of Inspector General 

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For additional information, visit our website at: www.oig.dhs.gov, or follow us on Twitter 

at: @dhsoig. 

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