Chapter_2_Benefit_Summaries_and_Common_Procedures.pdf

Chapter 2

Benefit Summaries and Common Procedures

ASC Standard Operating Procedures

Chapter 2: Benefit Summaries and Common Procedures

2015 Edition October 2015 2 - 2

Introduction: Compiled in four sections, this chapter provides a summary of several immigration benefits, with acceptable forms of identification, for which ASCs capture biometrics; also standardized instructions for common operational procedures; and extension sticker processing, accountability, and reporting procedures.

Background: One of USCIS’ primary tasks is to safeguard America's pledge as a nation of immigrants by accurately providing helpful and useful information to all its customers, issuing the grant of immigration and citizenship benefits, encouraging and support the awareness and understanding of citizenship, and guaranteeing the reliability of the immigration managed databases system.

Aside from delivering excellent services, USCIS has also committed to maintaining the highest integrity and security of its customers. Every applicant must have her/his identity verified prior to benefit processing. Each benefit sought by an applicant has inherent privileges, usually signified by an USCIS-issued identification card that provides proof of the applicant status.

Table of Sections

Section 2.A: Biometric Summaries

• Biometrics Captured at ASCs

• USCIS Benefits and Forms Common at ASCs

Section 2.B: Applicant Identification, Name Guidance, and Forms

• Applicant Identification

• Appointment Notification Letter Guidance and Discrepancies

• Name Guidance

• Applicant Information Worksheet (AIW)

• Contractor Processing Form (CPF)

• Customer Service Cards and Customer Service Report (CSR)

• Record Retention of ASC Forms and Reports

Section 2.C: Common Operational Procedures

• Daily Start-Up Procedures o Biometrics Workstation

• Applicant Processing o Guard/Receptionist Processing o Receptionist’s Processing o Dismissing Applicants

• Management Daily Procedures o Beginning-of-day: Weekly Scheduling Report

2 - 3 o End-of-day: Closeout Reports and Reconciliation

Section 2.D: Extension Stickers

• General

• Operational Policies & Procedures o Operational Policies − Sticker Security − Dispensing Stickers − Returning Stickers − Sticker Reordering − Damaged Stickers − Extension Sticker Issuance (ESI) o Operational Procedures − Dispensing Extension Stickers − Printing Daily Reports − Extension Sticker Issuance (ESI) Processing − Extension Sticker Return − Validating Daily Reports

• Attachments

2.A - 1

Section 2.A: Biometric Summaries

Biometrics Captured at ASCs:

• Code 1 – Fingerprints and photo. (See detailed procedures in Chapter 3.)

• Code 2 – Press-print, photo, and electronic signature (PPPS). (See detailed procedures in

Chapter 4.)

• Code 3 – Fingerprints, press-print, photo, and electronic signature. (See detailed procedures in Chapter 5.)

• Form I-90 – Processing of I-90 applicants. (See detailed procedures in Chapter 6.)

• Special Cases. (See details in Chapter 7.)

USCIS Benefits and Forms Common at ASCs:

Attachment 2.A – A lists the benefits and forms that are most commonly seen at ASCs and their usual processing code.

Attachment 2.A – B lists a series of “if – then” scenarios that regularly occur during ASC operations.

Attachment 2A – A

October 2015 2.A – A - 1

Attachment 2A – A: USCIS Benefits and Forms Common at ASCs

Benefits/Forms

Benefit Name Usual Process

N - 400 * Application for Naturalization Code - 3

I - 90 * Application to Replace Permanent Resident Card Code - 3

I - 129 Petition for a Non-Immigrant Worker Code - 1

I - 130 Petition for Alien Relative Code - 3

I - 131 * Application for Travel Document Code - 3

I - 246 Application for Stay of Deportation or Removal Code - 3

I - 360 Petition for Amerasian, Widow(er), or Special Immigrant Code - 3

I - 485 * Application to Register as a Permanent Resident or Adjust Status Code - 3

I - 539 Application to Extend / Change Non - immigrant Status Code - 3

I - 589 * Application for Asylum and for Withholding of Removal Code - 3

I - 590 * Registration for Classification as Refugee Code - 3

I - 600 Petition to Classify Orphan as an Immediate Relative Code - 1

I - 600A Application for Advance Processing of Orphan Petition Code - 1

I - 698 Application to Adjust Status from Temporary to Permanent Resident Code - 3

I - 730 Refugee and Asylee Relative Petition Code - 1

I - 751 * Petition to Remove the Conditions on Residence Code - 3

I - 765 Application for Employment Authorization Code - 3

I - 800 Petition to Classify Convention Adoptee as an Immediate Relative Code - 1

I - 800A Application for Determination of Suitability to Adopt a Child from a Convention Country Code - 1

Attachment 2A – A

October 2015 2.A – A - 2

Benefit Name Usual Process

I - 817 Application for Family Unity Benefits Code - 3

I - 821 * Application for Temporary Protected Status Code - 3

I - 821D * Request for Consideration for Deferred Action for Childhood Arrival Code - 3

I – 821P * Request for Consideration for Deferred Action for Parental Authority Code - 3

I - 829 Petition by Entrepreneur to Remove Conditions Code - 3

I - 881 Application for Suspension of Deportation or Special Rule Cancellation of Removal Code - 3

I - 914 Application for “T” Non-immigrant Status Code - 3

I – 918 Application for “U” Non-immigrant Status Code - 3

F - 100 Application to File for Fingerprinting for Flight Crew Training Code - 3

EOIR - 40 * Application to File for Suspension of Deportation Code - 3

EOIR - 42 * Application to File for Cancellation of Removal

The “*” designates those forms that are considered “Primary Forms” and must be processed as a Code-3, except if a child (under 12 years and 9 months).

