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Naturalization, etc.: INS-Naturalization [3]
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Naturalization, etc.: INS-Naturalization [3]
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Irene Bueno's Files
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Immigration and Naturalization Service
Examinations Fee Account
Status of FY 1998 Enhancements
(Dollars in Thousands)
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Claims
$5,210
$4,079
78%
Accomplishments:
At present, INS completed 95 percent of the development work for CLAIMS 4 supporting
the Naturalization process. Testing of close-out of ceremonies is the only module
remaining to be completed. INS has completed the development of a fingerprint
scheduler that will schedule an applicant to the nearest ASC. This feature will ensure
appropriate scheduling and improve workflow and production at ASCs. A Fingerprint
tracking system was also developed that includes the automated capture of the masthead
information for the FBI card in a 2D bar code format to ensure the integrity of the process
and minimize errors and data entry costs.
CLAIMS 4 has been deployed in all four Service Centers as well as the Chicago and
Miami District Offices. While CLAIMS 4 is not yet performing optimally, software
changes and capacity upgrades continue to be improve performance. INS expects to
deploy CLAIMS 4 to the top 6 cities (Chicago, Miami, Los Angeles, San Francisco, New
York City, and Newark) and their sub-offices by the end of FY 198. Sixty-four percent
of the total workload will be processed through CLAIMS 4.
INS has also continued its development of the Naturalization Web Page. Currently
available is the ability to get information, forms, and take a civic and history self -test
online. INS is getting an average of 20,000 visits and 6,100 self-tests a month on the
Naturalization page. We also have NATZ news online which is a newsletter that
describes ongoing activities.
1
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Records Centralization
...
$11,096
...
$4,600
41%
Accomplishments:
INS is fully prepared to implement the Records Centralization project. A notification was
forwarded to Congress on November 6, 1997 and INS is awaiting Congressional approval
on the location of the facility. Therefore, the vast majority of these resources ($6.5
million) are held in abeyance awaiting congressional approval.
Items funded include contract support for records cleanup in an offsite location
(relocating specific and temporary records backlog and cleanup activities), Office of
Naturalization data integrity and audit effort to support naturalization re-engineering and
backlog reduction, targeted records backlogs initiatives in major districts, training and
standard operating procedures revisions and implementation.
Developed plans to utilize these resources to invest in efforts that promote the underlying
goals of the RAPID Project. INS will invest in projects that address fundamental records
problems that affect the Service as a whole rather than invest in piecemeal, temporary
solutions at selected sites.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Central Index System
...
$1,250
...
$942
75%
Accomplishments:
Resources have been allocated to enhance the Central Index System. In FY 1998, there is
a total of $2.6 million ($1.3 million in base resources and $1.3 million from FY 1998
program enhancements) available for CIS, as of April 30, $1.6 million has been obligated.
INS has improved its response time in CIS this year by streamlining soundex queries to
provide response from 31 minutes to 31 seconds.
2
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Records Contract
Support
...
$4,800
...
$4,800
100%
Accomplishments:
Records Contract Support ($4,800,000) - resources have been allocated to provide funds
for additional records contract support in seven locations in various INS District Office.
Received
Obligated
Percent
Position
Amount
Position
Amo
Obligated
Item: Naturalization
Ceremonies
...
$5,273
...
$5,273
100%
Accomplishments:
$3.2 million has been allocated for oath ceremonies and $2.1 million has been allocated
for administrative ceremonies and other general expense items relating to the
Naturalization process. A total of $5.8 million has been obligated for these purposes.
3
Item: Fingerprint Require-
ments
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated,
Exams Account
130
$67,000
...
$40,000
60%
Salaries and Expenses
...
16,800
*2,000
12%
Subtotal
...
$83,800
$42,000
50%
...
* Final estimate for fingerprint machines is not complete as of today; however, INS projects $13
million in obligations in the first week in August.
Accomplishments:
INS has opened 68 freestanding Application Support Centers (ACS), 52 ASCs collocated
within existing INS offices, and as of May 7, 1998, all 41 Designate Law Enforcement
Agencies have signed and returned agreements to fingerprint applicants for the INS. The
mobile routes are scheduled to be fully operational by the end of July 1998. These offices
and mobile units along with 41 designated law enforcement agencies operating under sole
source agreements with INS will take all fingerprints for all immigration benefits
applications requiring a FBI background check. A $25 application fee is being collected,
since April, for fingerprint processing.
INS has purchased 100 live scan fingerprint machines and intends to purchase
approximately 300 additional machines off the GSA schedule. All 130 positions have
been added to the INS' position tracking system (POST) and recruiting actions are under
way.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: 400 Term Positions
...
$38,287
$19,877
52%
...
Accomplishments:
Term positions were provided to convert 400 temporary positions to term appointments to
process naturalization and adjustment of status applications. Of the 400 term positions,
239 are on-board as of June 6, and 161 are in recruitment process. In addition, due to the
4
fact that position came on-board later than originally planned, approximately $8 million
of this amount was spent on temporary clerical support.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Quality Assurance
121
$10,913
58
$5,961
55%
Accomplishments:
Quality Assurance - Resources were provided for quality assurance staff to oversee
processing of naturalization applications and to provide for the continued audit of the
procedures. Of the 121 positions, 60 positions have been deployed to the field, 3
positions to Regional Offices, 11 positions to Internal Audit (of which 5 positions are
pending Congressional notification). The Office of Naturalization Operations will also
receive 2 positions that are also pending Congressional notification. The remaining 47
positions for the field are being added to POST for recruitment action. Of the 58
positions on board, a portion of the positions have filled critical district adjudication
officer positions needed to address the surge in applications and the remaining have been
assigned to quality assurance initiatives.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Direct Mail
125
$33,169
98
$31,000
93%
Accomplishments:
All 80 offices have been transitioned to Direct Mail for all new naturalization
applications filed. All 125 positions have been added to INS' position tracking system
(POST) and approximately 98 are on-board as of June. The remaining 27 positions are in
the recruitment/hiring process.
5
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Overtime and Service
Center Contract Support
...
$14,081
...
$5,739
41%
Accomplishments:
The $14,081,000 for overtime and Service Center contract support to address
naturalization backlogs and processing times has been allocated. Of that amount,
$5,738,690 has been obligated to date and plans are underway to utilized the remaining
resources during the fourth quarter.
Specifically, $2,063,000 was allocated to buildout space and move files in Los Angeles,
$875,690 has been allocated to pay for detailees to support backlog reduction efforts in
Arlington, Charlotte, Miami, New York City, San Jose, and San Francisco, and
$2,800,000 has been allocated to pay for overtime, contract support, and equipment for all
district offices.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Texas Service Center
...
$1,900
$1,900
100%
...
Accomplishments:
$200,000 has been obligated by the Construction and Engineering program and the
remaining $1,700,000 to the Adjudication and Naturalization program for the expansion
of the Texas Service Center purchase of computers, 2D bar code readers, other
miscellaneous equipment and facility expansion.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Item: Revocations
27
$3,400
12
$1,644
48%
Accomplishments:
The Central Revocation Unit currently has 5 attorneys (detailed) located in Headquarters
(CNN building) and 7 newly hired attorneys are on-board in field offices. The remaining
8 attorneys will be filled with Honor Graduates entering on duty at the end of the fiscal
year.
6
As of June 18, the Central Revocation Unit has finalized 3,968 of the approximately
6,300 cases referred from the various audits conducted by KPMG Peat Marwick, Justice
Management Division, and INS. Notices of Intent to Revoke (NOIR) have been issued in
2,507 cases, and 1,461 cases are not legally sufficient to proceed with revocation.
More than 1,400 responses have been received to date, and more than 650 hearings have
been requested, with more than 100 having been held.
The Revocation Unit has issued 45 final decisions, 6 cases affirming naturalization, 27
cases terminating administrative proceedings, and 13 cases revoking naturalization.
Although policies and procedures for revocation hearings and final decision have been
developed, our resources are currently devoted primarily to the issuance of NOIRs within
the two year limitations period. We remain on target to issue all legally sufficient NOIRs
in a timely manner.
Received
Obligated
Percent
Position
Amount
Position
Amount
Obligated
Total FY 1998 Enhancements
273
$213,179
168
$127,815
59%
7
FY 1999 Budget Proposal
Fixing the naturalization system is the agency's top priority, and our focus has been and will
continue to be improving customer service while ensuring integrity in the system. We have made
tremendous progress in the last year. Of particular note are the opening of new Application
Support Centers, which will greatly reduce inconvenience to applicants of having to retake prints
and shorten the turnaround time for completing FBI background checks. We have also deployed
INS' Direct Mail process to all four Service Centers and all offices for all new naturalization
applications filed. This allows applicants to send in their applications to one of the agency's four
highly automated Service Centers rather than presenting that application in person. This allows
the District Offices to focus their resources on adjudicating applications and conducting
interviews. Direct mail also allows INS to pre-process the naturalization applications at one site,
using standardized, quality controlled procedures. Also, we have installed the new CLAIMS 4.0
software in our key Service Centers and key District's to process new naturalization applications.
This will ensure consistency and include checks and balances that prevent applications from
moving forward before all steps have been completed, including FBI background checks. And
finally, we have implemented and continue to follow the Quality Assurance practices and
procedures (NQP3) that were instituted in FY 1997. INS completed its training and continues to
ensure its full implementation. These changes have laid the groundwork for INS to deliver better
service to its customers.
However, despite these efforts and our recent infusion of resources in the Exams Fee account, the
Service-side of INS remains under funded and is continuously out paced by the tremendous
growth we have experienced in the past few years. We want not only to handle this growth, but
to excel at it. This package requests $222 million in additional resources (both Exams Fee
account and Salaries and Expenses Appropriation) that will allow us to face the challenges we
are experiencing on the Service-side. The initiatives range in scope from backlog reduction, to
infrastructure requirements, to bringing our information and application systems into a more
modern age.
At present, the Exams Fee account receipts will not cover this aggressive level of program
enhancements. The Fee account does not have the additional funding or the flexibility in using
available receipts to meet these demands. We are at a crossroads. We can continue to make
incremental changes as receipts become available, or we can request a combination of receipts
and appropriated resource to bring these issues to the forefront and take a more proactive
approach to address the Service-side issues-- Aggressive Backlog reduction in both
Naturalization and Adjustment of Status applications, Improved Customer Service, and
Modernized access and use of information whether its obtaining status information or utilizing
that information to adjudicate applications for benefits.
8
WHY THE FEE ACCOUNT CANNOT SUPPORT THIS LEVEL OF ACTIVITY:
Proposed New Fees: As you know, after conducting an extensive study of our fee structure, INS
knows the fees we are collecting do not cover the real cost of doing business. Our fees have not
increased in over four years despite the increase in the cost of processing immigrant benefit
application and petitions. The cost of processing immigration adjudication and naturalization
applications and petitions has risen primarily because of salary and benefit increases (increased
by 9 percent alone in the past three years), price increases for general expense and support cost,
and the cost of infrastructure and program improvements. We have a proposal to correct that
situation; however, that proposal will only cover the cost of new applications received after the
new fees are in place, it does not cover the over 1 million pending applications that have already
been collected that are short in some cases by 50 percent of the required costs.
Re-direction of INS' 245 (I) Penalty Fee- Recent amendments to section 245(I) of the
Immigration and Nationality Act re-directed the penalty revenue received from 245 (I) applicants
to be deposited into the Breached Bond Detention Fund and be made available for detention and
deportation activities, resulting in a loss of almost $160 million from penalty fees in FY 1998,
and potentially another $100 million in FY 1999.
