Prakash Khatri
Citizenship & Immigration Services Ombudsman
U.S. Department of Homeland Security
Mail Stop: 1225
Washington, DC 20528-1225
Office: 202-357-8100
email: prakash.khatri@dhs.gov
www.dhs.gov/cisombudsman
DHS CITIZENSHIP & IMMIGRATION SERVICES OMBUDSMAN DELIVERS 2007 ANNUAL REPORT TO CONGRESS
On June 11, 2006, Mr. Prakash Khatri, the Department of Homeland Security (DHS) Citizenship and Immigration Services Ombudsman delivered his 2007 Annual Report to Congress. As mandated by the Homeland Security Act of 2002 § 452 the Office of the CIS Ombudsman (CISOMB) is an independent DHS office that reports directly to the DHS Deputy Secretary. By June 30 of each calendar year, the Ombudsman submits an annual report to the House and Senate Committees on the Judiciary without any prior comment or amendment from any administrative agency official including the DHS Secretary, DHS Deputy Secretary, Director of U.S. Citizenship and Immigration Services (USCIS), or any other officer or employee of the Department or the Office of Management and Budget. USCIS is the Department of Homeland Security entity responsible for administering the nation’s immigration benefits system. The Ombudsman’s statutory mission is to: (1) assist individuals and employers in resolving problems with USCIS; (2) Identify areas in which individuals and employers have problems in dealing with USCIS; and (3) Propose changes to mitigate identified problems.
The Ombudsman’s first three annual reports focused on (1) systemic issues that caused delay in granting immigration benefits and (2) customer service complaints. The reports identified pervasive and serious issues addressed in 28 formal recommendations directed at solving problems faced by individuals and employers in their interactions with USCIS.
The 2007 Annual Report is the fourth since the Ombudsman’s office began operations in July 2003. It marks 46 months of cumulative analysis and recommendations since the establishment of the office and provides details on activities undertaken by the Ombudsman from June 1, 2006 through May 31, 2007
For more information, visit the Ombudsman’s website at: (www.dhs.gov/cisombudsman) or contact the office by email (cisombudsman@dhs.gov), phone (202) 357-8100, or fax (202) 357-0042.
Attached is a copy of the Annual Report Highlights. To access the report on the web: Annual Report to Congress
2007 Annual Report Highlights June 11, 2007
The Citizenship and Immigration Services Ombudsman assists individuals and employers as they encounter problems with their applications to U.S. Citizenship & Immigration Services (USCIS) for immigration benefits. A mishandled benefit application or petition, like a single misstep by an applicant, petitioner, employer, or attorney, can lead to denial, loss of status, accrual of unlawful status, ineligibility for a future immigration benefit, or removal from the United States. Some foreign nationals attempt to navigate this difficult process alone. Others rely on their employers or hire costly attorneys. Given this complex situation, how can USCIS better serve all of its customers -- immigrants and non-immigrants seeking opportunities in the United States; naturalization applicants trying to become U.S. citizens; and asylees and refugees hoping for a better way of life in the United States? To answer this question, by statute, the Ombudsman submits an annual report to Congress each June without prior review or comment by Department of Homeland Security (DHS) or other executive branch employees.
The Ombudsman’s 2007 Annual Report -- the fourth since the Ombudsman’s office began operations in July 2003 -- makes
25 new recommendations to improve USCIS operations for the benefit of everyone involved in the immigration process.
The report’s highlights are summarized below.
KEY THEMES
Up-front Processing and the Dallas Office Rapid Adjustment (DORA) Program
(Annual Report pp. 78-84)
To reduce the number of fraudulent applicants considered for interim benefits, the Ombudsman recommends that USCIS complete security checks prior to application submission and continues to recommend up-front processing of immigration benefit applications. The DORA pilot program has shown that up-front processing also improves customer service and efficiency by allowing USCIS officials to review applications for completeness before they are accepted for processing.
DORA data indicate that this up-front review reduces the number of interim benefits issued to ineligible applicants. During the reporting period, USCIS expanded DORA to the El Paso and Oklahoma City offices, but USCIS support for DORA’s expansion has been lacking. As the pilot enters its fourth year, USCIS must decide whether to implement it nationwide or end it.