Code - 3

Form Name

AR - 11 Address Change Form None G - 28 Notice of Entry of Appearance as Attorney or

Representative None

I - 94 Arrival and Departure Record None I - 151 Alien Registration Card (old “Green Card”) I-90 Renewal I - 551 Permanent Resident Card I-90 Renewal I - 766 Employment Authorization Card I-765 benefit I - 797 Notice of Action/Appointment Letter As on notice

Attachment 2A – B

October 2015 2.A – B - 1

Attachment 2A – B: ASC “If –Then” Scenarios

If then An I-90 applicant is 80+ years old process as a bio code 2.

An I-90 applicant is aged between 12 +9 months and 79 process using bio code on notice, usually a code 3.

An I-90 applicant is under age 12 +9 months process as a bio code 2.

An I-131 applicant is 80+ years of age process as a bio code 2.

An I-131 applicant is aged between 12 +9 months and 79 process using bio code on notice, usually a code 3.

An I-131 applicant is under age 12 +9 months process as a bio code 2.

An applicant is under 14 and was previously fingerprinted process using bio code on notice.

It is presumed that an applicant's fingerprints will be rejected by the FBI process the applicant as usual and also capture a FD258 card. If fingerprints are rejected, scan and submit the FD258 card within 7 days as a bio code 1 (including the TCR number) to avoid automatic rescheduling via NASS.

An I-589 applicant is aged over 12 +9 months process as a bio code 3.

An I-914 applicant is aged over 12 +9 months process as a bio code 3.

An I-918 applicant is aged over 12 +9 months process as a bio code 3.

An Extension-Sticker Only applicant appears at an ASC process as a bio code 4.

An N-400 applicant is aged over 12 +9 months process using bio code on notice, usually a code 3.

An N-400 MAVNI applicant appears with/without a valid A- Number process using bio code 1.

An I-360 applicant is aged over 12 +9 months process using bio code on notice, usually a code 3.

A UKVI applicant is under 5 process for photo only.

A UKVI applicant is aged 5-16 process using bio code on notice, usually a code 1.

A UKVI applicant is aged 16+ process using bio code on notice, usually a code 3.

A Canada Visa applicant appears at an ASC process using code 1 (slap prints only).

An applicant enters a POB or COC on their AIW that is not listed in the biometric machine select the "YY" Unknown code.

An applicant has an amputated hand or 1+ amputated finger(s) select the "XX" Amputation code (unless the first joint is partially present and can be printed).

An applicant was born with missing finger(s) or when a finger is present but is unable to be printed, e.g., disfigured, arthritis, bandages, etc.

select the "UP" Unable (Medically Incapable) code.

An applicant needs to be rescheduled but has been previously scheduled within 60 days use priority code 1 to bypass NASS/CPMS vetting.

2.B - 1

Section 2.B: Applicant Identification, Name Guidance, and Forms

Applicant Identification: The following table provides a matrix of identification requirements for various applications and the actions to be taken if the applicant cannot provide acceptable identification.

Application

Type Acceptable ID without ASC ISO Approval Action to be taken if no acceptable ID

I – 90

• Must have the Form I - 551 Permanent Resident Card unless the applicant filed the I-90 as lost (A), never received (B), or stolen or mutilated (C).

Refer to ASC ISO

All others to include I-821D except N-400s

• USCIS-issued photo ID or,

• State-issued driver’s license or,

• State-issued ID card or,

• Any country’s official ID (passport, driver’s license) or,

• Military photo identification.

N – 400 (Note)

• Form I - 551 Permanent Resident Card or,

• Passport with ADIT stamp.

Note: See Chapter 7, Benefit Procedure – Special Cases, for N - 400 applicant supplemental processing requirements.

Biometric processing should not be refused solely because an applicant does not present acceptable identification(s). The ASC ISO may accept secondary forms of identification as proof of identity. Using Fraudulent Document Detection techniques and years of immigration experience, an ASC ISO can usually discern the validity of the applicant’s identification. ASC ISOs shall conduct Central Index System (CIS) and/or Computer Linked Application Information Management System, version 4.0 (CLAIMS-4), CLAIMS Mainframe, and Customer Profile Management System (CPMS) checks to verify the identity of applicants that present questionable identification. ASC ISOs may also conduct a brief interview with applicants about their immigration history and biographical background. If the ASC ISO is unavailable and a questionable identity document arises, the Site Supervisor shall inform the applicant that s/he can either wait until the ASC ISO returns to be processed or use the ASC’s video tele-conferencing capabilities to review the situation with the next federal employee at a designated location. The ASC ISO shall not approve the processing of applicants presenting questionable identity documents without personally reviewing the original documents.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20SOP%20by%20chapter/Chapter%207%20Special%20Cases%20(UKVISA2).pdf

2.B - 2

For I-90 applicants, the I-551 card is required so that an extension sticker may be affixed if the requirements are met, i.e., card has expired or will expire within nine (9) months of the applicant’s appearance for processing. The ASC ISO should be able to confirm the filing status of the I-90 applicant and make the appropriate decision for processing at the ASC. A review of CPMS-ESI will confirm the applicant’s most current I-551 card. Only if the applicant has filed her/his I-90 as an A, B, or C category, would the applicant NOT have a current I-551 card and would therefore be processed but no extension sticker applied. If the applicant filed as any other category, s/he must have a currently issued I-551 card to be processed. If the applicant does not have a current valid I-551 card, the applicant should be told to retrieve the card and return for further processing. The ASC ISO should mark the applicant’s appointment notice as a priority return.