Legislatively Mandated Expenditures- The available resources in the Exams Fee account are
also limited because the cost of programs, like asylum and refugee services, are provided free of
charge to applicants. Also, over the years, Congress has moved program that were
previously funded by appropriated resources, into the Exams Fee account, thereby further
constraining the Exam Fee account's flexibility. In total, INS funds over $130 million in
Legislatively mandated non-revenue generating programs.
Exams Fee Account Base- In response to Congressional direction, INS performed a detailed
review of the Exams Fee account to reallocate $38.1 million in base resources for additional
Naturalization spending. The review focused on FY 1998 spending for all programs funded in
the Exams Fee account, including the Inspections and International Affairs programs. INS has
and continues to move in the direction of ensuring that the most critical activities are funded with
the available resources and the base is accounted for.
9
Requested Increases
Position
Amount
Item: Staffing Backlog
Adjudications and Naturalization
Naturalization
300
$26,009
Adjustment of Status
190
10,571
245 (I) Clean-up & Centralized
Address Change at SCs.
3,200
Clerical Support (Natz and Adj.
7,500
Of Status)
Overtime
6,850
Oaths
2,401
Reprint expired fingerprints
2,225
IRM
790
Total
490
$59,546
Taking the time to understand and work with the community, as well as giving each
customer the time and attention he or she deserves is in large part a function of having the
right number of staff and the right staff to do the job. Backlog reduction, however, is not
an overnight process. Personnel resources, other than overtime funding, require
recruiting, hiring, security clearances, and training before they have an effect on pending
caseload. Therefore, we must act now in securing additional resource to address the
backlog in applications. INS currently lacks sufficient staff dedicated to service
functions. Adjudicators are needed to examine the applications and administrative staff is
needed to provide clerical help and answer incoming calls. The huge rise in applicants
has not been matched by a concurrent increase in staff to process their paperwork and
interview them. This has not only contributed to longer waiting times, but it has also
consumed the time and attention of staff, making it harder for them to give each customer
the quality of service they deserve.
The addition of 490 officers to augment current staff assigned to naturalization and
adjustment processing will be sufficient to reduce the backlog to six and five months,
respectively, by the end of FY 2000. The assumption is based on the funding availability
as of November 1998, new staff on board by April and fully productive by June 1, 1999,
at 12 completions per day per officer for naturalization and 8 completions per day for
adjustments. This production level is based on the assumption of full staffing of current
personnel assigned to adjustment processing, and continuation of present receipt levels.
In addition, several efforts are in place to increase INS efficiency through automation,
standardization of quality procedures, which will minimize case deferrals, and better use
of statistical data as a production management tool. The new staff in conjunction with
improved processing procedures will result in meeting the processing time goal for FY
2000.
10
In addition, their are specific Information Resource Technology (IRM) requirements for
the following: Specialized extracts and Pic lists automation ($250,000); special
processing in ASC for backlog fingerprint cases ($300,000), specialized application
training for new staff (600 staff-$240,000).
Item: Service Centers
Position
Amount
Adjudications and Naturalization
Service Centers
IRM
$3,200
145
Total
$3,345
This item will allow INS to reduce the number of pending applications from the current
870,000 to 450,000 by the end of third quarter FY 1999 (June 30, 1999). It also provide
specific IRM enhancements for special processing and synchronization of cases in
C3/RNACS.
Item: Direct Mail - Final Phase
Position
Amount
Facilities
$12,000
INS Staff
164
11,508
Contract Staff
6,000
IRM
16,212
Remaining Office deployment that
9,250
need high end TIP
Total
164
$54,970
At the end of FY 1999, Direct Mail infrastructure requirements will be completed. These
resources will allow INS to move other than N-400 forms, refugee Asylum 485s, EADs
and NACARA applications into the Direct Mail process. In addition, IRM will deploy
CLAIMS 4 to all adjudicators and 10 percent of clerical support. Other IRM
enhancements include: hardware, software, Central Repository Backup System, SMS
Server upgrade, upgrade of tape for MRD, upgrade/expand INSDIRECT System to
support increase in active cases.
11
Item: Comprehensive Telephone
Position
Amount
Center
Telephone Center
122
$31,450
Total
122
$31,450
In addition to strengthening the way we handle the information that related to our
customers internally, we have begun to create better ways of communicating with them
externally. We want to make sure that people do not have to come to an INS office every
time they need information. Although we have made some improvements in our phone
systems, it is still not good enough, particularly in the Western part of the country. We
have given our customers the option of telephoning a centralized information office or
using the Internet to get basic facts and forms, but both our Western Phone Center and
our Web site need to be improved.
In 1996, INS created two Phone Centers where customers can call for answers on
eligibility for benefits, application procedures and individual case status. The Eastern
Phone Center enables people for the fist time to call INS toll free 24 hours a day for
recorded messages and from 8-6 for personal assistance. In FY 1998, we planned to
made the same toll-free service available to our customers in the West, but had to reduce
the funding we had set aside for that due to priority issues in Naturalization application
processing.
We carefully monitor our performance at each of these centers because we want to deliver
service on par with industry standards. The industry standard is to answer calls within 45
seconds. We are close in the Contract Phone Center (Baltimore) at 1 minute but the
Eastern Phone Center at 6 minutes, and the Western Phone Center remains at 10 minutes.
Similarly, the average industry standards for those caller who hang up before their call is
answered is 2 percent, we are currently at 4 percent in the Contract Phone Center, 24
percent in Eastern Phone Center and 53 percent in the Western Phone Center.
This initiative includes 10 management staff, 112 information officers, and 274 contract
customer service representatives. This fully functional nationwide phone system (1-800)
is estimated to be able to handle 15 million calls per year to bring us to industry
standards--less than 1 percent busy rate and a wait time of less than 1 minute.
12
Item: Improve Records Program
Position
Amount
Records Program
$13,500
Total
$13,500
INS is in the process of centralizing all of INS' records (over 25 million files located in
80 different offices), so that we can improve the way we handle customer's case
information.
In November we asked Congress to approve a comprehensive plan to move our paper
records out of file rooms into a central facility where they will be reconciled with
information in our automated computer databases. This will allow INS to rely more on
electronic data available. Outdated, decentralized record keeping is the reason for lost
files--a problem that creates delays for people at the beginning and end of the application
process. For example, if we can't find a naturalization applicant's permanent file, our
Service Center must wait three months before creating a temporary file and moving the
application forward. If the permanent file is never found, that person's case must be
reviewed by a supervisor before it is granted--an extra step that can further slow the case.
Whether or not we centralize, resources in records will be required to invest in the field
offices to implement new and standardized procedures, a revised management structure,
and an oversight program. Part of the resources requested will provide the equipment and
training required to implement these.
Additional changes will need to be made to the current records locations in the areas of
the mailrooms, new shelving and auditing supplies, and other capital assets that will be
required by the changes in our customer operations because of backlog redcution and full
Direct Mail implementation.
Finally, we will be targetting specific records backlogs in the field that are part of the
Naturalization casework backlog such as overdue files requests, resolution of lost files,
and closing out of cases.
13
Position
Amount
Item: Customer Service
Customer Service
$3,000
Total
$3,000
A plan for instituting a customized, service-wide Customer Service Training has been
developed. The training programs described in the plan have been piloted in several field
sites. These pilots have taught us a great deal about the criteria that will be required in
order to make a positive, service-focused change in our culture. The following are the
three criteria.
Make the term "customer service" meaningful for each INS employee regardless of job
function. Many employees do not see a practical connection between their work and
customer service. Because of this, they tend to view leadership's vision as platitudes.
Use customer service as an organizing principle as INS moves toward significant changes
in its organizational structure.
Establish a strategic, long-term service improvement program that factors in all levels of
the organization. Involve top leadership in a structure to ensure coordination of all
service improvement efforts. This recognizes that customer service is not relegated to a
buffer group, but that it is integral to the way our business is run.
Position
Amount
Item: Claims 4 Development-
Non-Naturalization Applications
$15,410
Claims 4
Total
$15,410
Begin installing a new computer database and tracking system, called CLAIMS 4, that
will allow our offices to share individual case information and enable our staff and our
customers to quickly check the status of cases. It will also help strengthen our quality
assurance process by ensuring that cases move forward only when each step in the
application process is appropriately completed.
14
Position
Amount
Item: Quality Assurance
Quality Assurance
58
$9,070
Total
58
$9,070
Positions: The FY 1999 enhancements will allow INS to fully implement quality
assurance within the Naturalization process and expand coverage to the Service's other
benefits programs. Initial emphasis will be directed to the Adjustment of Status process
and records.
Information Systems Modifications: Some quality assurance functions can be
performed more productively through the use of automation to identify populations,
determine samples, develop processes to identify errors for correction, compile results,
and analyze data for assessment. During FY 1999, INS will identify the requirements and
design, develop, test, and field modifications to CLAIMS 4.0 to automate these functions.
In addition, INS will identify current and proposed information systems used in the
functions for which quality assurance procedures and instruments will be developed in
the out years, to begin systems planning and development of quality assurance functions.
Contract Support: Continued contractor participation in monitoring Naturalization
Quality Assurance and expand coverage into other benefits functions.
Travel: To support the general travel required for the requested staff.
Item: ICPS
Position
Amount
$2,400
Out source EAD Card Production
2,400
Out source INS ICPS Staff
100
Overtime for Card Production (SC)
Total
$4,900
In order to meet Employment Authorization Document (EAD) demand, it would be more
efficient and effective for the government to outsource card production to a contractor.
INS would provide the consumables and the task order for the contractor to produce the
card on an ICPS card production machine. Monthly card production estimates would be
140,000 cards and a cost/benefit analysis has already been commissioned by INS.
15
Overtime needs for ICPS operation will be great. It is estimated that the annual cost of
overtime will be $144,000 or half year cost of $75,000.
Currently, INS is dedicating 27 FTE's to the ICPS program. Under the current proposal,
the service centers would need a total of 15 FTE-P's and 48 FTE-O's, four lead operators
and 12 operators at each center to run a 24 hour shift, 7 days a week.
Item: Decentralize District Office
Facilities based on ASC locations
Position
Amount
Two Pilots
$800
Total
$800
In an effort to improve customer service, INS is redesigning the way services are
provided to its customers. INS will take advantage of new technologies and economies of
scale, and move much of the applications processing and provision of customer
information to large, centralized facilities where service can be provided more quickly,
cheaply, and in a standardized fashion. This will allow INS to change the role of the field
offices from having to provide all support services (i.e. records maintenance, application
data entry) to focusing on customer services that require face-to-face meetings or
outreach. Building on the success of the application support centers, INS will move
towards placing large numbers of smaller offices in close proximity to our customers.
These funds will pay for contract support to design the process flow and layout of these
smaller offices in order to provide service as quickly and efficiently as possible while
standardizing the look and feel of future field offices. In addition, the funds will pay for
the buildout and rent for two pilot offices.
INS wants to develop "Immigration Services" offices that will provide a range of services
from fingerprinting to interview to testing. Depending on community needs, some offices
may be configured as full-service centers and others will serve as satellite locations to
perform specific functions. Like the application support centers, these offices will be
located in immigrant communities, where public transportation and parking is accessible.
Each is being designed with standard, customer-friendly features, like comfortable
waiting areas, clear signage and some evening and weekend hours.
16
Item: Field Office ADP Support
Position
Amount
ADP Support
$12,870
Total
...
