The Immigration and Naturalization Service's Comments on the Office of the Inspector General's Report
"Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections"
Report Number 1-2000-021

U.S. Department of Justice Immigration and Naturalization Service

HQOIA 110/8.2-C

MEMORANDUM FOR:	Mary W. Demory Assistant Inspector General for Inspections Department of Justice
FROM:	Doris Meissner Commissioner, Immigration and Naturalization Service
SUBJECT:	Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections: A-2000-13

I appreciate the opportunity to comment on the subject report and solicited input from the senior management officials who are most significantly impacted --the Executive Associate Commissioners for Field Operations, Programs and the Director of Internal Audit. I reviewed the responses and concur with the conclusions and observations. The responses are attached for your review.

Thank you again for the opportunity to respond to the draft report. If you have any questions, please contact Kathleen Stanley, Audit Liaison, at (202) 514-8800.

Attachments (3)

cc:  Vickie L. Sloan, DOJ Audit Liaison

U.S. Department of Justice Immigration and Naturalization Service

HQPGM 70/6.2.6

MEMORANDUM FOR:	THE COMMISSIONER
FROM:	Michael D. Cronin Acting Executive Associate Commissioner, Office of Programs
SUBJECT:	Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections: A-2000-13

This is in response to the Draft Inspection Report titled Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections: A-2000-13, prepared by the Department of Justice's Office of the Inspector General (OIG).

RECOMMENDATION 1: Ensure that each record that contains the "NAILS-X" flag in CIS is also accompanied with the corresponding record in NAILS.

INS RESPONSE:  Concur. In 1994, the INS implemented an electronic linkage between the Central Index System (CIS) and the National Automated Immigration Lookout System (NAILS) that cross-references the lookout records in NAILS with the existing CIS records. The cross-referenced CIS records contain the notation, or flag, "NAILS-X" in the CIS search screen. The purpose of flagging CIS records is to alert users who conduct searches in CIS that there is adverse information concerning the subjects of the flagged records available in NAILS.

In 1996, the OIG issued an Inspection Report Immigration and Naturalization Service Document Fraud Records Correction. report Number 1-96-09. This report found that the INS had not developed effective policies and procedures to ensure that any person suspected of obtaining immigration benefits by fraudulent means would be prevented from obtaining additional benefits until that person's complete immigration record is reviewed and those suspicions resolved.

In 1997, pursuant to the recommendations in the report, the INS established the Flagging Project. As part of the Flagging Project, the INS created approximately 5,000 lookout records in NAILS, cross-referenced to the corresponding CIS records using the existing CIS/NAILS electronic linkage.

Recommendation 1 identifies a problem with a small group of these flagged records in CIS. When the subjects of these records were searched in NAILS through the existing electronic interface, it was found that the corresponding NAILS lookout records had been deleted, although the flag still remains in CIS.

Although Recommendation 1 is limited to this specific CIS/NAILS system problem, the OIG report also identified another group of records in NAILS that appear to be flawed. According to the report, a small group of records in NAILS are missing the specific Flagging Project instructions to the officer who encounters the subject of the lookout record.

The INS will analyze these system problems and evaluate the extent of the technical work that will be required to correct the deficiencies. The scope of the analysis will include all lookout records in the NAILS database that have a corresponding CIS record.

The research and analysis required to identify the system problems and estimate the time and costs of resolving them will take approximately six months. Following that analysis, additional time will be required to complete the development, testing and implementation of the necessary system modifications. There is no funding available through the remainder of Fiscal Year 2000 for this analysis. We anticipate that we will be able to fund this work in Fiscal Year 2001. However, the earliest date that the analysis can commence will be January 2001, when the current work in NAILS has been completed and implemented, based on priorities already established.

For additional information regarding this matter, please contact Marcela C. Moglia, Office of Strategic Information and Technology Development, at 202-616-7438.