If the ASC ISO is able to confirm the applicant’s identity, s/he should write “Identity Confirmed” and place her/his initials in the top left hand margin of the applicant’s Contractor Processing Form (CPF) and return all documents to the Guard/Receptionist/Biometrics Technician. Once the ASC ISO has confirmed the applicant’s identity, there is no requirement to repeat the process. The ASC ISO’s initials on the applicant’s CPF will serve as notice to the receptionist, biometrics technician, and Site Supervisor that the ASC ISO is aware of the applicant’s ID and that the ASC ISO has confirmed the applicant’s identity. If the ASC ISO is unable to confirm the applicant’s identity, the ASC ISO should dismiss the applicant and instruct her/him to return to the ASC with valid ID. Alternatively, the ASC ISO may refer the applicant to the Local Field Office (LFO) for resolution.

See Chapter 7 for applicant identification guidance for Asylum, I-360, I-914, and I-918 applicants.

Appointment Notification Letter Guidance and Discrepancies:

Form I-797C, Notice of Action: If an applicant appears for processing with two (2) Form I- 797C, Notice of Action, the applicant may have to be fingerprinted (ten-printed) twice. If the form type is considered a Primary Form (see those forms bolded and marked by an “*” in the USCIS Case-Types and Forms Common at ASCs listing in Section 2.A. – A), then the applicant will need to be processed twice as a Code-3. Otherwise, the applicant will only be processed once, using the Primary Form type as the reason for fingerprinting and the other form type(s) as a secondary (additional) form(s). Up to two (2) secondary form-types receipt numbers may be entered at the biometrics workstation.

- Appointment Notification Letter & Form I-797 “Notice of Action” Photocopies: ASCs shall accept photocopies of Form I-797C, Notice of Action and Form I-797s from applicants appearing for biometrics and I-90 processing, if the applicant holds the proper form of photographic identification.

2.B - 3

- Discrepancies: If an applicant’s name, A-number, and/or DOB on their identification documents are not identical to the applicant’s Form I-797C, Notice of Action, the applicant shall be referred to the ASC ISO. The ASC ISO shall inform the applicant that any data changes need to be made by the applicant using the appropriate forms available on the USCIS website. Applicant names, A-numbers, and/or DOB shall not be changed from the applicant’s Form I-797C, Notice of Action /Form I-551. Therefore, all applicants will be processed using the critical identity elements as contained on the applicant’s Form I-797 appointment notice.

Critical identity elements include the following: Name, DOB, A number, and Social Security Number (SSN) [if appropriate]. Other identity elements may be changed to correct errors: height, weight, hair and eye color.

• Name Discrepancies When Biometrics are Required to Support an Application:

Always use the name as it is provided on the applicant’s appointment notice. If there are other names the applicant provides, enter the name(s) in the “Alias” field(s).

• Name Discrepancies When Code - 2 Biometrics Processing is Required to Support an

Application: Always use the name as it is provided on the applicant’s appointment notice.

• Address Discrepancies: Many applicants inform us of changes to their addresses while being processed. While we want to continue with our customer-service, the reality is that any changes we make in the data fields of our biometric machines do not register with all the proper USCIS databases. Therefore, ASCs will NOT make any address changes on the biometrics biographic fields. However, the biometrics technician must inform the applicant that s/he has to file a Form AR-11, Alien’s Change of Address Card. Also, the applicant could call the USCIS National Customer Service Center (NCSC). Telephone number: 1 (800) 375-5283 to inform the USCIS or go onto the USCIS web page and submit an on-line Change-of-Address request.

• Suffixes: No suffixes (Sr, Jr, the Second, III, etc.) will be entered into the name fields, not even to the middle name field or AKA fields for biometrics captures. (USCIS and other federal agencies search on first and last names and DOBs. Suffixes are not used.)

Name Guidance:

The first and last names are mandatory data fields on the biometrics workstation demographics page. The middle name must be entered if available – this is no longer an optional requirement.

Occasionally, however, applicants appear for processing who have only a single name (e.g., Cher) and thus do not have either a first or last name. Use the guidance below to handle these cases depending if they are a Code-1, 2, 3, or foreign country visa applicants.

2.B - 4

Code-1, 2 or 3

Single Name: In the “First” name data field, enter “No given name” and enter the single name in the “Last” name data field.

United Kingdom (UK) Visa

The last name is a mandatory data field on the biometrics workstation demographics page. If the last name data field is left blank, the record will not successfully transmit.

No First Name: In the “Other Names: First Middle” data field do not enter anything.

Leave blank.

No Last Name: Use the first name. In the “Family Name” data field enter the first name and leave the “Other Names: First Middle” blank. This will allow the file to transmit.

For additional information, refer to Chapter 4 and Chapter 7.C.1.

Canada Visa

The family (last) name is a mandatory data field on the biometrics workstation demographics page. If the Family name data field is left blank, the record will not successfully transmit.

A. Enter the family name only in the “Family Name” field. Up to 100 letters may be entered in the “Family Name” field. If the family name is longer than 100 letters, enter the first 100 letters, and then press enter. The family name may be a composite name such as Jones Smith or Doe D’Arc or Garcia-Brown, and may include the spaces, apostrophes, and/or the hyphens, any of which must be followed by a letter.

(Note: If the name is longer than 100 letters, it will wrap into the Given Name field.)

NOTE: Canada is a bilingual nation with a government requirement that allows applicants to print their Biometrics Instruction Letter (BIL) in either English or French. While the English version and spellings use the same letters that we use, the French version has a few special symbols either above or below a letter that will cause the 2-D barcode scan to print “??” where the letter should be. In those cases where the “??” appears, the BT will need to manually enter the correct single letter.