USCIS Transformation
(Annual Report pp. 5-6)
USCIS Transformation, which encompasses IT modernization efforts, forms revision, development of person-centric case management, and other initiatives, is vital to the agency’s future success.
However, USCIS has devoted considerable resources to various types of modernization efforts since the 1990s with minimal progress. The success of the current USCIS transformation initiative requires decisive leadership, focused management direction, and committed resources. There should be input from customers and stakeholders and credible performance measures. At the same time, the Ombudsman hopes the transformation program does not divert attention and resources from resolving problems that could be fixed in the near-term with readily available IT solutions.
Transparency
(Annual Report p. 3)
Much work remains for USCIS to make its operations transparent to the public. Complex forms and instructions, miscommunications with customers, the backlog redefinition, and an inability to ensure timely and accurate case processing are all issues that require attention.
Outreach Efforts and Communications with Stakeholders
(Annual Report pp. 102-106)
To obtain feedback from individuals, employers, and stakeholders, the Ombudsman and his staff visited 40 USCIS facilities during the reporting period. The Ombudsman also: (a) initiated the creation of a Virtual Ombudsman System, an online suite of Ombudsman services, to be available during FY 08; (b) organized a series of pilot teleconferences in which USCIS applicants and stakeholders discussed problems encountered with USCIS programs and offices; and (c) established an email address to receive and monitor trends, and for the public to make suggestions for improving USCIS.
PERVASIVE AND SERIOUS PROBLEMS
FBI Name Checks
(Annual Report pp. 37-45)
FBI name checks, one of the security screening tools used by USCIS, may be the single biggest obstacle to the timely and efficient delivery of immigration benefits. The problem of long-pending FBI name check cases worsened during the reporting period.
As of May 2007, USCIS reported 329,160 FBI name check cases pending;
Approximately 64% (211,341) of those cases have been pending more than 90 days and approximately 32% (106,738) have been pending more than one year;
There are now 93,358 more name check cases pending than last year, and 31,144 FBI name check cases pending more than 33 months as compared to 21,570 last year;
Pending FBI Namechecks
Age of Pending Response
Total Count
(May 4,2007)
Total Count
(May 17, 2006)
< 3 months
117,819
82,636
3 - 6 months
55,749
33,450
6 - 9 months
28,029
20,047
9 - 12 months
20,825
16,845
12 - 15 months
14,133
15,064
15 - 18 months
13,931
10,636
18 - 21 months
11,035
8,144
21 - 24 months
12,398
8,325
24 - 27 months
11,765
9,754
27 - 30 months
6,600
4,435
30 - 33 months
5,732
4,896
> 33 months
31,144
21,570
Total Pending
329,160
235,802
Customer Service
(Annual Report pp. 21-31)
During the reporting period, USCIS made important strides in customer service, beginning with two new contracts to improve its toll-free customer service line. Nevertheless, stakeholders continued to report concerns to the Ombudsman regarding: (a) limited access to USCIS immigration officers who are knowledgeable enough about specific cases to resolve them efficiently; (b) questionable accuracy of information provided by USCIS call center representatives; and (c) the practice of providing minimal information in response to customer inquiries.
Complexity of the Immigration Process
(Annual Report pp. 7-11)
In addition to the Immigration and Nationality Act (INA), there are myriad other laws, regulations, policies, and procedures that affect whether and in what manner a foreign national may enter the United States to seek temporary status, permanent residence, or U.S. citizenship. Many of the pervasive and serious problems detailed in this report are interconnected and stem from the complexity and opaque nature of the immigration rules.
Backlogs and Pending Cases
(Annual Report pp. 11-16)
USCIS customers continue to face lengthy and costly waiting periods for benefits. Through USCIS employees’ dedication and leadership, there has been a substantial reduction in the backlog. Unfortunately, the agency’s redefinition of the backlog raises questions about the significance of its backlog reduction efforts. As of March 2007, there was a total backlog of 1,275,795 cases. Regardless of how those cases are defined, whether under current USCIS control or not, they are cases that must eventually be completed. A realistic plan must be established to address this issue.