$12,870
Increase field Office ADP support to average office support of less than 1:60 (52 ADP
staff). Specifically for large offices, a 1:60 and Service Centers (12 per Service Center).
This support will provide onsite help desk services, network administration, local systems
backups, and troubleshooting. This will allow the offices to keep pace with the additional
automation that has been provided to the field in support of a more modernized
application and adjudication process.
Item: Re-engineering Business
Process of Other Applications
Position
Amount
Naturalization Testing
...
$5,000
N-400 Production
...
1,200
N-400
2,000
Total
...
$8,200
INS will establish an interagency agreement with the Department of Justice to provide
contractor support for INS' efforts to re-engineer all benefit applications, and continue
KPMG reviews. INS used this method to re-engineer the Naturalization process in FY
1998. The continuation of this project will provide for standardization of operating
systems, methods, and tools to complete all adjudication application processes.
The contractor will be required to examine program organization, facilities issues,
information and computer technology, organizational culture, external and internal
communications, and the management structure. This will enable a new process and
realize benefits through integrated project coordination and management to address the
wide range of implementation issues. This process will enhance integrity, streamline
processes, reduce paperwork, and improve customer service.
17
Item: Revocation
Position
Amount
Legal Proceedings
Examiners
20
$1,900
Investigators
19
2,451
Contract Interpreters
188
Total
39
$4,539
As of June 8, 1998, the central revocation unit has finalized 3,968 of the approximately
6,300 cases referred from the various audits conducted by KPMG Peat Marwick, Justice
Management Division, and INS. NOIR's have been issued in 2,507 cases, and 1,461
cases are not legally sufficient to proceed with revocation. More than 1,400 responses
have been received to date, and more than 650 hearings have been requested, with more
than 100 having been held. The central revocation unit has issued forty-six final
decisions, six cases affirming naturalization, twenty-seven cases terminating
administrative proceedings, and thirteen cases revoking naturalization. Although policies
and procedures for revocation hearings and final decisions have been developed, our
resources are currently devoted primarily to the issuance of NOIR's within the two year
limitations period. We remain on target to issue all legally sufficient NOIR's in a timely
manner.
An additional 20 examiners will be deployed to those districts with the largest revocation
caseload. Personnel already designated and trained in revocation will remain as the full-
time revocation examiners as there is inadequate resources and time to retrain new
personnel. These examiners must be assigned full-time for revocation cases, whether on
detail or back in their home district.
Also, 19 investigators will required in those districts where the revocation caseload is the
greatest. These investigators will be responsible for coordinating service of NOIR
backlogs in the district, and working with exams and counsel to ensure that all necessary
follow-up investigation is performed on all revocation cases, whether at the
administrative or judicial revocation phase.
In many cases, interpreters will be necessary to hold a meaningful hearing in a revocation
case. Service personnel are often not able to adequately perform this function in an
independent manner. Thus, it is necessary to contract with professional organizations to
provide interpreters as necessary. An estimate of the need for interpreters indicates that
as many as 750 cases may require their services.
18
Item: Revocation
Position
Amount
Legal Proceedings
Examiners
20
$1,900
Investigators
19
2,451
Contract Interpreters
188
Total
39
$4,539
As of June 8, 1998, the central revocation unit has finalized 3,968 of the approximately
6,300 cases referred from the various audits conducted by KPMG Peat Marwick, Justice
Management Division, and INS. NOIR's have been issued in 2,507 cases, and 1,461
cases are not legally sufficient to proceed with revocation. More than 1,400 responses
have been received to date, and more than 650 hearings have been requested, with more
than 100 having been held. The central revocation unit has issued forty-six final
decisions, six cases affirming naturalization, twenty-seven cases terminating
administrative proceedings, and thirteen cases revoking naturalization. Although policies
and procedures for revocation hearings and final decisions have been developed, our
resources are currently devoted primarily to the issuance of NOIR's within the two year
limitations period. We remain on target to issue all legally sufficient NOIR's in a timely
manner.
An additional 20 examiners will be deployed to those districts with the largest revocation
caseload. Personnel already designated and trained in revocation will remain as the full-
time revocation examiners as there is inadequate resources and time to retrain new
personnel. These examiners must be assigned full-time for revocation cases, whether on
detail or back in their home district.
Also, 19 investigators will required in those districts where the revocation caseload is the
greatest. These investigators will be responsible for coordinating service of NOIR
backlogs in the district, and working with exams and counsel to ensure that all necessary
follow-up investigation is performed on all revocation cases, whether at the
administrative or judicial revocation phase.
18
In many cases, interpreters will be necessary to hold a meaningful hearing in a revocation
case. Service personnel are often not able to adequately perform this function in an
independent manner. Thus, it is necessary to contract with professional organizations to
provide interpreters as necessary. An estimate of the need for interpreters indicates that
as many as 750 cases may require their services.
Position
Amount
GRAND TOTAL
873
$221,600
19
Immigration and Naturalization Service
FY 1999 Budget Package
(Dollars in Thousands)
Assumption I:
Assumption II:
Assumption III:
-- New Fees implemented on
-- New Fees implemented on
October 1, 1998
-- New Fees implemented on
November 1, 1998, loss of $55,000
December 1, 1998, loss of $83,000
Examinations Fee Account--
Examinations Fee Account--
Examinations Fee Account--
-- Available Resources
$57,000-$97,000*
-- Available Resources
$1,600-$41,600
-- Available Resources
$-26,000 - $14,000
Note: General base reduction due to delay in new fees and
preliminary indication of a reduction in Naturalization applicants
Projected Obligations
$57,000-$97,000
Projected Obligations
$1,600-$41,600
--Projected Obligations
$-26,000 $14,000
Appropriated Resources--
Appropriated Resources--
Appropriated Resources--
Salaries and Expenses
$164,600-$124,600
Salaries and Expenses
$222,000-$180,000
Salaries and Expenses
$247,600-$207,600
Total Reproramming Request
$221,600
Total Reproramming Request
$221,600
Total Reproramming Request
$247,600
* NOTE: Range is based on early indications that Naturalization applications receipts may be lower than anticipated for FY 1998 and FY 1999.
June 24, 1998
what
recerent thave
Immigration and Naturalization Service
(in budget) Including
Examinations Fee Account
FY 1999 Reprogramming Requirements
(Dollars in Thousands)
Item
Pos
Amount
Staffing Backlog
Adjudication and Naturalization
Naturalization
300
$26,009
Adjustment of Status
190
10,571
Clerical Support (Natz and Adj of Status)
7,500
Overtime
6,850
Oaths
2,401
Clelan-up and Address Correction
3,200
Reprint expired fingerprint
2,225
IRM
790
Subtotal
490
59,546
Service Centers
Service Centers
3,200
IRM
145
...
Subtotal
3,345
Direct Mail - Final Phase
Facilities
12,000
INS Staff
164
11,508
Contract Staff
6,000
IRM
16,212
Remaining Office deployment that need
...
9,250
high end TIP
Subtotal
164
54,970
Comprehensive Telephone Center
Telephone Center
122
31,450
Improve Records Program
Records Program
...
13,500
Customer Service
Customer Service
...
3,000
Claims 4 Development - Non-Naturalization
Applications
Claims 4
15,410
...
Quality Assurance
Quality Assurance
58
9,070
ICPS
Out source EAD Card Production
2,400
Out source INS ICPS Staff
2,400
Overtime for Card Production (Service Center)
100
...
Subtotal
4,900
...
Decentralize District Office Facilities based
on ASC Locations
Out source EAD Card production
800
Field Office ADP Support
ADP Support
...
12,870
Re-engineering Business Process of Other
Applications
Naturalization Testing
5,000
N-400 Production
1,200
N-400
2,000
Subtotal
8,200
Revocation
Staff
39
4,539
Total
873
221,600
Revised: June 10. 1998; based on March 18. 1998 Fee Projection Group Meeting
EXAMS FEE ACCOUNT PROJECTED BALANCES
FYs 1996, 1997, 1998 and 1999
(DOLLARS IN MILLIONS)
Administratively Confidential
New Fees: October 1998
FY 1997
FY 1998
FY 1999
FY 2000
Actual
Projected
*
Projected
Projected
Carryover Balance: Regular Exams
238.9
228.0
0.0
49.5
Carryover Balance: Land Border
13.1
230
18.9
15.3
Receipt Projections:
Regular Exams Receipts: I/
Naturalization
162.5
351.3
351.3
Other Adjudications
290.4
452.4
458.4
245(i)**
39.8
45.8
45.6
Proposed Fingerprint Surcharge I/
40.8
56.2
562
Subtotal
$630.6
533.5
905.7
9115
Fees for Services Receipts:
Fees for Services
19.7
19.1
19.1
New Fees:
CIPRIS
7.8
NACARA
12
Subtotal
$0.0
$0.0
$0.0
$19.8
Recovery of Prior Year Obligations
11.9
5.7
Total Resources Available
$881.4
$809.9
$943.7
$1,015.2
Obligations
Exams Account
$487.0
$547.7
$561.3
$566.3
Fee for Services (Includes NIIS Reprog.)
$23.8
$22.6
$17.2
Conference Agreement for FY97 Budget:
(Transfers funding from VCRTF to Exams Fee)
Asylum Processing
$29.6
Automation/Infrastructure for Exams Programs
$26.9
FY 1997 First Reprogramming (appv'd 2/97)
$48.7
$19.7
FY 1997 First Reprogramming (Appvd 2/97)
($1.8)
Adjustment for First Reprogramming based on
Congressional Action
FY 1997 OIG Reprogramming
$4.0
$3.7
$37
$3.7
FY 1997 Second Reprogramming
$34.3
Subtotal. Base Resources
$593.1
$587.6
$587.2
Annualization of Approved Reprogramming
$34.3
$0.0
$0.0
DOJ Oversight
$5.0
$0.0
$0.0
Total, Base Obligations
$632.4
$587.6
$587.2
Congressional Action on FY 1998 Budget:
Program Increases
$196.1
$205.3
$205.3
Base Reductions
($1.9)
Base Realignment
($38 1)
($38.1)
($38.1)
FY 1998 Reprogramming OIG
$2.5
Total, Congressional Action
$158.6
$167.2
$167.2
FY 1999 Preliminary Reprogramming
$97.6
$84.6
FY 1999 Budget Request
$26.5
$26.5
Total Estimated Obligations
$630.5
$791.0
$878.9
$865.5
$66.6
Carryforward
$250.9
$18.9
$64.8
$83.1
*Source for revenue projection: The fee group projections of March 18. 1998
Assumes $130 application fee and $75 of $1,000 penalty fee to cover costs of processing 245
application after Jan. I, 1997 (H.R. 2202) (General Counsel's legal opinion dated 1/14/97)
^Source: SF-133 Report on Budget Execution (9/30/97).
/1 Assumes that the new fees go into effect on October 1998. Also assumes that a $25.0 surcharge for
fingerprinting process in April 1998 for benefit applications.