For example, “Coté” would appear as “Cot??” on the screen. The BT would put an “e” in place of the “??” and enter “Cote” as the last name.

B. Enter the Given Name only in the “Given Name” field. Note: No middle names or suffixes (Sr, Jr, the Second, III, etc.) will be entered. If the applicant does not have a Given Name, nothing will be entered in the “Given Name” data field. Leave the field blank. The Given Name may be a composite name such as Ann Mary or John L’Mon or Susan-Beth, and may include spaces, apostrophes, and/or hyphens

2.B - 5 which must be followed by at least one letter. If the combined Given Name is longer than 100 letters, enter up to 100 letters of the name and then press enter.

For additional information, refer to Chapter 7.C.2.

Applicant Information Worksheet (AIW):

An Applicant Information Worksheet (AIW) (Attachment 2.B – A) will be distributed by the guard/receptionist to each applicant requiring Code - 1, Code - 2, and /or Code – 3 biometrics processing. All Code - 1, Code - 2, and/or Code – 3 benefits applicants will fill out an AIW, to include one for each family member. (Foreign country visa applicants do not receive an AIW.)

ASC ISOs’ annotations (identity verification, etc.) will be provided on the Contractor Processing Form (CPF).

The AIW will be returned to the applicant upon completion of the applicant’s processing.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Applicant%20Information%20Worksheet%20(AIW).pdf

2.B - 6

Contractor Processing Form (CPF):

A Contractor Processing Form (CPF) (Attachment 2.B – B) will be distributed by the guard/receptionist to all applicants: all Code – 1s, Code – 2s, Code – 3s, and foreign-country visa applicants. This form will be used to document the processing sequences for an applicant.

All applicants will receive a clipboard with a CPF affixed thereto from the guard or receptionist. The guard/receptionist will assure the current date and ASC X-code are printed on the CPF form.

Guard / Receptionist Action: Enter the applicant’s A number or if a foreign visa applicant, the GWF or CIC number on the appropriate line. Under the section “Guard / Receptionist Action”, upon the issuance of a next-service number by the receptionist, the time that the number was provided to the applicant will be entered on the CPF along with the service number given the applicant.

ASC-ISO Referral Action: If the applicant must be referred to the ASC-ISO, the applicant will be directed to the designated ASC ISO waiting area, and the “ASC-ISO Referral Action” section will be filled out by the employee who is referring the applicant to the ASC-ISO. This may be the guard and/or receptionist if there is an issue noted by either one. It may also be by the Biometric Technician (BT) who discovers an issue while processing the applicant. The time referred will be completed and the appropriate reason for referring the applicant will be marked. The reason for this section is to allow the referring staff member to return to her/his duties rather than wait until the ASC-ISO has resolved the issue. Particularly at larger ASCs, the number of applicants waiting to be processed for a referral by the ASC-ISO could be substantial. Rather than waiting for resolution and not processing another customer, the referring technician can return to her/his duties.

If the referred action is resolved and the ASC-ISO confirms continuation of the applicant’s processing, the ASC-ISO will complete the appropriate Referral Resolution line, and the applicant will be returned to the station from whence s/he was referred to complete the processing.

Biometrics Technician Action: The “Biometrics Technician Action” will be completed by the BT who processes an applicant (either USCIS or foreign visa). The completed form will be retained by the BT for reconciliation purposes at the end of the day.

Note: There is no Personal Identification Information (PII) on the CPF. The CPF will NOT be provided to the applicant.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Contractor%20Processing%20Form%20(CPF).pdf

2.B - 7

Customer Comment Cards and Customer Service Report (CSR):

Upon completion of an applicant’s biometrics procedure and after the technician’s QA review, each applicant, to include foreign visa applicants, will be given a Customer Comment Card (Chapter 1, Attachment 1 – F), asked to complete it, and then to deposit it in the customer-survey comment box. At the end of the business day, the Site Supervisor will retrieve the customer-survey cards from the customer-survey comment box. Review each customer card and record the total number of comments for each customer-service category.

Record Retention of ASC Forms and Reports: See Attachment 2.B – C for a list of all forms and reports with their respective disposition requirements.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/ASC%20Customer%20Comment%20Card.pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20SOP%20by%20chapter/Chapter%201%20(Operations).pdf

2.B - 8

2.B Attachments

A – Applicant Information Worksheet (AIW)

B – Contractor Processing Form (CPF)

C – Records Retention

Attachment 2.B – A

October 2015 2.B – A

Applicant Information Worksheet

NOTICE

The following applicant information needs to be provided so that the proper processing of the individual’s biometrics can be made.

NAME:

Last First Middle

DATE OF BIRTH: ________ ________ _______ PHONE #:

(Month) (Day) (Year)

COUNTRY OF BIRTH: GENDER: (M)ale or (F)emale

COUNTRY OF CITIZENSHIP: RACE: Circle the most appropriate code below:

American Indian or Alaskan Native Black White / Hispanic Asian or Pacific Island Unknown

HEIGHT: ______ Feet _____ Inches WEIGHT: _______ Pounds

Circle Eye Color: Blue, Brown, Green, Gray, Hazel, Maroon, Pink, Unknown

Circle Hair Color: Bald, Black, Blonde, Brown, Gray, Red, Sandy, White, Unknown

USCIS A #: Application Number(s):

(If no USCIS A #, use SSN.)

LIST ANY OTHER NAMES YOU HAVE USED: (Include maiden name, previous marriage, AKA, etc.)

1.

Last First Middle

2.

Last First Middle

3.

Last First Middle

When you have completed this worksheet, turn it into the receptionist. Have this worksheet, your Form I- 797C, Notice of Action, and picture identification available.