U.S. Department of Justice Immigration and Naturalization Service

HQOPS 110/8

MEMORANDUM FOR:	THE COMMISSIONER
FROM:	Michael A. Pearson Executive Associate Commissioner, Office of Field Operations
SUBJECT:	Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections: A-2000-13

This is in response to the Draft Inspection Report titled Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections: A2000-13 prepared by the Department of Justice's Office of the Inspector General (OIG).

RECOMMENDATION 2: Ensure that inspectors forward memoranda to Field Operations explaining the results of record reviews as required by INS procedures and dictated in the corresponding NAILS record.

INS RESPONSE: Concur. According to the procedures found in the National Automated Immigration Lookout System (NAILS) boilerplate text, for every intercept of an applicant for admission whose record has been flagged for this project, the inspecting officer is to forward a memorandum to Field Operations Enforcement with the disposition results. While this report found that a high percentage of inspectors were forwarding the requested information, in order to attain full participation in the project, the Office of Field Operations will disseminate a memorandum to the field reminding Ports-of-Entry to comply with procedures articulated in the NAILS flagged records. The Office of Field Operations will disseminate the memorandum within the next 30 days.

RECOMMENDATION 3: Direct INS personnel and contractors to conduct searches in CIS for all applications and petitions before INS benefits are granted or any INS actions taken, as required by INS's "Flagging of Fraudulent Records in INS Automated Systems" policy.

INS RESPONSE: Concur in Part. Within 90 days we will conduct a review of the "Flagging of Fraudulent Records in INS Automated Systems" policy. During that time we will determine the potential benefits for conducting a CIS check on each type of application. We will revise the report to reflect the balance of the operational impact versus potential benefits of conducting these CIS checks. We will then direct INS personnel and contractors to conduct searches in CIS for those applications in which the potential benefits outweigh the operational impact.

RECOMMENDATION 4: Develop procedures for adjudicators to forward memoranda to Field Operations explaining the results of the records review as required of inspectors.

INS RESPONSE: Concur. Within 90 days we will develop procedures for adjudicators to forward memoranda to Field Operations explaining the results of the records review as required of inspectors.

For additional information regarding RECOMMENDATION 2 contact Assistant Chief Inspector Robert Neighbors at 202-514-0599. For RECOMMENDATION 3 AND 4 contact Assistant Deputy Executive Associate Commissioner Joseph D. Cuddihy 202-514-6442.

U.S. Department of Justice Immigration and Naturalization Service

HQOIA 110/10

MEMORANDUM FOR:	THE COMMISSIONER
FROM:	John P. Chase Director, Office of Internal Audit
SUBJECT:	Follow-up Inspection of the Immigration and Naturalization Service Document Fraud Records Corrections: A-2000-13

This is in response to our review of the follow-up inspection report noted above. Specifically, the Office of Internal Audit (OIA), Internal Investigations Branch (IIB) offers the following response to Recommendation #5.

RECOMMENDATION 5: Reach agreement with OIG Investigations Division outlining specifically what information is required when the OIG is reporting to INS the names and A-numbers of aliens allegedly involved in schemes where aliens obtain genuine immigration documents and benefits fraudulently.

INS RESPONSE: On July 12, 2000, Stephen W. Schenk, Assistant Director, OIA, IIB, discussed this issue with T. J. Bondurant, Assistant Inspector General for Investigations. An agreement was reached between the INS and the OIG Investigations Division outlining specifically what information is required from the OIG when the OIG reports the name and A-numbers of aliens allegedly involved in schemes where aliens obtain genuine immigration documents and benefits fraudulently.

In addition, the INS, OIA has in place a system to review OIG investigation reports to assure compliance with the agreement. The specifics of that system may be reviewed in the attached August 15, 2000, memorandum.

Stephen W. Schenk, Assistant Director, Internal Investigations Branch, Office of Internal Audit, may be contacted for any needed clarification or should there be any questions regarding this response. His telephone number is 514-5774.

Attachment

cc:  Assistant Director Internal Investigations Branch