12 The obligations for FY 1998 congressionally approved FY 1998 budget requests and reprogramming items
13 Assumes the continuation of 245(i) for eligible applicants who have apps pending for (I-130) by Jan. 14. 1998.
EXAMS
06/22/98
FY 1998 EXAMS FEE ACCOUNT OBLIGATIONS
(DOLLARS IN THOUSANDS)
FY 1998 TOTAL OBLIGATIONS:
$785.3
MINUS CONGRESSIONAL MANDATES:
International Affairs
-74.7
Cuban Haitian Entrance Program
-10.2
Data and Communications
-29.6
DOJ Oversight
-5.0
Inspector General
-3.7
Subtotal Congressional Mandates
-123.2
REMAINDER
$662.1
MINUS ENHANCEMENTS:
Adjudications
-126.3
Data and Communications
-10.7
Info and Records
-57.8
Construction and Engineering
-0.2
Management and Administration
-1.1
Subtotal Enhancements
-196.1
REMAINDER
$466.0
MINUS ADJUDICATIONS:
Adjudications
-277.6
Information and Records Management
-99.5
Subtotal
-377.1
REMAINDER
$88.9
OTHER SUPPORTING PROGRAMS:
Management and Administration
-8.2
Data and Communications
-42.0
underfunded
Legal Proceedings
-6.8
all
Inspections
-17.5
Investigations
-9.6
Intelligence
-1.1
Construction and Engineering
-0.4
Training
-3.3
Subtotal
-88.9
REMAINDER
$0
Immigration and Naturalization Service
Status of Examinations Fee Account
Exams Fee Account Review--
INS performed a detailed review of the Exams Fee Account to comply with the Congressional
mandate to redirect five percent of the account's base budget toward the naturalization initiatives.
The Exams Fee account review resulted in a $38.1 million base reallocation. The review focused
on FY 1998 spending for all programs to ensure that resources were available to continue with
the improvements in the Naturalization program, to continue with the Service-wide records
centralization project, and to provide the required funding for the fingerprint program. A
Congressional notification of the base reallocation is currently being prepared by the Department
of Justice.
Revenue Received as of April 30, 1998--
As of April 30, the Exams Fee Account has collected a total of $271 million in application fees,
of which $158,656 is from fees charged for fingerprint processing. The revenue collected to date
is 49 percent of the current $513.4 million projection. The following is an explanation of
legislative changes and impact of delayed fee implementation on the Exams Fee account.
Legislative changes for 245(i) - Section 245(i) of the INA allowed aliens who
have a current immigration visa number, but who are unlawfully in the United
States to remain and adjust their status on payment of a $1,000 penalty. This
section of law was terminated on January 14, 1997, except for those aliens whose
sponsors have filed an immigrant visa petition with INS, or an application for
labor certification in accordance with Department of Labor regulations. This
change decreased the projected volume of applications by 14 percent from
FY 1997 to FY 1998 to a total of 214,575.
Delayed Implementation of New Fees - The projected level of resources ($513.4
million) for the Exams Fee account has already been reduced by approximately
$57.4 million based on the revised schedule for the implementation of new fees
compared to the November 1997 estimate when fees were expected to be
implemented by August 1, 1998. If the implementation of new fees are not
May 28, 1998
Immigration and Naturalization Service
effective at the beginning of FY 1999, it will have the following impact on the
Exams Fee account:
Implementation of new fees in October - The revenue collected will
provide additional resources that will allow INS to reprogram $97.6
million to address backlog reduction in naturalization applications.
Implementation of new fees in November - The revenue collected will
be reduced by $55.4 million, a 7 percent decrease in revenue from the
projected level if the new fees were implemented in October. The Exams
Account will have to reallocate base resources even further to cover the
revenue shortfall, or reduce the amount of resources planned in the FY
1999 reprogramming request for improvements in the processing of
naturalization applications.
Implementation of new fees in December - There will be an $83 million
reduction in revenue received, a 9 percent decrease in revenue from the
projected level if new fees are implemented in October. This level of
funding would eliminate the possibility of requesting a FY 1999
reprogramming request for reducing the backlog in naturalization
applications, and reaching a 10 month processing goal.
Implementation of new fees in January - A decrease of $110.7 million,
a 13 percent loss of revenue from the current projected level if the new
fees are not implemented until January 1999. The Exams Fee account
would not have the $97.6 million currently projected in FY 1999 for a
reprogramming to address backlog reduction in naturalization applications.
In order to provide funds to address backlog reduction, and the FY 1999
budget request, a base reallocation of $89.6 million would be required. A
loss of revenue of this amount, would halt the progress that INS has made
in improving the naturalization process and result in a large number of
terminations for temporary employees and would eliminate any possibility
for INS to reach a 10 month goal for processing naturalization
applications.
May 28, 1998
Immigration and Naturalization Service
FY 1998 Appropriation--
The FY 1998 Appropriation provided an increase of $196.1 million in the Exams Fee account to
address naturalization initiatives. The status of these initiatives is listed below:
CLAIMS System ($5,210,000) - Software development is mostly complete and
CLAIMS 4.0 is being piloted at the Nebraska Service Center and the Chicago
District Office. While CLAIMS 4.0 is not yet performing optimally in either
pilot, software changes continue to improve. Simultaneous, CLAIMS IV has been
deployed to Texas and California Service Centers, they are processing some
applications through CLAIMS 4.0. INS expects to deploy CLAIMS 4.0 to the top
6 cities (Chicago, Miami, Los Angeles, San Francisco, New York City, and
Newark) and their sub-offices by the end of FY 1998. Sixty-five percent of their
workload will be processed through CLAIMS 4.0.
Records Centralization ($11,096,000) - INS is fully prepared to implement this
project. A notification was forwarded to congress on November 6, 1997 and INS
is awaiting Congressional approval on the location of the facility. Therefore, the
vast majority of these resources ($9.1 million) are held in abeyance awaiting
congressional approval. However, plans are underway to utilize these resources to
invest in efforts that promote the underlying goals of the RAPID Project. INS will
invest in projects that address fundamental records problems that affect the
Service as a whole rather than invest in piecemeal, temporary solutions at selected
sites.
Central Index System ($1,250,000) - resources have been allocated to enhance the
Central Index System. IN FY 1998, there is a total of $2.6 million ($1.3 million
in base resources and $1.3 million from FY 1998 program enhancements)
available for CIS, as of April 30, $1.6 million has been obligated.
Records Contract Support ($4,800,000) - resources has been allocated to provide
funds for additional records contract support in district offices and the
proportionate amount of obligations should be occurring throughout the year. As
of April 30, $2.2 million has been obligated.
May 28, 1998
Immigration and Naturalization Service
Naturalization Ceremonies ($5,273,000) - $3.2 million has been allocated for oath
ceremonies and $2.1 million has been allocated for administrative ceremonies, of
which $300,000 has been obligated. A total of $5.8 million has been obligated for
oath ceremonies as of April 30, this amount includes FY 1998 program
enhancements and base resources.
Fingerprint Requirements (130 positions and $67,000,000) - 75 Application
Support Centers (ACS), 51 ASCs co-located within existing INS offices, 44
mobile routes, and 38 designated law enforcement agencies operating under sole
source agreements with INS will take all fingerprints for all immigration benefits
applications requiring a FBI background check. A $25 application fee is being
collected for fingerprint processing. INS has purchased 100 live scan fingerprint
machines and intends to purchase approximately 300 additional machines, once a
cost benefit analysis of vendors is complete. All 130 positions have been added to
the POST system and recruiting actions are under way.
400 Term Positions ($38,287,000) - Term positions were provided to convert 400
temporary positions to term appointments to process naturalization and
adjustment of status applications. Of the 400 term positions, 213 are on-board as
of May 12, 32 selected and 54 are in recruitment process.
Quality Assurance (121 positions and $10,913,000) - Resources were provided for
quality assurance staff to-oversee processing of naturalization applications and to
provide for the continued audit of the procedures. Of the 121 positions, 60
positions have been deployed to the field, 3 positions to Regional Offices, 11
positions to Internal Audit. The remaining 47 positions are being added to POST
for recruitment action. Five positions in Internal Audit and 2 positions in the
Office of Naturalization Operations are pending Congressional notification.
Direct Mail (125 positions and $33,169,000) - All 80 offices have been
transitioned to Direct Mail for all new naturalization applications filed. All
125 positions have been added to POST and 85 are on-board as of April 30.
The remaining 40 positions are in the recruitment/hiring process.
May 28, 1998
Immigration and Naturalization Service
$14,081,000 for overtime and Service Center contract support to address
naturalization backlogs and processing times has been allocated. Only $1.3
million has been obligated as of April 30; however, there are plans currently being
developed to allocate the remaining resources to the field.
Texas Service Center ($1,900,000) - $200,000 has been allocated to the
Construction and Engineering program and the remaining $1,700,000 to the
Adjudication and Naturalization program for the expansion of the Texas Service
Center. As of April 30, $1.3 million been obligated for computers, 2D bar code
readers, other miscellaneous equipment and facility expansion.
Based on current receipt and planned expenditures carryover into FY 1999 is expected to be
minimal. The only known item for which we do not expect to obligate all of the available
funding in FY 1998 is the FBI fingerprint reimbursement. As a result of electronically
submitting prints to the FBI we anticipate savings in the range of $8 - $10 million, part of which
will be used to fund DFS refunds and costs of the Kentucky ICPS facility.
May 28, 1998
FY 1998 EXAMS FEE ACCOUNT BUDGET
(DOLLARS IN THOUSANDS)
MANDATORIES:
$60.5
Rent
FTS-Voice
FTS-Data
Postage
Payroll System
Accident Compensation
Unemployment Benefits Billings
SET-ASIDES:
34.5
Repairs and Alterations
Employee Relocations
Personnel Security Re-investigations/Background investigations
Labor-Management Partnership Activities
EEO Complaint investigations
Medical Examinations for new employees
Office Moves
INS Forms
Occupational Health and Safety Program
Overseas Rotation
Recruitment
Furniture
Computer Workstations
Department of State Overseas Medial Examinations
Basic Officer training and journeyman officer training
Drug Free Workplace Program
Employee Assistance Program
RECURRINGS:
13.7
Leases (Copiers, storage, non-GSA buildings, Overseas housing contracts, tank rentals, repeaters)
Utilities, Commercial telephone
Messenger/Guard and Armored Car Services
maintenance (equipment, copiers, phones, misc.)
Overseas tuition assistance/home leave
Vehicle Insurance
Boats/Planes/Vehicle Parking/ Storage
Firing Range
PERSONNEL SALARIES & BENEFITS:
287.2
GENERAL EXPENSES:
227.2
SPENDING PLAN ITEMS:
162.2
TOTAL FY 1998 BUDGET:
$785.3
June 25, 1998
FY 1998 EXAMS FEE ACCOUNT ALLOCATIONS BY CATEGORY
(DOLLARS IN THOUSANDS)
General
Spending
Program
Mandatory
Set Asides
Recurrings
PS&B
Expense
Plan Items
Total
Inspections
481
163
588
15,615
3,615
175
20,637
Investigations
1,269
395
6
7,751
197
9,618
Intelligence
70
55
840
80
75
...
1,120
Adjudication and Natz.
36,622
21,385
9,899
166,242
96,309
71,476
401,933
International Affairs
6,421
790
1,071
42,743
29,075
5,064
85,164
Training
70
33
...
1,630
1,581
...
3,314
Data and Communications
2,676
7,091
8
4,377
46,923
21,447
82,522
Information and Records
11,209
3,544
2,113
35,046
36,221
63,796
151,929
Construction and Engineering
11
203
96
90
400
...
...
Legal Proceedings
484
116
2
5,740
353
...