Upon completion of processing at the ASC, this form WILL BE RETURNED to the applicant.

Updated October 2015

Attachment 2.B – B

October 2015 2.B – B

Contractor Form (October 2015)

Contractor Processing Form

_______ ASC

Applicant A# / GWF/CIC #: ____________________ Date: ________________

Guard / Receptionist Action

Time AIW reviewed and/ or applicant provided next-service number (or letter): ___________________

Customer Service Number provided: _____________________________

ASC-ISO Referral Action

Time referred to ASC ISO: ________________

Reason(s) for Referral: [circle choice(s)]

Other: Open Wound / Questions for ASC ISO / Attestation Issue / BT write-in: _______________________

ID: Photo / Name / DOB / A # / Country of Birth / No ID / No I-551 Receipt #: None / Wrong #

I-797: Another ASC location / Only Receipt # / No I-797 / Code Verification

Misc: Court Case / District Walk-in / Passport Stamp TCR Missing

Barcode scan differences: Name / A # / DOB Waiver Required: Ten-prints / Signature

Referral Resolution: Date: Verified By:

(ASC ISO Initial) Referred to LFO: Date:

For I-90 Referrals, NBC updated: Date: ______________ Reason:

Biometrics Technician Action

Machine #: _______ Bio-Technician #: _______________ Date Processed: __________________

Biometrics Captured: Form Type: __________ Code – 1: _____ Code – 2: _____ Code – 3: _____ I-90: _____ Manual: _____ District/Walk-in: _____ UK Visa ______ Canadian Visa _____

BT Processing Time: Start Time: ____________________ Finish Time: ___________________

For I-90 Processing:

Bio Technician #________________ Extension Sticker Number Issued: _____________________

Attachment 2.B – C

October 2015 2.B – C - 1

Attachment 2B – C: Records Retention

Record/Form Disposition Instructions Remarks

1. SMART Summary by

Appointment Code Report

Retain in ASC for 30 days, then shred.

File in cabinet or similar device in chronological order in area of ASC not accessible to unaccompanied applicants.

2. Form I-90 Sticker Accountability Log

(SAL)

Retain in ASC for three years, then shred.

File in secure location in ASC ISO’s office.

3. Damaged Form I-90 I-551 Extension Sticker on 3X5 card

Retain in ASC for 30 days, then shred.

File in secure location in ASC ISO’s office with Daily Reconciliation Report.

4. Mobile Route Scheduling Confirmation Notice

Retain at ASC until submission of Mobile Route Statistical Report, then shred.

5. Mobile Route Statistical Report

Retain in ASC for 30 days, then shred.

File in ASC in area not accessible to unaccompanied

6. Notice with Police Clearance Notice & Appointment Letter

Retain in ASC for three years, File in chronological order based on date granted in three-ring binder in ASC ISO’s office.

7. ASC Incident Report

(AIR)

Retain in ASC for 30 days, then shred.

File in ASC in area not accessible to unaccompanied

8. Daily Production and Customer Service Report

Electronic copies maintained in “Retrieve Archived DPR” section of the ASC Post.)

9. UK and Canada Visa Applicant Daily Accountability Rosters

(ADAR)/(CADAR)

Retain in ASC for 90 days, File in secure location in Site Supervisor’s office.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Sticker%20Accountability%20Log.pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Sticker%20Accountability%20Log.pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/ASC%20Incident%20Report%20(AIR).pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/ASC%20Incident%20Report%20(AIR).pdf

Attachment 2.B – C

October 2015 2.B – C - 2

Record/Form Disposition Instructions Remarks

10. Customer Comment

Cards Retain in ASC for 30 days, then dispose (shredding not required unless PII data was added by the applicant. Shred any cards with PII.)

File in secure location in Site Supervisor’s office.

11. G-504 Retain in file – permanent document.

File in Site Supervisor’s office.

12. USCIS Travel Authorization Request

Retain until completion of Expense Report, then shred.

File in Site Supervisor’s office.

13. Emergency Password Access Form (LAN, WAN or email account)

Retain in ASC safe until required; once completed attach to LAN/WAN Log and provide to ASC ISO.

ASC ISO will retain completed form in the safe for 90 days, then shred.

14. LAN/WAN Log Once completed attach to Emergency Password Access Form and provide to ASC

ISO.

ASC ISO will retain completed log in the safe for 90 days, then shred.

15. ASC Visitor Log Retain completed sheets in ASC for one year, then shred.

File in Supervisor’s Office.

16. Contractor Processing Form (CPF)

Retain for one month, then shred.

File in Site Supervisor’s office.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/ASC%20Customer%20Comment%20Card.pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/ASC%20Customer%20Comment%20Card.pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/ASC%20Form%20-%20Visitor%20Log.doc http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Contractor%20Processing%20Form%20(CPF).pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Contractor%20Processing%20Form%20(CPF).pdf

2.C - 1

Section 2.C: Common Operational Procedures

This section is divided into three subsections that describe those common procedures used at the start of the workday, those common procedures used to process all applicants, and those common procedures used to perform the administrative functions needed to obtain reports, to complete reports, and to finalize daily operations.

Sub-section 2.C.1 details the common procedures used at the start of the workday:

procedures each technician should follow to prepare for daily operations at her/his respective workstation.

Sub-section 2.C.2 details the common procedures used to process all applicants: guard and receptionist duties and the process to dismiss an applicant after her/his benefit processing has been completed.

Sub-section 2.C.3 details the management’s (Site Supervisor and/or ASC ISO) duties at the beginning of the business day to review expected workloads and at the end of the business day to reconcile daily production statistics.