USCIS Cases Excluded from the USCIS “Backlog”
Totals
March 2007
(most recent
data available)
As of end of Sept. 2006
(End of FY 06 and “backlog” elimination goal)
Pending Customer Action
137,405
150,122
Unripe Due to Limits on Annual Immigration
869,544
823,439
Pending Other Agency Action
309,791
264,262
FBI Name Check Cases
295,495
255,831*
Pending Cases Not Included in “Backlog”
1,316,740
1,237,823
Sources: USCIS Production Status Report (Mar. 2007); *USCIS Production Status Report (Nov. 2006); USCIS Response to the Ombudsman's 2006 Annual Report (May 18, 2007), at 4-5.,
Funding of USCIS
(Annual Report pp. 46-51)
USCIS is self-funded from immigration benefit application fees. These fees pay for USCIS services and programs such as military naturalization and refugee/asylum adjudications, for which there are no fees. Funding concerns, not operational efficiency, often drive USCIS policy. The Ombudsman realizes that customers and stakeholders may find USCIS’ new fee rule burdensome. The Ombudsman will monitor the fee rule’s effects on applicants. To solve USCIS’ funding challenges, the Ombudsman continues to propose that USCIS establish a revolving fund account replenished by future receipts.
USCIS Fee Revenue FY 2006
(Source: USCIS FY06 Fee collections)
Employment-Based (EB) Green Card Applications
(Annual Report pp. 32-37)
In FY 06, over 10,000 visas were lost because of slow processing of EB cases, even though USCIS had an estimated 100,000 to 150,000 pending applications for employment-based green cards. As of May 2007, the State Department estimated that 40,000 EB visas may be lost in FY 07 if USCIS does not increase the processing rate for green card applications. The Ombudsman attributes the slow rate of adjudications to inaccurate statistics and inefficient USCIS management of its workload. The problem will become significant in the coming fiscal year if there is a dramatic increase in EB green card applications, and a significant backlog is likely to develop if this problem goes unaddressed.
Workforce Issues
(Annual Report pp. 70-76)
USCIS completed a strategic plan for human resources development and recruitment, but substantial workforce staffing and training challenges remain. Approximately one-third of its supervisory and management staff will reach retirement age in 2010. If comprehensive immigration reform is enacted, USCIS must avoid immigration reform is enacted, USCIS must avoid duplicating the problems created when temporary employees were hired to address backlog reduction.
Business Process Standardization
(Annual Report p. 51)
The Ombudsman is encouraged by USCIS efforts to standardize adjudicative processes and operational procedures. However, the Ombudsman continues to observe and receive feedback from applicants, employers, and stakeholders that processing times and adjudications remain inconsistent.
Ombudsman Accomplishments
(Annual Report p. 4)
During the reporting period, the Ombudsman made formal and informal recommendations to USCIS. Some of the areas addressed by the recommendations include:
· Making USCIS more transparent in its operations;
· Enhancing customer access to information;
· Ensuring adequate notice for changes to USCIS policy and procedures;
· Addressing Freedom of Information Act backlogs.
The Ombudsman’s recommendations address many of the identified pervasive and serious problems with USCIS that, if solved, would increase USCIS efficiency, improve customer service, and enhance national security. To date, the Ombudsman has made 71 recommendations, 32 formal and 39 which were contained in the 2006 and 2007 Annual Reports.
To identify problems and collect data, the Ombudsman held numerous meetings with internal and external stakeholders. The Ombudsman also met with representatives from the Departments of State, Commerce, Justice, and Labor to address interagency coordination.
Since the inception of the office in 2003, the Ombudsman and his staff have visited 168 USCIS facilities, including field offices, service centers, and other facilities to see first-hand the issues that individuals and employers encountered such as the:
· Impact of immigration processing backlogs on families and employers;
· Lack of standardization in immigration adjudications;
· Imprecise and confusing instructions on requests for information for cases;
· Ongoing problems due to long-pending security name checks.
LOOKING FORWARD
The Ombudsman will continue to:
Identify and propose changes to problems and address issues that individuals and employers have with USCIS;
Gather information and feedback from USCIS, individual applicants, and other external stakeholders through frequent site visits to USCIS facilities and regular meetings with community-based organizations, employer groups, research facilities, and the professional immigration law community;
Expand assistance to individuals and employers by continuing to develop the “Virtual Ombudsman’s Office System;”
Maintain and expand activities that promote interagency cooperation and holistic approaches to immigration issues in support of the DHS mission.