6,695
Management and Administration
1,166
739
39
7,156
12,732
178
22,010
Subtotal
60,479
34,514
13,726
287,236
227,176
162,211
785,342
FINAL
U.S. Department of Justice
IMMIGRATION AND NATURALIZATION SERVICE
Washington, DC 20536
Contact: Media Services
NEWS RELEASE
Office of Public Affairs
(202) 514-2648 Fax: (202) 514-1776
Internet: www.ins.usdoj.gov
November 14, 1997
INS Announces New Naturalization Process and Fingerprint Policy
To Ensure Integrity and Improve Customer Service
WASHINGTON - With passage of the 1998 Department of Justice
Appropriations bill late yesterday, the Immigration and Naturalization Service (INS)
announced that once the President signs the bill it will receive funding necessary to
make critical improvements to the naturalization process. These improvements will
help guarantee the integrity of the citizenship program, improve customer service, and
ultimately reduce the backlog of pending cases. One of the most important components
of the improved process is a new fingerprint policy.
According to INS Commissioner Doris Meissner, "The new funding Congress
has provided to continue building our infrastructure and change our fingerprint
process will make a dramatic difference in our ability to provide better customer service
and guarantee integrity in granting citizenship."
New Streamlined Fingerprinting Policy
Under the new system, naturalization applicants will be required to be
fingerprinted by INS after they have filed their applications, instead of submitting
fingerprints at the time they file. Under the existing system, INS accepts fingerprints
taken by Designated Fingerprint Service (DFS) entities and by law enforcement
agencies. The new policy will effectively terminate INS' DFS program. Under the
terms of the legislation, the new policy will become effective seven days after being
signed by the President.
Under the new policy, fingerprints for citizenship applications will now be taken
at INS fingerprinting centers, known as "Application Support Centers" (ASCs). The
first ASCs are scheduled to open in the coming weeks.
INS will contact citizenship applicants by mail after it receives their applications.
The letter designates a specific window of time in which applicants should come in to
an ASC to have their fingerprints taken.
By taking fingerprints in-house, INS will be better able to prevent fraud and
improve efficiency. The new procedures will help INS move toward its goal of
ensuring that biographical information about each applicant is captured correctly, that
(more)
INS Announces New Naturalization Process and Fingerprint Policy
Page2
the fingerprints are those of the applicant, and that the prints are clear enough to be
read by the Federal Bureau of Investigation (FBI).
Under the DFS system, the majority of fingerprints were rejected due to
incomplete or inaccurate biographical information or administrative errors. As a result,
many applicants required multiple reprinting, delaying the completion of their FBI
background checks. The new system will greatly reduce inconvenience to applicants of
having to retake their prints and it will reduce the further delays caused by the need to
have them resent to INS and then on to the FBI.
The new fingerprinting process will not increase an applicant's waiting time
because the background check will be completed during the time the applicant would
normally wait for an interview to be scheduled. The new procedures for processing
fingerprints will reduce the turnaround period for completing FBI background checks.
"These changes are important steps toward our goal of processing applications
in a timely fashion," Meissner said, "while also ensuring that the background checks are
complete. We know that in the last year, the increasing number of citizenship
applications, combined with the procedures we put in place to ensure integrity, have
slowed down the process. This has caused some understandable frustration among the
people we serve. We ask for their continued patience as we make a transition to a better
system."
New Fingerprinting Instructions for Individuals Applying
For Other Immigration Benefits
Applicants for benefits other than naturalization will be able to continue to
obtain fingerprints from law enforcement agencies that have registered with the INS. In
order to minimize the impact of the elimination of DFS services, INS has signed up an
additional 250 law enforcement agencies as fingerprint sites in the last several weeks.
Applicants for all benefits will eventually be able to have their fingerprints taken by INS
as the new ASCs open.
Application Support Centers in Immigrant Communities
To Take Fingerprints
In the next several weeks, INS will begin to open Application Support Centers in
the six major metropolitan areas-Chicago, Los Angeles, Miami, Newark, N.J., New
York and San Francisco-that account for approximately 70 percent of citizenship
applications. Over the course of the next several months, INS plans to open more than
80 offices nationwide. It will choose sites by taking into account the density of
immigrant populations; availability of public transportation, highways and parking;
and accessibility for people with disabilities. INS is now working with state and local
governments and community-based organizations to identify appropriate locations.
(more)
INS Announces New Naturalization Process and Fingerprint Policy
Page 3
The Application Support Centers will be staffed by contractors whose function
initially will be solely to take fingerprints. They will be hired and trained by INS,
cleared by the FBI, and overseen by INS personnel.
"In addition to improving integrity and efficiency, our focus at these
neighborhood-based fingerprint centers will be on providing better customer service,"
Meissner said. "We will have weekend and evening hours to make the services as
convenient as possible."
INS aims to ensure that accessibility to fingerprint services is not significantly
diminished by the new fingerprint policy. It is establishing a fleet of vans that will
serve as mobile fingerprinting centers, in addition to the permanent sites. The vans will
make regularly scheduled visits to areas not served by the Application Support Centers.
INS plans to work with local communities to arrange stops for homebound applicants,
those in nursing homes, and others with special needs. INS is also prepared to fill gaps
in coverage by supplementing mobile services with support from existing INS facilities
and law enforcement agencies.
According to Meissner, "We believe that we can provide sufficient coverage
throughout the country so that people who need to submit fingerprints to apply for
immigration benefits will be able to obtain fingerprinting services within a reasonable
distance of their homes."
Technology to Improve Fingerprinting
INS has developed and is now testing new systems for streamlining the
fingerprinting process, including:
Electronic fingerprint machines that will help to reduce errors in printing that
occur manually; and
Bar codes on fingerprint cards and applications that ensure the results of FBI
background checks are correctly linked to applications; use of the bar codes also will
reduce the number of cases delayed by manual data entry errors.
Restructuring the Process Using Automation and Standardization
In addition to the new, streamlined fingerprint process, new infrastructure and
technology will help improve the integrity of the naturalization application process and
make it more efficient.
Up-to-date computer systems in all offices that handle naturalization applications
by the end of December. Six months ago, half of the offices handling naturalization
applications lacked adequate computer systems.
New CLAIMS 4.0 software to process all naturalization applications. This software
program has been designed to ensure consistency and includes checks and balances
that prevent applications from moving forward before all of the necessary steps
(more)
INS Announces New Naturalization Process and Fingerprint Policy
Page 4
have been completed, including the FBI background check. This software will
generate receipts for applicants and will make it possible for INS to implement a
variety of methods for applicants to obtain information on demand about the status_
of their cases.
Expansion of direct mail, under which an application is sent directly to one of INS'
highly automated Service Centers for clerical processing, allowing INS district
offices to focus on conducting interviews.
Backlog Reduction
In addition to various technological and process improvements, INS is taking a
number of critical steps to reduce the backlog of pending citizenship applications.
INS is now developing individualized backlog reduction plans for each of its
district offices. The plans, which will be completed by December 31, involve analyzing
critical problems and redirecting resources as needed to resolve those problems. The
new legislation also provides funds to INS to hire additional staff to help address the
backlog.
Meissner said that despite the growing backlogs in pending naturalization cases
and the new supervisory checks that were instituted to ensure integrity in the
citizenship process, the agency had actually completed more than 700,000 cases in fiscal
year 1997-a larger number than in any previous year except 1996.
Background
By 1996, INS was faced with an unprecedented increase in citizenship
applications. Receipts historically at the 300,000 level annually had risen to more than
1.2 million in 1996. INS became aware that its systems did not permit the agency to be
certain that each applicant's FBI background check had been completed prior to INS
granting citizenship. An INS' review overseen by KPMG Peat Marwick, an outside
auditing firm, of the 1.049 million naturalizations granted between August 1995 and
September 1996 found that approximately 6,000 cases required further review to
determine if revocation is appropriate. We have identified approximately 300 cases
who appear to have disqualifying felony convictions and we are reviewing the
remaining 5,700 cases for potential misrepresentations or other disqualifying
conditions.
INS received more than 1.6 million citizenship applications in the fiscal year
ended September 30, 1997, an increase of 34 percent over 1996.
- INS -
U.S. Department of Justice
IMMIGRATION AND NATURALIZATION SERVICE
QUESTIONS AND ANSWERS
11/14/97
New INS Fingerprint Procedures for Naturalization
NOTE: These questions and answers have been prepared in anticipation of expected enactment
of the Department of Justice's appropriations bill for FY 1998. Answers may be subject to some
changes depending on final language in the law. This document supplements INS-prepared
materials that provide an overview of the new naturalization fingerprinting procedures.
Q. What are the new procedures?
A. As part of its effort to make critical improvements to the naturalization process, INS
is establishing a new fingerprinting policy. The new policy took effect when the
President signed into law the Department of Justice FY 1998 appropriations bill,
which requires INS or Law Enforcement Agencies (LEAs) to take fingerprints for
individuals applying for immigration benefits. Under the new procedures, a
naturalization applicant will submit his application to INS without including the
fingerprint card (FD-258) that was formerly completed by an outside entity known
as a Designated Fingerprint Service (DFS). The new legislation terminates the DFS
program. INS will send the applicant a notice indicating the INS location where the
applicant should go for fingerprinting and the time period in which he should
appear. The applicant must bring this notice when he comes for fingerprinting. INS
will submit the fingerprint card to the Federal Bureau of Investigation (FBI) for a
background check, which will be completed before the applicant is scheduled for his
naturalization interview.
INS is opening more than 80 new Application Support Centers (ASCs) nationwide to
facilitate the fingerprint taking process. In addition, mobile units will provide
fingerprint services to areas where the application volumes do not warrant opening
permanent sites and to meet special needs of the elderly, persons with disabilities,
and community groups. The first ASCs will open before the end of the year in the
six INS districts that handle more than 70 percent of the naturalization applications:
Chicago, Los Angeles, Miami, New York, San Francisco and Newark, N.J. INS
anticipates opening all new ASCs across the country by February 1998.
Q. If an applicant submits his application with a fingerprint card after the legislation
is signed, what happens?
A. The new law allows INS to accept naturalization applications submitted with
fingerprint cards up to 7 days after the law becomes effective. INS will process all
such applications that have been appropriately submitted to the INS by the seven-
day deadline. This means that those applications required to be mailed to INS
Service Centers or district offices must be postmarked before that deadline.
Applicants who intend to submit fingerprint cards with their applications are
Prepared by the Office of Public Affairs (202) 514-2648
New INS Fingerprint Procedures for Naturalization
Page 2
strongly encouraged to send their applications to INS as soon as possible to comply
with the seven-day deadline.
Q. Will applicants who have already filed their applications with fingerprint cards
be affected by the new fingerprint legislation?
A. No. The new fingerprinting procedures will apply only to people who file their
naturalization applications more than 7 days after the effective date of the
legislation, and to those individuals who filed before that date, but for whom INS
has not received an acceptable fingerprint card. The new procedures will not apply
to pending cases where acceptable fingerprint cards are already on file with the INS.
Applicants who have had their fingerprint cards rejected and have not submitted
acceptable replacement cards should either submit new DFS fingerprint cards prior
to seven days after the enactment of the new legislation or wait for an INS
fingerprint scheduling notice.
Q. What are the benefits of these new fingerprinting procedures?
A. They will help ensure that overall integrity and improved customer service are
restored to the naturalization process. The applicant identification information on
the fingerprint card masthead will be dramatically improved. In the past, the vast
majority of fingerprint card rejects were attributable to problems with the masthead
data and the poor quality of the prints. Rejects caused significant delays in
processing and long waits for applicants. INS will also hire, train and oversee all
contractors who will work at ASCs. INS personnel will oversee the positive
identification of applicants in each location. Automated software will be used to
enter biographical data on the fingerprint cards, eliminating the problems of
inaccurate, incomplete or illegible information.