2.C.1 - 1

Sub-section 2.C.1: Daily Start-up Procedures

General Procedure Description: Each technician uses these procedures to ensure that her/his workstation is operational.

When to Use This Procedure: Prior to the start of the first work day of the week.

Who Performs This Procedure: The biometrics technicians usually complete the actions in this procedure.

Biometrics Workstation

Accessing the Biometrics Workstation Step Action

1 BD’s biometrics machines have an automatic sleep mode which reduces the electrical power requirements of the machine after four (4) hours of non-use.

NOTE: While biometric workstations no longer need to be powered off over the weekend, the workstations should be ‘restarted’ on the first business day after a weekend and/or holiday. To ‘awake’ the machine, the CTRL, ALT, and DELETE buttons must be pressed at the same time.

2 A ‘Warning’ screen will appear. Click the ‘OK’ button or press the ‘Enter’ key to proceed.

3 A Windows login screen will appear with “User name” and “Password” boxes.

4 The BT enters her/his User ID name in the “User name” field and then enters her/his password in the “Password” field. Press the circled blue arrow or the ‘Enter’ key to proceed to the next screen.

5 The biometric machine application screen will appear with “User name” and “Password” boxes. The BT enters the same user ID and password as before. Press the ‘Enter’ key or click on the ‘LOGIN’ button to proceed.

6 The “Home - Record Inventory” screen will appear. The user is now ready to process applicants. By clicking on the upper left icon (the “Create New Record” button), the BT is ready to select the appropriate benefit process for the applicant s/he is preparing to process. (Refer to the specific benefit procedures chapter for the remaining procedures to follow to complete the processing of an applicant.)

2.C.1 - 2

Note: The ASC ISO should use the Site “X Code” and m1 (ASC ISO), m2 (Assistant ASC ISO), or mt (detailed or temporary ASC ISO) as their employee/tech ID. For example, the ASC ISO at Brooklyn would be XNIm1; the Assistant would be XNIm2; and an USCIS officer detailed into the Site to cover the absence of the ASC ISO would be XNImt.

2.C.2 - 1

Sub-section 2.C.2: Applicant Processing

General Procedure Description: These procedures are used in processing an applicant for a benefit, e.g. checking the applicant’s Form I-797C, Notice of Action, picture identification document (ID), fingers for cuts, etc.; reviewing the Applicant Information Worksheet (AIW);

assuring the applicant has a Contractor Processing Form (CPF), and providing the applicant with a customer service number. (See ASC SOP Chapter 7 for “Special Cases” processing.)

Note: If an applicant is referred to the ASC ISO before the applicant is provided a customer service number, the applicant will be given a letter so that the ASC ISO will know in which order to review the applicant’s reason(s) for referral.

When to Use This Procedure: Processing an applicant for a benefit after the applicant arrives at an ASC with a Form I-797C, Notice of Action.

Who Performs This Procedure: The ASC guard and/or receptionist usually complete the actions in this procedure.

Guard/Receptionist Processing

Initial Applicant Processing by the Guard/Receptionist

1 Politely greet the applicant and ensure applicant is seeking a benefit service.

2 Verify the applicant’s scheduled appointment date on the appointment Form I-797C, Notice of Action t notification letter is today. If the scheduled appointment date is not for today and a number of applicants are waiting to be processed, refer the applicant to the ASC ISO. If the appointment is not for today and the applicant can be processed without causing any other applicants to be turned away, process the applicant. If the applicant does not have proper ID or the applicant is an Asylum case filing Form I-589 and does not have proper identification, or there are family members present to be printed whose names do not appear on the appointment notice, refer applicant(s) to the ASC ISO.

3 Check the applicant’s hands for cuts or open wounds. If cuts or open wounds are present, refer the applicant to the ASC ISO for rescheduling.

4 For all applicants, provide them with a clipboard with the Contractor Processing Form (CPF) affixed thereto. If the applicant is an USCIS benefit applicant, provide that applicant with an Applicant Information Worksheet (AIW) to complete.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Applicant%20Information%20Worksheet%20(AIW).pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Contractor%20Processing%20Form%20(CPF).pdf http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20SOP%20by%20chapter/Chapter%207%20Special%20Cases%20(UKVISA2).pdf

2.C.2 - 2

5 Instruct the applicant to complete the AIW in the waiting area and to proceed to the receptionist after s/he has completed the AIW. Or, if a foreign visa applicant, instruct her/him to proceed to the receptionist station.

Notes:

1. The primary role of the ASC guard is to provide crowd control and ensure the safety of employees and applicants. Site Supervisors will ensure the secondary role of initial applicant processing does not interfere with the guard’s primary responsibilities of crowd control and safety.

2. If an applicant appears at an ASC prior to her/his scheduled time and there are biometrics technicians available to take the applicants fingerprints without inconveniencing any other scheduled applicant, the applicant shall be processed.

2.C.2 - 3

Receptionist’s Processing

Receptionist’s Processing of the Applicant’s AIW

1 Politely greet the applicant.

2 Verify the applicant has the required government-issued picture ID for the desired benefit.

3 Verify the applicant’s identity by comparing the picture ID to the applicant.

Compare facial type, bone structure, skin color and texture, ear size, neck size, eye color and size, nose size, mouth shape, forehead size, and lip size and shape. If the picture ID does not match the applicant’s physical characteristics, refer the applicant to the ASC ISO by marking the appropriate entries on the CPF and giving the CPF to the ASC-ISO.

4 Verify the accuracy of the A-number, name, and date of birth (DOB) by comparing the applicant’s AIW with the applicant’s Form I-797C, Notice of Action and ID card. If the AIW A-number, name, and/or DOB do not match the applicant’s Form I-797C, Notice of Action and/or ID card, refer the applicant to the ASC ISO by marking the appropriate entries on the CPF and giving the CPF to the ASC-ISO.