Citizenship & Immigration Services Ombudsman
U.S. Department of Homeland Security
Mail Stop: 1225
Washington, DC 20528-1225
Office: 202-357-8100
email: prakash.khatri@dhs.gov
www.dhs.gov/cisombudsman
DHS CITIZENSHIP & IMMIGRATION SERVICES OMBUDSMAN DELIVERS 2007 ANNUAL REPORT TO CONGRESS
On June 11, 2006, Mr. Prakash Khatri, the Department of Homeland Security (DHS) Citizenship and Immigration Services Ombudsman delivered his 2007 Annual Report to Congress. As mandated by the Homeland Security Act of 2002 § 452 the Office of the CIS Ombudsman (CISOMB) is an independent DHS office that reports directly to the DHS Deputy Secretary. By June 30 of each calendar year, the Ombudsman submits an annual report to the House and Senate Committees on the Judiciary without any prior comment or amendment from any administrative agency official including the DHS Secretary, DHS Deputy Secretary, Director of U.S. Citizenship and Immigration Services (USCIS), or any other officer or employee of the Department or the Office of Management and Budget. USCIS is the Department of Homeland Security entity responsible for administering the nation’s immigration benefits system. The Ombudsman’s statutory mission is to: (1) assist individuals and employers in resolving problems with USCIS; (2) Identify areas in which individuals and employers have problems in dealing with USCIS; and (3) Propose changes to mitigate identified problems.
The Ombudsman’s first three annual reports focused on (1) systemic issues that caused delay in granting immigration benefits and (2) customer service complaints. The reports identified pervasive and serious issues addressed in 28 formal recommendations directed at solving problems faced by individuals and employers in their interactions with USCIS.
The 2007 Annual Report is the fourth since the Ombudsman’s office began operations in July 2003. It marks 46 months of cumulative analysis and recommendations since the establishment of the office and provides details on activities undertaken by the Ombudsman from June 1, 2006 through May 31, 2007
For more information, visit the Ombudsman’s website at: (www.dhs.gov/cisombudsman) or contact the office by email (cisombudsman@dhs.gov), phone (202) 357-8100, or fax (202) 357-0042.
Attached is a copy of the Annual Report Highlights. To access the report on the web: Annual Report to Congress
2007 Annual Report Highlights June 11, 2007
The Citizenship and Immigration Services Ombudsman assists individuals and employers as they encounter problems with their applications to U.S. Citizenship & Immigration Services (USCIS) for immigration benefits. A mishandled benefit application or petition, like a single misstep by an applicant, petitioner, employer, or attorney, can lead to denial, loss of status, accrual of unlawful status, ineligibility for a future immigration benefit, or removal from the United States. Some foreign nationals attempt to navigate this difficult process alone. Others rely on their employers or hire costly attorneys. Given this complex situation, how can USCIS better serve all of its customers -- immigrants and non-immigrants seeking opportunities in the United States; naturalization applicants trying to become U.S. citizens; and asylees and refugees hoping for a better way of life in the United States? To answer this question, by statute, the Ombudsman submits an annual report to Congress each June without prior review or comment by Department of Homeland Security (DHS) or other executive branch employees.
The Ombudsman’s 2007 Annual Report -- the fourth since the Ombudsman’s office began operations in July 2003 -- makes
25 new recommendations to improve USCIS operations for the benefit of everyone involved in the immigration process.
The report’s highlights are summarized below.
KEY THEMES
Up-front Processing and the Dallas Office Rapid Adjustment (DORA) Program
(Annual Report pp. 78-84)
To reduce the number of fraudulent applicants considered for interim benefits, the Ombudsman recommends that USCIS complete security checks prior to application submission and continues to recommend up-front processing of immigration benefit applications. The DORA pilot program has shown that up-front processing also improves customer service and efficiency by allowing USCIS officials to review applications for completeness before they are accepted for processing.
DORA data indicate that this up-front review reduces the number of interim benefits issued to ineligible applicants. During the reporting period, USCIS expanded DORA to the El Paso and Oklahoma City offices, but USCIS support for DORA’s expansion has been lacking. As the pilot enters its fourth year, USCIS must decide whether to implement it nationwide or end it.