The integrity of the process will be further protected because INS and the FBI will
retain custody of the fingerprints after they are taken, rather than the card being
returned to the applicant for filing. Applicants will not be burdened by frequent
requests to resubmit better quality fingerprint cards, by the time and financial costs
associated with such refingerprinting, and by the consequent delays to obtaining
U.S. citizenship. The new fingerprinting procedures will not increase the applicant's
waiting time since the background check will be completed during the time an
applicant would have been waiting for an interview to be scheduled.
Q. Why do you say that the new procedures will not result in an applicant waiting
longer for his naturalization interview?
A. The new fingerprinting procedures will not increase the applicant's waiting time
because INS will complete these new procedures and the FBI background check on
new applicants within, or before, the current waiting time for interviews within their
districts. INS districts will continue to interview applicants in their pending
caseloads first, and this will permit time to complete the fingerprinting of new
applicants before their interview time arrives. As processing returns to the
New INS Fingerprint Procedures for Naturalization
Page 3
historically accepted six-month period, INS will complete fingerprint taking and
background checks within that period due to new procedures and automated
technology.
Q. If a person has an application pending with the Service, but has received a
rejection notice for his DFS/LEA fingerprint card, what should he do after the
legislation is effective?
A. INS will send a fingerprint scheduling notice to those applicants with pending N-
400s for whom the Service does not already have an acceptable fingerprint card on
file. The applicant should follow instructions in the notice. INS recognizes that
these applicants, in some cases, have been waiting long periods. We will make
every effort to send out these scheduling notices as rapidly as possible to avoid
further delays to applicants.
Q: Will applicants still be served on a first-come, first-served basis?
A. Yes. Applicants will be scheduled for fingerprinting in chronological order
according to the date that INS receives their application.
Q. How soon should applicants expect to be notified of when and where to get
fingerprinted?
A. Applicants will begin to receive scheduling notices from within a few days of the
INS receipt of their application up to approximately 90 days, depending on
application volume in the particular district and opening dates for the new
stationary and mobile fingerprinting centers.
Q. How will fingerprint appointments be made, and how will you prevent long lines
and delays at the new fingerprint centers?
A. INS will send new applicants a notice scheduling them for fingerprinting at either an
Application Support Center (ASC) or a mobile van unit. At ASCs, the applicant will
be requested to appear for fingerprinting during a designated week during the ASCs
hours of operation. We are providing extended hours to provide better customer
service and reduce lines and waiting times. ASCs will be open from 9:00 a.m. - 8:00
p.m. on Tuesdays and Thursdays; from 9:00 a.m. - 5:00 p.m. on Wednesdays and
Fridays; and from 8:00 a.m. - 2:00 p.m. on Saturdays, excluding federal holidays.
These varied hours of operation and the opportunity to appear throughout the
designated week are designed to accommodate applicants as much as possible. INS
will monitor and control the weekly scheduling so as to prevent delays and
excessive lines. INS will also provide applicant scheduling options for the mobile
units to provide additional flexibility, while also ensuring that these units are
utilized to maximum efficiency.
New INS Fingerprint Procedures for Naturalization
Page 4
Plans for the mobile units will be tailored to the specific needs of each INS district
and the communities they will serve. In developing these plans, INS will continue
working closely with state and local governments and organizations that assist
citizenship applicants. The combination of both mobile and stationary sites, with
the flexible scheduling features described, has been designed to provide wide
coverage that will sufficiently meet the service needs of applicants within each
district. We will continue to monitor the processing times at each ASC, and adjust
resource levels as needed to ensure wait time is minimized.
Q. How were the new fingerprint sites selected? Won't the change from the 3,800
current DFS sites to fewer than 100 INS fingerprint facilities cause inconvenience
to applicants?
A. INS is basing its site locations principally on a geographic, zip code analysis of
applicant pool residences. There will be multiple sites in large cities that are easily
accessible, located near public transportation and compliant with all laws governing
accessibility for people with disabilities. In selecting the sites, we are consulting with
local and national community organizations and state and local governments. INS
is moving from a walk-in service to a scheduled fingerprinting service. In addition
to the stationary ASCs, mobile fingerprinting units will service applicants in remote
areas of the country where volume does not mandate opening an ASC.
Mobile units will also be used to provide services to applicants with special needs
and to accommodate community groups that assist applicants where appropriate.
The routes and schedules of these mobile units can be adapted to accommodate
residential changes in the applicant pool and other variables. INS will constantly
monitor the number of its fingerprint facilities to determine whether additional sites
or mobile units may be required. The combination of both stationary and mobile
sites, plus flexible hours of operation, has been designed to provide communities
with broad coverage sufficient to meet the service needs of applicants for
citizenship.
Q. How much will the INS fingerprinting cost?
A. Initially, fingerprints taken by the INS will be taken at no charge. We anticipate in
the future we will need to charge a fee to cover the costs of fingerprinting. We are
currently reviewing costs associated with fingerprinting, as well as the entire
naturalization process. Commissioner Meissner has stated that the Service will not
raise the N-400 application fee until she is satisfied that applicants are receiving the
service they deserve.
Q. What happens if an applicant does not appear for fingerprints at an Application
Support Center during his scheduled week?
A. Every Wednesday, applicants who missed their scheduled week may appear for
first-come, first-served fingerprinting. Applicants will have a total of 120 days to be
New INS Fingerprint Procedures for Naturalization
Page 5
fingerprinted, or their applications may be denied based on current regulations. In
rural areas, applicants will be allowed to be fingerprinted at the nearest permanent
site or at a mobile location, but will have the same 120-day limit in which they must
be fingerprinted.
Q. What happens if an applicant does not bring his notice when he comes for
fingerprinting?
A. To avoid delays, applicants are strongly encouraged to remember their scheduling
notices. On an exceptional basis and where circumstances merit, INS fingerprinting
centers in the near future will be able to access lists of applicants who have been sent
scheduling notices by the Service Centers and district offices.
Q. How will INS verify the identity of the person who comes in to have his
fingerprints taken?
A. Applicants will need to bring their Alien Registration Receipt Card ("green card") or
alternate photo identification document. Where the applicant brings in a non-INS
identity document, INS will also conduct a record check to confirm identity within
the INS systems.
Q: What happens if an applicant's prints are still rejected?
A. INS anticipates that the new system will result in far fewer prints being rejected for
poor quality (unclassifiable) or for inaccurate or incomplete biographical
information. Quality assurance will take place at the time of printing, either through
a trained fingerprint examiner or through electronic verification. INS will constantly
monitor its fingerprint taking procedures to keep rejection rates to a minimum. If an
applicant's prints are deemed "unclassifiable" by the FBI, INS will schedule a
second ASC visit and request that the applicant also bring, at that time, copies of
criminal records or clearances from local police authorities in the jurisdictions where
he has lived for the past five years.
Q. What happens to naturalization applicants who submit fingerprints taken by a
DFS after the effective date of the legislation?
A. Naturalization applicants who submit DFS-taken prints more than seven days after
the legislation is signed will be scheduled to be fingerprinted again at an ASC.
Q: Once an applicant is printed, how long does it take INS and the FBI to process the
applicant's fingerprints?
A. Under the new process, which includes continuing improvements to the background
checking and reporting system, processing time for the FD-258 fingerprint card is
expected to average 25 days, with a maximum of 40 days. Following other
applicants already in the queue who are ready to be interviewed, an applicant will
be scheduled for an interview after the FBI check results are received.
New INS Fingerprint Procedures for Naturalization
Page 6
Q. What technology will be used to take the fingerprints?
A. At most sites, fingerprints will initially be taken in ink. INS will also be testing live-
scan fingerprint technology in select sites to assess its use for the future. This new
technology is already being tested in the Baltimore district. INS will be using
automated masthead software, which will greatly reduce masthead errors. In the
future, INS will place a bar code on the fingerprint scheduling notice sent to the
applicant. This bar code will contain identification information from the applicant's
N-400. When the applicant then brings the bar coded scheduling notice to the
fingerprint center, identity will be verified, and masthead information will be
scanned from the bar code and preprinted onto the fingerprint card. This will
further reduce delays and errors.
Q. Who will take the fingerprints, and do they have the experience and credibility
for this important task? What makes them more capable of doing this job than a
DFS staff person?
A. INS has contracted with a company named DYNCORP that will lease space and hire
personnel to staff Application Support Centers across the country. These contract
employees will be trained in fingerprinting techniques, customer service and proper
completion of fingerprint cards. Every fingerprint card will be reviewed to ensure
the prints will be accepted by the FBI. INS staff will oversee the contract staff at the
ASCs. This is an improvement because DFS personnel received limited training,
and did not work under INS supervision.
Q. What process? steps have the INS and the FBI taken to improve the background checking
A. INS and the FBI have made several critical improvements to the process that help to
restore integrity and decrease delays. At the Attorney General's direction, regular
meetings between INS and FBI senior managers were established last spring to
resolve fingerprint procedural issues. Fingerprint data and FBI background check
information is now transferred between the two agencies via Machine Readable
Data (MRD) tapes. A definitive FBI response must now be received before an
applicant may be scheduled for an interview. The agencies are continuing to
improve processes that will allow for electronic gathering and transmission of
fingerprints, procedures that are anticipated to be implemented by the end of 1999.
Q. Will benefits? the new fingerprint procedures affect applicants for non-naturalization
A. The legislation will terminate the DFS program for all other immigration benefits in
addition to naturalization. The process for applicants for non-naturalization benefits
will remain largely the same, except that they may have their fingerprints taken by a
New INS Fingerprint Procedures for Naturalization
Page 7
registered Law Enforcement Agency (LEA). In the future, INS plans to provide
fingerprinting services for these other benefit programs at its own facilities.
Q. How will INS notify potential applicants of the new process?
A. INS will conduct a variety of outreach efforts through the media, including ethnic
media, immigrant assistance organizations, congressional staffs and state and local
governments. Informational materials will be provided to all of these groups as
soon as the legislation is signed by the President. In addition, the instructional
materials sent to individuals with their naturalization applications will be revised to
reflect changes in the law and procedures.
Q. How is INS planning to notify the DFS organizations and LEAs of the changes in
the law?
A. As soon as the legislation is signed into law, INS will send letters to all DFS entities
and registered LEAs notifying them of the changes in the law.
Q. If an organization's application for DFS certification is still pending with the INS,
will INS refund the application fee?
A. INS sought legislative authority to refund the $370 application fee to DFS
organizations whose applications have not yet been approved. The application fee,
which was designed to cover INS costs incurred in the initial determination of an
organization's request for DFS certification, will not be refunded to previously
approved DFS entities.
Q. How can Community-Based Organizations (CBOs) assist in this project?
A. CBOs have already been assisting INS with identifying fingerprinting center site
locations. They can further assist with educating the immigrant community of the
changes in the process and helping to dispel misinformation.
Q. Will INS Application Support Centers take photos as well?
A. For the short term, no. INS does have plans in the future to take photographs at the
time of fingerprinting.
Q. Who can applicants talk to about this process? What identification do applicants
need to bring to be fingerprinted? Will there be anyone at the fingerprint site to
answer additional questions about an application?
A. An applicant may contact INS through existing methods, such as the Information
Officers at the local district office or the toll-free "ASK IMMIGRATION" line (1-800-
375-5283). Numerous CBOs and congressional offices have been provided
information about the new procedures, and applicants are also encouraged to seek
their assistance. INS will also post general information in the near future on its
Internet web site (www.ins.usdoj.gov). Under this new process, the INS notice will
New INS Fingerprint Procedures for Naturalization
Page 8
also specify what the applicant needs to bring for fingerprinting. The new ASCs will
be staffed by personnel who will be responsible only for fingerprinting, and will not
be able to answer any immigration or application-related questions.
