August 27, 2008 – The U.S. Department of Justice’s Office of the Inspector General’s (OIG) Audit Division conducted an audit of the Federal Bureau of Investigation’s (FBI) security check procedures – name checks and fingerprint identifications – for immigration applications. The audit report, The Federal Bureau of Investigation’s Security Check Procedures for Immigration Applications and Petitions, was published in June 2008 and a redacted copy of the report was recently released. The findings of the audit, which are summarized below, help to explain the delays experienced by applicants for immigration benefits. In response to the audit, the FBI agreed to make changes to the processes and procedures used when conducting security checks, especially name checks. These changes should lead to more accurate and timely results of name checks and fingerprint identifications for immigration petitions.

Audit Findings

The OIG undertook this audit to assess the timeliness and accuracy of the FBI’s name checks and fingerprint identifications that are requested by USCIS to adjudicate immigration benefits. In short, the OIG found that the FBI’s name check procedures “rely on outdated and inefficient technology, staff and contractors who have limited supervision and training, inadequate quality control measures” … “and provide little assurance that pertinent and derogatory information is being retrieved and transmitted to customer agencies.” In contrast, the OIG found that the FBI’s “sophisticated [fingerprint identification] technology, combined with well trained personnel, efficient tracking mechanisms, and proficient communication methods have enabled the FBI to efficiently process millions of fingerprint submissions per year.”

The Name Check Process

The FBI conducts name check investigations through its National Name Check Program (NNCP). In conducting a name check, the analyst searches the FBI’s Universal Index which is made up of approximately 100 million FBI case files. These files document individuals who are the subjects of FBI investigations or are associated with the main subject of an investigation. In fiscal year 2007, the FBI received more than 4 million name check requests (over 2 million were from USCIS). The majority of the name check requests (86%) are processed within 60 days of receipt of the request while the remainder take several months to over one year to complete. The OIG found that “as of March 2008 the FBI had over 327,000 pending USCIS name check requests, with 90 percent over 30 days old and some requests pending for over 3 years.” Notably, in fiscal year 2007, less than 1% of USCIS’ name check requests resulted in the FBI finding pertinent and derogatory information.¹ The FBI’s goal is to process 98% of the name check requests received by USCIS within 30 days. The following chart illustrates the pending name check requests as of March 2008 classified by type of immigration benefit and the time the request has been pending.

Pending USCIS Name Check Submissions as of March 2008

In an effort to reduce the delay in processing name check requests, in February 2008, USCIS announced that it would start approving permanent residency applications that had been pending for at least 180 days regardless of whether the FBI had completed the name check review. The current goal is to address all name check requests pending more than one year by November 2008.

The Fingerprint Identification Process

The FBI conducts fingerprint investigations through its Integrated Automated Fingerprint Identification System (IAFIS). IAFIS contains fingerprints and criminal history information for more than 50 million individuals. In fiscal year 2007, the FBI received more than 26 million fingerprint identification requests (3.2 million were from USCIS) and between 2000 and 2007, the FBI completed more than 18 million fingerprint requests for USCIS. In fiscal year 2007, 98.8% of the civil fingerprint identification requests were processed within 24 hours.²

The FBI is working to expand and upgrade its fingerprint identification process by introducing the Next Generation Identification (NGI) program. This program will include “enhanced photographic identification with facial recognition and image searching of scars, marks, and tattoos; palm prints; and iris scanning.” The Rap-Back service is also part of the NGI program. This service will enable agencies to enroll individuals who received a security check for notification of future criminal history.

Recommendations

The OIG provided the FBI with 21 recommendations, all of which the FBI agreed with and is currently taking actions to implement. The overall suggested improvement for the name check requests was to move toward automation of these requests in line with the fingerprint identification requests. As the OIG noted, the fingerprint identification process is much more accurate and efficient than the name check process due in large part to the automated process. The following are some of the changes that the FBI has been and will be applying.

1. Regularly test and update the name matching phonetic search tool and explore alternative search tools that will work in conjunction with or replace the current tool to avoid the risk that submitted names may not be accurately searched and matched to FBI case files.³



2. Develop an electronic records management system for the name check process to avoid analysts having to request access to paper files that are stored across the world.



3. Increase fees for name check requests and fingerprint identification requests.



4. Develop standardized training for name check analysts and implement recurrent training for all name check staff.



5. Develop and implement quality assurance measures in the name check process.



6. Develop and implement a name check tracking function in order to monitor pending name check requests.

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¹Each organization that uses the FBI’s name check services defines what information is considered to be pertinent and derogatory. USCIS has defined pertinent and derogatory information to include potential threats to national security (including terrorist activity, sabotage and espionage) or public safety (the individual’s criminal history or health such as mental disorders, contagious diseases or drug abuse) or ineligibility for an immigration benefit due to immigration violations (use of a fraudulent document or unlawful entry, residence or employment in the US).

²Civil fingerprint identification requests are for employment or licensing, including immigration.

³Notably, the matching searches have not been updated since the mid 1990s.