USCIS Transformation
(Annual Report pp. 5-6)
USCIS Transformation, which encompasses IT modernization efforts, forms revision, development of person-centric case management, and other initiatives, is vital to the agency’s future success.
However, USCIS has devoted considerable resources to various types of modernization efforts since the 1990s with minimal progress. The success of the current USCIS transformation initiative requires decisive leadership, focused management direction, and committed resources. There should be input from customers and stakeholders and credible performance measures. At the same time, the Ombudsman hopes the transformation program does not divert attention and resources from resolving problems that could be fixed in the near-term with readily available IT solutions.
Transparency
(Annual Report p. 3)
Much work remains for USCIS to make its operations transparent to the public. Complex forms and instructions, miscommunications with customers, the backlog redefinition, and an inability to ensure timely and accurate case processing are all issues that require attention.
Outreach Efforts and Communications with Stakeholders
(Annual Report pp. 102-106)
To obtain feedback from individuals, employers, and stakeholders, the Ombudsman and his staff visited 40 USCIS facilities during the reporting period. The Ombudsman also: (a) initiated the creation of a Virtual Ombudsman System, an online suite of Ombudsman services, to be available during FY 08; (b) organized a series of pilot teleconferences in which USCIS applicants and stakeholders discussed problems encountered with USCIS programs and offices; and (c) established an email address to receive and monitor trends, and for the public to make suggestions for improving USCIS.
PERVASIVE AND SERIOUS PROBLEMS
FBI Name Checks
(Annual Report pp. 37-45)
FBI name checks, one of the security screening tools used by USCIS, may be the single biggest obstacle to the timely and efficient delivery of immigration benefits. The problem of long-pending FBI name check cases worsened during the reporting period.
As of May 2007, USCIS reported 329,160 FBI name check cases pending;
Approximately 64% (211,341) of those cases have been pending more than 90 days and approximately 32% (106,738) have been pending more than one year;
There are now 93,358 more name check cases pending than last year, and 31,144 FBI name check cases pending more than 33 months as compared to 21,570 last year;
Pending FBI Namechecks
Age of Pending Response
Total Count
(May 4,2007)
Total Count
(May 17, 2006)
< 3 months
117,819
82,636
3 - 6 months
55,749
33,450
6 - 9 months
28,029
20,047
9 - 12 months
20,825
16,845
12 - 15 months
14,133
15,064
15 - 18 months
13,931
10,636
18 - 21 months
11,035
8,144
21 - 24 months
12,398
8,325
24 - 27 months
11,765
9,754
27 - 30 months
6,600
4,435
30 - 33 months
5,732
4,896
> 33 months
31,144
21,570
Total Pending
329,160
235,802
Customer Service
(Annual Report pp. 21-31)
During the reporting period, USCIS made important strides in customer service, beginning with two new contracts to improve its toll-free customer service line. Nevertheless, stakeholders continued to report concerns to the Ombudsman regarding: (a) limited access to USCIS immigration officers who are knowledgeable enough about specific cases to resolve them efficiently; (b) questionable accuracy of information provided by USCIS call center representatives; and (c) the practice of providing minimal information in response to customer inquiries.
Complexity of the Immigration Process
(Annual Report pp. 7-11)
In addition to the Immigration and Nationality Act (INA), there are myriad other laws, regulations, policies, and procedures that affect whether and in what manner a foreign national may enter the United States to seek temporary status, permanent residence, or U.S. citizenship. Many of the pervasive and serious problems detailed in this report are interconnected and stem from the complexity and opaque nature of the immigration rules.
Backlogs and Pending Cases
(Annual Report pp. 11-16)
USCIS customers continue to face lengthy and costly waiting periods for benefits. Through USCIS employees’ dedication and leadership, there has been a substantial reduction in the backlog. Unfortunately, the agency’s redefinition of the backlog raises questions about the significance of its backlog reduction efforts. As of March 2007, there was a total backlog of 1,275,795 cases. Regardless of how those cases are defined, whether under current USCIS control or not, they are cases that must eventually be completed. A realistic plan must be established to address this issue.