Q. Will lawyers or accredited organizations that have filed a G-28 representation
form with an applicant's application be notified when their clients are notified of
the fingerprinting?
A. A process is being developed in which a notice will be mailed to attorneys and
accredited representatives with G-28s on file. Until then, applicants will need to
provide their representatives with a copy of any correspondence from INS. Due to
legal restrictions, INS cannot send such notices to CBOs or other persons who have
not filed a G-28 as an approved representative of the applicant.
Q. If several members of a family file on the same day, will their fingerprinting be
scheduled during the same week?
A. INS will attempt to coordinate the scheduling of family members for fingerprinting.
Q. What is to stop applicants from reapplying, if they so choose, under these new
procedures, thereby allowing them to get through the process more quickly?
A. Applicants should not assume that a subsequent application filed under the new
procedures will necessarily be processed more quickly than their previously filed
applications. Applications that were submitted with good quality fingerprint cards
are already in the processing queue ahead of subsequently filed applications. When
the FBI background check results are received by INS for these applicants, they will
be scheduled for interviews based on their application filing dates. It is also costly
for applicants to pay the $95 application fee several times. INS will work closely
with CBOs to spread the word that excessive filings will delay the process for
everyone.
Q. Is INS going to raise the overall naturalization application fee from the current
$95?
A. Commissioner Meissner has stated that the Service will not raise the naturalization
fee until she is satisfied that we are providing applicants with the service that they
deserve.
Q. When will INS get back to the six-month processing time frame?
A. We are working toward this goal as rapidly as possible, but we must ensure that we
maintain a system that restores integrity to the process. The public should begin
seeing the positive effects of our new procedures, automation, policies and other
improvements by early next year.
New INS Fingerprint Procedures for Naturalization
Page 9
Q. Are the new fingerprint procedures a tacit admission on the part of INS that the
DFSs did not maintain integrity?
A. INS has implemented the new procedures to comply with new changes in the law.
INS had previously recognized that the DFS program was flawed. When it was
implemented, the DFS program was an interim solution designed to improve on
previous procedures that did not even require applicants to get their prints taken at
a specially certified organization. Under the DFS system, numerous fingerprint
cards continued to be returned to the Service for incomplete or inaccurate masthead
information, illegible prints or other problems that prevented the FBI from
successfully processing the cards. In addition, there was concern that integrity
could be compromised by the fact that after the prints were taken, the card was
returned to the applicant before submission to INS. These problems were
unacceptable to INS. The new procedures will help eliminate the flaws in the
fingerprint processing.
Q. What about the KPMG audit of the NQP procedures? When will it be completed?
A. The KPMG final audit of the NQP procedures began in October, and a report is
expected by early January 1998. An August KPMG report on the firm's review of
INS' training of its officers and staff on the quality assurance procedures was very
positive and indicates that we are on track with restoring integrity to our processes.
Q. Rep. Lamar Smith has introduced a bill to keep immigrants who have committed
crimes from becoming U.S. citizens and again criticized the agency for
naturalizing thousands of criminals improperly. What do you think of the bill?
A.: We haven't had a chance to see the bill to determine if legislation is necessary since
quality assurance procedures that INS put into place last fall, new technology and
other continued improvements have strengthened the integrity of the system. And
the additional resources INS has just received to revamp the fingerprint process will
make a dramatic difference in ensuring that only qualified applicants will be made
U.S. citizens and that applicants will receive better, more timely service.
While even one person naturalized without the proper qualifications is too many,
we are pleased that the audit of last year's cases is showing that mistakes were made
in less than 1 percent of the 1.049 million people naturalized last year. INS is
reviewing those cases for possible revocation of citizenship.
Irene,
Naturalization Peg. Any
comments by 1-31, Thanks
-Strant
REGULATORY REVIEW WORKSHEET
OMB NUMBER: 1115-A517
RECEIVED
: 01/07/2000
RIN NUMBER: 1115-AF63
E.O. DUE DATE: 04/06/2000
CHRONOLOGY: No previous reference
EXTENDED
:
(Y/N)
APPEALED
:
/ /
AGENCY
: Department of Justice
SUBAGENCY : Immigration and Naturalization Service
TITLE: Revoking Grants of Naturalization
STAGE: Interim Final Rule
ECONOMICALLY SIGNIFICANT: No
LEGAL DEADLINE: No
UNFUNDED MANDATE
: No
DESK OFFICER: Stuart Shapiro
ANALYST
: Richard Theroux
ACTION:
(1) Consistent Without Change
ECONOMICALLY SIGNIFICANT:
Yes
No
(2) Consistent With Change
(3) Withdrawn by Agency
MAJOR
:
Yes
No
(7) Returned - Sent Improperly
(9) Returned for Reconsideration
UNFUNDED MANDATE
:
Yes
No
(11) Emergency
(If yes, check all that apply)
(12) Statutory or Judicial Deadline
State, local, tribal governments
Private Sector
REGULATORY IMPACT:
FEDERALISM CERTIFICATION:
Yes
No
(D) Deregulatory
(Applies only to Final Rules)
(R) Regulatory
(N) Nonregulatory
SIGNATURES AND DATES:
RMO
Desk Officer
Economist
OIRA
Date:
Date:
Date:
Date:
AGENCY NOTIFIED:
/ /
01/07/00 FRI 12:39 FAX 202 514 9112
002
EXECUTIVE ORDER 12866 SUBMISSION
Important
Please read the instructions on the reverse side before completing this form.
For additional forms or assistance in completing this form, contact the OIRA Docket Library, (202) 395-6880,
or your OIRA Desk Officer.
Send three copies of both this form and supporting material (four copies if Economically Significant or an
Unfunded Mandate) to:
Office of Information and Regulatory Affairs
E
-
I
1r
Office of Management and Budget
Attention: Docket Library, Room 10102
725 17th Street. N.W.
R
JAN - 7 2000
Washington, D. C. 20503
OIRA DOCKET LIBRARY
1. Agency/Subagency originating request
2. Regulation Identifier Number (RIN)
Department of Justice
Immigration and Naturalization Service
1115 - AF63
1115-A517
3. Title
Revoking Grants of Naturalization
4. Stage of Development
5. Legal Deadline for this submission
Prerule
a)
Yes
No
Proposed Rule
X
Interim Final Rule
b) Date
/
/
Final Rule
8
MM
YYYY
Final Rule - No material change
c)
Statutory
Judicial
Notice
Other
6. Designations
a) Economically Significant (E.O. 12866)
Yes
X
No
Description of Other
b) Unfunded Mandate (2 U.S.C. 1532)
7. Agency Contact (person who can best answer questions
Yes
X
No
regarding the content of this submission)
If either of the above is "Yes," submit four (4) complete
Janice Podolny
packages to OIRA
Phone (202) 514-2895
Certification for Executive Order 12866 Submissions
The authorized regulatory contact and the program official certify that the agency has complied with the requirements of
E. O. 12866 and any applicable policy directives.
Signature of Program Official
Date
8/9/99
Signature of Authorized Regulatory Contact
Date
Richard A. Sloan Director, Policy Directives and Instructions
8-9-99
from OMBY
Revision: 12/97 (Previous versions obsolete)
BILLING CODE: 4410-10
DEPARTMENT OF JUSTICE
Immigration and Naturalization Service
8 CFR Part 340
[INS No. 1858-97]
RIN 1115-AF34
Revoking Grants of Naturalization
AGENCY: Immigration and Naturalization Service, Justice.
ACTION: Interim rule with request for comments.
SUMMARY: This rule amends the Immigration and Naturalization
Service (Service) regulations relating to administrative
revocation of naturalization by changing the burden of proof the
Service must satisfy in order to administratively revoke a grant
of naturalization and clarifying the 180-day period for the
rendering of the district director's decision. This rule
clarifies these issues in the final rule that was published in
the Federal Register on October 28, 1996, at 61 FR 55550.
DATES: Effective date: This rule is effective [Insert date of
publication in the FEDERAL REGISTER].
Comment date: Written comments must be submitted on or
before [Insert date 60 days from the date of publication in the
FEDERAL REGISTER].
ADDRESSES: Please submit written comments, in triplicate, to the
Director, Policy Directives and Instructions Branch, Immigration
and Naturalization Service, 425 I Street NW, Room 5307,
Washington, DC 20536. To ensure proper handling, please
reference INS No. 1858-97 on your correspondence. Comments are
available for public inspection at the above address by calling
(202) 514-3048 to arrange for an appointment.
FOR FURTHER INFORMATION CONTACT: Janice B. Podolny, Office of
the General Counsel, Immigration and Naturalization Service, 425
I Street, NW, Room 6100, Washington, DC 20536, telephone (202)
514-2895.
SUPPLEMENTARY INFORMATION: Section 310(a) of the Immigration and
Nationality Act (the Act), 8 U.S.C. 1421 (a), gives the Attorney
General the sole authority to grant a person naturalization as a
United States citizen. As a concomitant to the authority under
section 310 (a), section 340 (h) of the Act, 8 U.S.C. 1451 (h),
preserves the Attorney General's authority to "correct, reopen,
alter, modify, or vacate an order naturalizing [a] person" as a
United States citizen. On October 28, 1996, the Service
published a final rule in the Federal Register at 61 FR 55550
promulgating regulations at 8 CFR 340.1, to provide a regulatory
procedure for exercising this authority.
The Service's final rule provided that the Service could
reopen a naturalization proceeding and revoke naturalization if
the Service obtained "credible and probative evidence" that the
individual's naturalization was subject to revocation. The
regulation provided that after this initial showing by the
Service, the burden of proof shifted to the individual whose
naturalization was subject to revocation to establish that he or
she was, in fact, eligible for naturalization. The Service,
2
however, determined that it would adhere to the higher standard
of proof applicable in judicial denaturalization proceedings,
rather than the credible and probative standard. Accordingly,
the Service has only initiated revocation proceedings where it
has obtained clear, unequivocal, and convincing evidence and has
revoked naturalization only in cases where the Service is able to
sustain this burden throughout the administrative proceeding.
Consistent with this approach, the Service has made every
effort, including review of all proposed revocation cases at the
Headquarters level, to ensure that revocation of naturalization
be pursued only if the evidence meets this higher standard. This
interim rule changes the applicable burden of proof to conform
with Service practice. This interim rule provides that the
Service will only initiate revocation proceedings based on clear,
unequivocal, and convincing evidence with the burden of proof
remaining with the Service throughout the administrative process.
If it comes to the attention of the Service that in any case that
became final before [Insert date of publication in the FEDERAL
REGISTER], the Service relied on the lower standard of proof, the
Service will, on its own motion, reconsider the decision under
the clear, unequivocal, and convincing standard of proof.
In addition, this interim rule clarifies that the 180-day
period for the district director's decision is precatory, and
that expiration of the 180-day period does not preclude the
district director from making a final decision on the merits.
Consequently, this interim rule indicates that the Service shall,
3
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where practicable, render a decision within 180 days of service
of the notice of intent to reopen naturalization proceedings and
to revoke naturalization. This amendment also ensures that the
Service is able to carefully review all of the evidence in every
administrative revocation case and render a correct decision
without overly rigid and artificial time restrictions. Since the
naturalized citizen continues to enjoy the rights of citizenship
until the decision to reopen and revoke naturalization becomes
final, this amendment does not adversely affect the rights of the
naturalized citizen.