5 Stamp Form I-797C, Notice of Action with biometrics stamp and enter today’s date and site X-code.

6 Verify completeness of the personal information by ensuring all blocks on the AIW are checked/completed.

7 Complete the “Contractor Processing Form”. Fill in the date and mark the appropriate Code - 1, Code - 2, or Code - 3 block. If I-90 or manual, mark I-90 or manual block as well. Also, note whether or not this is a N-400 applicant. If so, follow the special-case procedures outlined in Chapter 7, Section B, Designated Benefit 4: “N-400 Applicant Pamphlets.”

8 Return the stamped Form I-797C, Notice of Action, ID, AIW, and the CPF to the applicant.

9 Provide the applicant a customer service number, duly mark the appropriate entries on the CPF under the ‘Guard/Receptionist Action’, and direct the applicant to the appropriate waiting area.

Note: If an applicant cannot provide any fingerprints, or the applicant, a family member, or

2.C.2 - 4 representative requests a fingerprint waiver, refer the applicant to the ASC ISO. The ASC ISO shall process the applicant in accordance with Chapter 8, “Administrative Procedures”.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20SOP%20by%20chapter/Chapter%208%20Administrative%20Procedures.pdf

2.C.2 - 5

Dismissing Applicants

General Procedure Description: This procedure is used in final applicant processing, e.g., returning the Form I-797C, Notice of Action, AIW, and ID; providing the applicant with a customer comment card; completing the CPF; and dismissing the applicant.

When to Use This Procedure: After the quality assurance (QA) procedures have been completed.

Who Performs This Procedure: The biometrics technician usually completes the actions of this procedure.

Dismissing the Applicant

1 Return the applicant’s stamped Form I-797C, Notice of Action with the processing data filled in, the applicant’s picture ID, the applicant’s AIW, and if appropriate, any original document(s) the applicant may have provided.

2 Give applicant a customer service card and ask that s/he complete it.

3 Request that the applicant deposit the completed card in the “Customer Service Box” prior to departing the ASC.

4 Direct the applicant to the exit.

5 Complete the Contractor Processing Form (CPF) and file the form in a location determined by Site Supervisor.

2.C.3 - 1

Sub-section 2.C.3: Management Daily Procedures

Management Daily Procedures

General Procedure Description: This phase is used in daily start-up and closeout and reconciliation of applicants processed.

When to Use This Procedure: At the beginning and end of each working day.

Who Performs This Procedure: The Site Supervisor and/or the ASC ISO usually complete the actions in this phase. This procedure is divided into two phases: those to be used at the beginning of the work day to review the expected workload for the site and those to be used at the end of the work day for closeouts to ensure daily SMART reports and BTs’ records (if applicable) are reconciled with daily production totals.

August 2015 2.C.3.1 - 2

Sub-section 2.C.3.1: Beginning of Day: Weekly Scheduling Report

Background: In the past, immigration benefit applicants could call and schedule an appointment to an ASC through the National Customer Service Center (NCSC). With the advent of electronic filing and the USCIS requirement to control more directly the applicant flow into the ASCs, time/date specific scheduling was done primarily through two entities: Scheduling and Notification of Applicants for Processing (SNAP) and Enterprise Edition (EE, also known as

CLAIMS-4).

Now, the National Application Scheduling System (NASS) is the single entity through which most of the immigration benefit requests make appointments, to include ASCs. Soon, Field Office interviews and other scheduling requirements will also be included.

As always, U.S. Courts and other USCIS offices (e.g., asylum offices) can schedule applicants into an ASC but usually do so by providing a two-week window for the applicant to appear at the ASC vice a specific time/date appointment.

Operational Policies & Procedures: To provide each ASC or a site’s management team with its expected workload, access to the Standard Management Analysis & Reporting Tool (SMART) website allows ASCs to see their upcoming weekly workloads. NASS schedules applicants over the weekend and uploads the data. The SMART system assimilates the latest data and creates reports that are available on the first operational day of the workweek. The workload reports show the expected workload by hour and type for each day in the scheduling window. A typical scheduling notice is at Attachment 2.C.3.1 – A. Daily, the site management should review this report to determine the expected workload for that day. With this information, the ASC ISO should be able to coordinate with her/his local office to accommodate any scheduling requirements that the local office may have.

https://nass.uscis.dhs.gov/nass-web/ https://smart.uscis.dhs.gov/analytics/

Attachment 2.C.3.1 – A

October 2015 2.C.3.1 – A

Sample Weekly Scheduling Report

2.C.3.2 - 2

Subsection 2.C.3.2: End of Day: Closeout Reports and Reconciliation

Background: Most ASC applicants are seeking a benefit for which various biometrics are captured and then used throughout USCIS in both the validation of the right to a particular benefit and the production of an identity card verifying that applicant is entitled to a particular benefit status. While USCIS needs to know how many applicants were processed daily, the electronic systems that record the benefit(s) provided count applicants by receipt number(s) and type of benefit captured, i.e., ten-prints or biometrics (PPPS). As with many electronic systems, although not often, records may be lost; hence, the need for reconciliations between what was processed at the ASCs and what was received within the USCIS databases.

Operational Policies & Procedures:

Operational Policies:

In order to ensure that the ASC portion of the handling of the biometrics capture information is input to USCIS systems as accurately as possible, it is imperative that cross-checks be performed at various phases of the operation. As a result, registers have been incorporated in most systems to account for the status of transactions at or through a specific piece of equipment. For example, the ASC staff can determine the number of records processed at a biometrics workstation or the number of records received at a certain point in the moving of data between systems, say to the Customer Profile Management System (CPMS) or other central servers (the foreign biometrics).