USCIS Cases Excluded from the USCIS “Backlog”
Totals
March 2007
(most recent
data available)
As of end of Sept. 2006
(End of FY 06 and “backlog” elimination goal)
Pending Customer Action
137,405
150,122
Unripe Due to Limits on Annual Immigration
869,544
823,439
Pending Other Agency Action
309,791
264,262
FBI Name Check Cases
295,495
255,831*
Pending Cases Not Included in “Backlog”
1,316,740
1,237,823
Sources: USCIS Production Status Report (Mar. 2007); *USCIS Production Status Report (Nov. 2006); USCIS Response to the Ombudsman's 2006 Annual Report (May 18, 2007), at 4-5.,
Funding of USCIS
(Annual Report pp. 46-51)
USCIS is self-funded from immigration benefit application fees. These fees pay for USCIS services and programs such as military naturalization and refugee/asylum adjudications, for which there are no fees. Funding concerns, not operational efficiency, often drive USCIS policy. The Ombudsman realizes that customers and stakeholders may find USCIS’ new fee rule burdensome. The Ombudsman will monitor the fee rule’s effects on applicants. To solve USCIS’ funding challenges, the Ombudsman continues to propose that USCIS establish a revolving fund account replenished by future receipts.
USCIS Fee Revenue FY 2006
(Source: USCIS FY06 Fee collections)
Employment-Based (EB) Green Card Applications
(Annual Report pp. 32-37)
In FY 06, over 10,000 visas were lost because of slow processing of EB cases, even though USCIS had an estimated 100,000 to 150,000 pending applications for employment-based green cards. As of May 2007, the State Department estimated that 40,000 EB visas may be lost in FY 07 if USCIS does not increase the processing rate for green card applications. The Ombudsman attributes the slow rate of adjudications to inaccurate statistics and inefficient USCIS management of its workload. The problem will become significant in the coming fiscal year if there is a dramatic increase in EB green card applications, and a significant backlog is likely to develop if this problem goes unaddressed.
Workforce Issues
(Annual Report pp. 70-76)
USCIS completed a strategic plan for human resources development and recruitment, but substantial workforce staffing and training challenges remain. Approximately one-third of its supervisory and management staff will reach retirement age in 2010. If comprehensive immigration reform is enacted, USCIS must avoid immigration reform is enacted, USCIS must avoid duplicating the problems created when temporary employees were hired to address backlog reduction.
Business Process Standardization
(Annual Report p. 51)
The Ombudsman is encouraged by USCIS efforts to standardize adjudicative processes and operational procedures. However, the Ombudsman continues to observe and receive feedback from applicants, employers, and stakeholders that processing times and adjudications remain inconsistent.
Ombudsman Accomplishments
(Annual Report p. 4)
During the reporting period, the Ombudsman made formal and informal recommendations to USCIS. Some of the areas addressed by the recommendations include:
· Making USCIS more transparent in its operations;
· Enhancing customer access to information;
· Ensuring adequate notice for changes to USCIS policy and procedures;
· Addressing Freedom of Information Act backlogs.
The Ombudsman’s recommendations address many of the identified pervasive and serious problems with USCIS that, if solved, would increase USCIS efficiency, improve customer service, and enhance national security. To date, the Ombudsman has made 71 recommendations, 32 formal and 39 which were contained in the 2006 and 2007 Annual Reports.
To identify problems and collect data, the Ombudsman held numerous meetings with internal and external stakeholders. The Ombudsman also met with representatives from the Departments of State, Commerce, Justice, and Labor to address interagency coordination.
Since the inception of the office in 2003, the Ombudsman and his staff have visited 168 USCIS facilities, including field offices, service centers, and other facilities to see first-hand the issues that individuals and employers encountered such as the:
· Impact of immigration processing backlogs on families and employers;
· Lack of standardization in immigration adjudications;
· Imprecise and confusing instructions on requests for information for cases;
· Ongoing problems due to long-pending security name checks.
LOOKING FORWARD
The Ombudsman will continue to:
Identify and propose changes to problems and address issues that individuals and employers have with USCIS;
Gather information and feedback from USCIS, individual applicants, and other external stakeholders through frequent site visits to USCIS facilities and regular meetings with community-based organizations, employer groups, research facilities, and the professional immigration law community;
Expand assistance to individuals and employers by continuing to develop the “Virtual Ombudsman’s Office System;”
Maintain and expand activities that promote interagency cooperation and holistic approaches to immigration issues in support of the DHS mission.