Notice and comment
Since this regulation simply restates the higher burden of
proof that the Service has been applying in administrative
revocation proceedings, this rule is a general statement of
policy. The change to the 180-day period to render a decision is
an interpretative rule of agency practice and procedure. The
Service, therefore, has authority under 5 U.S.C. 553 to adopt
this rule without prior notice and comment. The Commissioner of
the INS, nevertheless, considers it appropriate to seek public
comments on this rule, and has established a 60-day comment
period.
Despite the comment period, this rule is an interim rule
that will enter into force upon publication in the Federal
Register. Because the current 8 CFR 340.1 places the burden of
proof on the naturalized citizen, naturalized citizens may, in
good faith, misunderstand the evidentiary standards and
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procedural requirements that the Service must satisfy in order to
reopen and revoke a grant of naturalization. The Service has
already ensured that each notice of intent to reopen
naturalization proceedings and to revoke naturalization states
the burden of proof as clear, unequivocal, and convincing
evidence. By clarifying the burden of proof that the Service has
been adhering to in practice, this interim rule provides full
protection of the naturalized citizen's rights. For this reason,
the Commissioner finds that it would be contrary to the public
interest for the Service to observe the 30-day delay that must
ordinarily apply before a new regulation may enter into force.
The Commissioner, therefore, also finds that good cause exists
for making this rule effective upon publication in the Federal
Register.
Regulatory Flexibility Act
The Commissioner of the Immigration and Naturalization
Service, in accordance with the Regulatory Flexibility Act (5
U.S.C. 605 (b)), has reviewed this regulation and, by approving
it, certifies that the rule will not have a significant economic
impact on a substantial number of small entities. This rule
proposes a procedure for the Service to revoke grants of
naturalization. The affected parties are not small entities, and
the impact of the regulation is not an economic one.
Unfunded Mandates Reform Act of 1995
This rule will not result in the expenditure, in the
aggregate, of $100 million or more in any 1 year, by State,
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local, and tribal governments, or by the private sector, and the
rule will not significantly or uniquely affect small governments.
Therefore, no actions were deemed necessary under the provisions
of the Unfunded Mandates Reform Act of 1995.
Small Business Regulatory Enforcement Fairness Act of 1996
This rule is not a major rule as defined by section 804 of
the Small Business Regulatory Enforcement Fairness Act of 1996.
This rule will not result in an annual effect on the economy of
$100 million or more; a major increase in cost or prices; or
significant adverse effects on competition, employment,
investment, productivity, innovation, or on the ability of United
States-based companies to compete with foreign-based companies in
domestic and export markets.
Executive Order 12866
This rule is considered by the Office of Management and
Budget to be a "significant regulatory action" under Executive
Order 12866, section 3(f), Regulatory Planning and Review.
Accordingly, the Service has submitted this regulation to the
Office of Management and Budget for review.
Executive Order 12612
The regulation adopted herein will not have substantial
direct effects on the States, on the relationship between the
National Government and the States, or on the distribution of
power and responsibilities among the various levels of
government. Therefore, in accordance with Executive Order 12612,
it is determined that this rule does not have sufficient
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002
federalism implications to warrant the preparation of a
Federalism Assessment.
Executive Order 12988 Civil Justice Reform
This rule meets the applicable standards provided in
sections 3 (a) and 3 (b) (2) of Executive Order 12988.
List of Subjects in 8 CFR Part 340
Citizenship and naturalization, Law enforcement.
Accordingly, part 340 of chapter I of title 8 of the Code of
Federal Regulations is amended as follows:
1. The authority citation for part 340 is revised to read
as follows:
Authority: 8 U.S.C. 1103, 1421, 1443 and 1451.
2. Section 340.1 is revised to read as follows:
§ 340.1 Reopening of a naturalization application by a district
director pursuant to section 340 (h) of the Act.
(a) Reopening general. On its own motion, the Service may
reopen a naturalization proceeding and revoke naturalization in
accordance with this section, if the Service obtains clear,
convincing, and unequivocal evidence which:
(1) Shows that the Service granted the application by mistake;
or
(2) Was not known to the Service Officer during the original
naturalization proceeding; and
(i) Would have had a material effect on the outcome of the
original naturalization; and
(ii) Would have proven that:
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(A) The applicant's application was based on fraud or
misrepresentation or concealment of a material fact; or
(B) The applicant was not, in fact, eligible for
naturalization.
(b) Procedure for reopening of naturalization proceedings.
(1)
Jurisdiction. The district director under whose
jurisdiction the applicant currently resides has jurisdiction to
reopen proceedings under this section, except that notice of
intent to reopen naturalization proceedings and to revoke
naturalization must be served no later than 2 years after the
effective date of the order admitting a person to citizenship, as
determined under § 337.9 of this chapter. This section applies to
any order admitting a person to citizenship with an effective date
before, on, or after October 24, 1996.
(2) Notice of intent to reopen naturalization proceedings and
to revoke naturalization.
(i) If the district director determines that reopening a
naturalization proceeding is warranted under paragraph (a) of this
section, the district director shall prepare a written notice of
intent to reopen naturalization proceedings and to revoke
naturalization. The notice shall describe in clear and detailed
language the grounds on which the district director intends to
reopen the proceeding. The notice shall include all evidence
which the district director believes warrants reopening of the
proceeding. The notice shall advise the applicant of his or her
right to submit a response to the notice and to request a hearing,
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as provided in paragraph (b) (3) of this section.
(ii) The Service shall serve the notice of intent to reopen
naturalization proceedings and to revoke naturalization upon the
applicant by personal service, as described in § 103.5a (a) (2) of
this chapter. When personal service is accomplished by certified
or registered mail, return receipt requested, but the notice is
returned as undeliverable, the Service shall serve the notice
again, using another one of the methods of personal service
described in § 103.5a (a) (2) of this chapter.
(3) Applicant's opportunity to respond and to request hearing.
(i) Within sixty (60) days of service of the notice of intent
to reopen naturalization proceedings and to revoke naturalization,
the applicant may submit a response to the Service. The response
may include any statements and/or additional evidence the
applicant wishes to present in response to the proposed grounds
for reopening.
(ii) The applicant may request a hearing on the notice of
intent to reopen naturalization proceedings and to revoke
naturalization before an immigration officer authorized to review
naturalization applications under sections 310 and 335 of the Act.
The applicant must submit a written request for a hearing together
with any statements and/or additional evidence within sixty (60)
days of service of this notice. The Service shall schedule a
requested hearing as soon as practicable.
(4) Withdrawal of application or failure to respond.
(i) Upon receipt of the notice of intent to reopen
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naturalization proceedings and to revoke naturalization, the
applicant may submit a written statement admitting the facts which
the district director alleges as grounds for reopening, and
withdrawing the application for naturalization. The applicant
shall sign the statement under oath or affirmation or shall
certify the truth of the statement under penalty of perjury.
(ii) If the applicant fails to submit a response to the notice
of intent to reopen naturalization proceedings and to revoke
naturalization within the period specified in paragraph (b) (3) of
this section, that failure to respond will be deemed an admission
of the stated grounds for reopening and revoking naturalization.
(5) Right to counsel. The applicant may be represented at any
time during reopening proceedings by an attorney or other
representative qualified under part 292 of this chapter.
(6) Burden of proof. Upon service of a notice of intent to
reopen naturalization proceedings and to revoke naturalization,
the Service bears the burden of proof by clear, convincing, and
unequivocal evidence that the grounds for reopening and revoking
set forth in the notice have been met.
(c) Record of reopened proceedings. The record shall include,
but is not limited to:
(1) The applicant's application for naturalization;
(2) The Service's notice of intent to reopen naturalization.
proceedings and to revoke naturalization with proof of service to
the applicant;
(3) All evidence forming the basis for reopening the
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naturalization application;
(4) The applicant's statement and/or evidence in response to
the Service's notice and in support of the application; and
(5) The record of the hearing, if a hearing was held.
(d) Decision.
(1) The district director shall render, where practicable, a
written decision on the reopened naturalization application within
180 days of service of the notice of intent to reopen
naturalization proceedings and to revoke naturalization. The
decision shall consist of findings of fact, conclusions of law,
and a final determination on the naturalization application.
Notice of decision shall be served on the applicant or his or her
attorney or representative, if applicable.
(2) Referral for revocation suit. Rather than reopening a
naturalization decision and revoking naturalization, the district
director shall refer a case for revocation proceedings under §
340.2 if:
(i) The applicant's answer to the notice of intent to reopen a
naturalization proceeding and to revoke naturalization and any
additional evidence that the applicant submits raises a genuine
factual issue about the propriety of the applicant's
naturalization, SO that resolution of the factual issue will
depend on the credibility of witnesses testifying under oath and
subject to cross-examination; or
(ii) After rendering a decision on the merits, the district
director determines that the applicant had adequately rebutted the
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allegations made in the notice of intent to reopen naturalization
proceedings and to revoke naturalization, but the district
director thereafter obtains additional evidence of at least one of
the grounds set forth in paragraph (a) of this section.
(e) Appeals.
(1) The applicant may appeal an adverse decision under
paragraph (d) of this section to the Office of Examinations,
Administrative Appeals Office. Any appeal shall be filed
initially with the district director within thirty (30) days after
service of the notice of decision. Such appeal shall be filed in
accordance with § 103.1 and § 103.7 of this chapter, by filing the
appeal on Form I-290B with the fee. Appeals received after the
30-day period may be subject to dismissal for failure to timely
file.
(2) If, within 45 days of the filing of a notice of appeal, the
district director determines that the materials filed in support
of the appeal adequately rebut the grounds for reopening, the
district director may reconsider the decision to reopen the
naturalization application and to revoke naturalization, and
affirm the original decision naturalizing the applicant. In such a
case, it is not necessary for the district director to forward the
case to the Administrative Appeals Office. If, after the district
director affirms an original naturalization grant under this
paragraph, the Service obtains additional evidence of the grounds
set forth in paragraph (a) of this section, the Service may not
bring a new motion to reopen the naturalization proceeding and to
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revoke naturalization, but may seek to revoke the applicant's
naturalization only pursuant to section 340 (a) of the Act.
(f) Judicial review. If a decision of the Office of
Examinations, Administrative Appeals Office, is adverse to the
applicant, the applicant may seek judicial review in accordance
with section 310 of the Act.
(g) Effect of final decision of denial upon applicant's status.
(1) A final decision to reopen a naturalization proceeding and
to revoke naturalization shall be effective as of the date of the
original order purporting to admit the applicant to citizenship.
The order purporting to admit the applicant to citizenship shall
then have no legal effect.
(2) A district director's decision to reopen naturalization
proceedings and to revoke naturalization will be final, unless the
applicant seeks administrative or judicial review within the
period specified by law or regulation.
(3) When a decision to reopen naturalization proceedings and to
revoke naturalization becomes final, the district director shall
order the applicant to surrender his or her certificate of
naturalization. The district director shall then cancel the
certificate of naturalization, and shall also notify the
Department of State of the revocation of naturalization.
(4) Notwithstanding the service of a notice of intent to reopen
naturalization proceedings and to revoke naturalization, the
applicant shall be considered to be a citizen of the United States
until a decision to reopen proceedings and deny naturalization
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becomes final.
(h) Applicant's request for reopening or modification of
application. After having been granted naturalization and
administered the oath of allegiance and renunciation, an applicant
may move that the Service reopen his or her naturalization
application for the purpose of amending the application in
accordance with § 334.5 of this chapter.
Decis hisiones
Dated: 8/6/99
Doris Meissner,
Commissioner, Immigration
and Naturalization Service.
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