To ascertain if any errors occurred and need to be corrected, daily reconciliation of the number of applicants processed and the records generated and forwarded through the system must be checked to ensure every applicant and record are accounted for.

The three areas of record review at an ASC are: CPFs, biometric workstation manifests (registers), and SMART Reports.

CPFs: Contractor Processing Forms are the physical records of most applicants who have appeared at an ASC for processing on any given day. CPFs will need to be separated into the various processing codes (Code - 1, - 2, or – 3 and foreign visa types).

Biometric and Other Manifests: Each biometrics capture workstation has its own record of transactions that have occurred at that workstation. Also, BTs’ records can be used to determine the daily number of visas, manual records scanned, and I-90s processed.

SMART Transaction Reports: Standard Management Analysis and Reporting Tool (SMART) provide reports of the total number of transactions that were received and forwarded for both ten-prints and biometrics (PPPS), as well as foreign visa transactions.

http://connect.uscis.dhs.gov/org/ESD/biometricsdivision/ASC%20ISO%20Toolbox/Contractor%20Processing%20Form%20(CPF).pdf

2.C.3.2 - 3

Operational Procedures:

The following procedures are used daily to closeout and reconcile all the applicants processed throughout the business day. The Site Supervisor and/or the ASC ISO usually complete these actions to ensure that daily production totals are accurate and complete for both electronic and manual transactions.

2.C.3.2 - 4

Reconciling Electronic Biometrics Capture Totals

General Procedure Description: These procedures are used daily to closeout and reconcile all the applications processed throughout the business day.

When to Use This Procedure: At the end of each working day.

Who Performs This Procedure: The Site Supervisor and/or an authorized employee usually complete these actions to ensure that daily production totals are accurate and complete for all transactions. To do so, the staff reconciles SMART reports with the daily production totals.

Computing Daily Totals

1 Collect the CPFs and BTs’ records from each technician at the end of her/his shift.

2 CPFs are separated into processing type: Code-1, Code-2, Code-3, or foreign visa type for each technician.

3 Using the BTs’ record calculate the number of FAUFs (Code-1 and Code-3 Ten-prints).

4 Using the BTs’ record calculate the total number BIOS1 (Code-2 and Code-3 photo receipts) Note: include all receipts to confirm all receipts transmitted.

5 Confirm the CPF count matches the information provided on the BTs’ contractor record for ten-prints and total number of receipts.

6 Get the daily number of the FD-258 cards printed for the day using the BTs’ records. (Make note of the number of “No Scan” cards as these will not transmit electronically and will be used in a later calculation.)

7 Confirm the number of UK and Canada visa applicants processed for the day using BTs’ records and the number of GWF and CIC receipt numbers recorded on the receptionist’s UK and Canada Visa Applicant Daily Appointment Rosters.

8 Enter the daily totals and processing information for each technician from the BTs’ records on contractor daily production report.

9 Print contractor daily production report and prepare to do a reconciliation.

2.C.3.2 - 5

Computing Daily Totals (Code-1, Code-2 and Code-3)

Step Action 1 Run the SMART reports for your site. These reports are for digital fingerprinting and biometrics capture (Code-1, Code-2 and Code-3). Instructions to access and use SMART reports for reconciling Visa records to follow.

2 Run the ASC Daily Reconciliation reports, by logging into SMART https://smart.uscis.dhs.gov/analytics/ using your USCIS user ID and password.

3 On the “My Dashboard” page from the “Dashboards” drop down menu, select “CPMS” ASC Daily Reconciliations.

4 The “Daily Overview Prompt” screen will appear by default. Select your Site Code from the drop down list. Or with CAPS Lock on you can type in your Site Code and Identifier. For example: XLK4D2

5 Today’s date is the default. (If you need another date, type it in). Click “Apply”.

6 Various SMART reports will appear to assist you in your reconciliation.

1. Summary by Transaction Type Displays by Machine Number: BIO1s (total # of Codes 1, 2, and 3 photo receipts) and FAUFs (total # of Code-1 and -3 ten-prints) received.

2. Summary by Appointment Code Displays by Employee ID: Total number of Code - 1, 2, and 3 received and grand total for site.

3. Summary of Errors by Transaction Type Displays number of records by BIO1s (photos) and/or FAUFs (10-prints) that have gone into error status.

4. Reconciliation Report – Error Summary Displays details on each record that has gone into error status.

5. Reconciliation Report – Appointment Code Displays details on each appointment to include A number, Receipt number(s), TCN information, Appointment ID, Employee ID, and Machine Number.

6. Reconciliation Report – Appointment Details – Sort by Employee ID Displays details on all appointments sorted by Employee ID.

2.C.3.2 - 6

Computing Daily Totals Step Action

7 First view the SMART #3 “Summary of Errors by Transaction Type”. Verify all transactions have been successfully transmitted. If SMART #3 report reflects any results, the number of transactions (FAUF and BIO1s) listed will not have been successfully transmitted and will not show up in the numbers on #1 “Summary by Transaction Type”, # 2 “Summary by Appointment Code”, # 5 “Reconciliation Report - Appointment Code” or # 6 “Reconciliation Report - Appointment Details –Sort by Employee ID” reports. Corrective action must be taken before the transactions will be transmitted.

8 If any records appear on the #3 “Summary of Errors by Transaction Type” use the #4 “Reconciliation Report – Error Summary” report to determine the reason the record(s) is in error status and immediately contact the USCIS Service Desk to resolve the issue.

9 Follow contractor guidance on the current record transmission notification…