Chapter_5_Code_3_(Both).pdf

Chapter 5

Benefit Procedure – Code - 3 (Both)

ASC Standard Operating Procedures

Chapter 5: Benefit Procedure – Code - 3 (Both)

2012 Edition

September 2012

5 - 2

Introduction: This chapter provides standardized operating procedures at each ASC to ensure a consistent process is used in processing applicants that appear with a Code - 3 appointment notice (Form I-797).

ASCs staffed only with a Site Supervisor, the Site Supervisor shall perform the steps and actions usually performed by the guard/receptionist and biometric technician, and the ASC ISO shall perform the quality assurance (QA) steps and actions. The Site Supervisor and/or the ASC ISO shall perform the QA steps and actions when necessary. The key points to remember in processing applicants are not to leave an applicant alone at an active workstation and to ensure a second person conducts a QA review unless you have been designated a “self QA” by your Site

Supervisor.

Background: Prior to appearing at an ASC for processing, an applicant submits an application and filing fee. After the application is processed, an I-797 appointment notification letter is mailed to the applicant. The appointment notification letter instructs the applicant to appear at an

ASC for processing, as a Code - 1, Code - 2, Code - 3, or special case.

ASC Benefit Procedure – Code - 3 processing is recording, storing, and transmitting an applicant’s biographical data, press print, photo, signature, and ten - prints to a service center.

The biometrics workstation is a live-scan record management system capable of electronically capturing an applicant’s biometrics -- press print, photo, signature, and ten-prints. (For special circumstances, manual “ink” ten-prints may have to be taken, but the PPPS (Code-2) portion will be made using the biometrics workstation.) Specific biometrics workstation operating instructions may be found in the current Operations Guide, which is available from the Site

Supervisor.

Operational Procedures: The following procedures shall be used in processing

Code - 3 applicants.

Biometrics Processing: Applicants with a Code - 3 shall receive biometrics processing to capture biographical data including receipt number(s), press-print, photo, signature, and ten-prints. Either electronic or manual (ink) fingerprinting may be used in processing the ten-print

(Code-1 portion) of Code - 3 applicants.

Remember: If manual (ink) fingerprinting was used to capture the Code-1 portion, do not forget to capture the Code-2 portion on the biometrics capture machine.

Note: Software for the biometrics workstations allow for a seamless transition for the two processes that make up a Code - 3 processing. Only one QA review of the Code - 1 ten-print capture and the Code - 2 PPPS capture needs to be done. Rather than repeat the steps of each, follow the detailed procedures of Chapter 3, Benefit Procedure – Code - 1 and of

Chapter 4, Benefit Procedure – Code - 2, in completing the Code - 3 process.

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Applicant Processing Code - 3

Accessing the Biometrics Workstation

CODE – 3 ONLY

Step Action

1 Select Code - 3 – Applicant and Biometric.

2 Select Receipt number(s) option.

3 Select Signature option.

4 If applicable, use 2 - D barcode reader to scan 2 - D barcode from applicant’s notification letter. The demographic information entered using the 2 - D barcode displays with a prompt to add the information to the record. Press “Yes” or

“Enter”.

5 Complete the first three demographic screens. Edit demographic data as needed.

Press F6 (Page Down) to display the next demographic screen.

6 Then complete the fourth demographic screen. If applicable, use the barcode reader to scan the 1 - D barcodes from applicant’s notification letter. The demographic information entered using the 1 - D barcodes display with a prompt to add the information to the record. Press “Yes” or “Enter”.

NOTE: Read-only data displaying in yellow on the fourth demographics screen reflects the demographic information already entered on the first three demographic screens. Blue boxes on the fourth demographics screen must be filled in.

Capturing the Ten-Prints and Biometrics

CODE – 3 ONLY

1 Capture the applicant’s ten-prints using the procedures detailed in Chapter 3.

2 Capture the applicant’s biometrics (PPPS) using the procedures detailed in

Chapter 4.

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Quality Assurance (QA) Review

Quality Assurance Check of the Applicant’s Demographics

1 Request the applicant’s appointment notification letter, picture ID, and AIW from the biometrics technician.

2 Verify the applicant has the required government issue picture ID for the desired benefit. If the applicant does not have the required picture ID for the desired benefit, check the AIW to see if it has been annotated by the ASC ISO. If the applicant’s AIW has not been annotated, refer the applicant to the ASC ISO.

3 Verify the applicant’s identity by comparing the picture ID to the applicant. If the picture ID does not match the applicant’s physical characteristics, refer the applicant to the ASC ISO.

4 Verify accuracy of the applicant’s demographic information with the appointment notification letter, AIW, and ID card. If there is an error in the name, DOB, and/or

A-number, summon the ASC ISO. If other corrections are required, direct the biometrics technician to make the corrections.

5 Re-verify the receipt number(s).

Quality Assurance Check of the Applicant’s Fingerprints, Press-print, Photo, and Signature

Step Action

1 Verify all fingerprints are classifiable (or best print possible) by determining if ridges and deltas are visible.

2 Verify fingerprints are rolled nail-to-nail in top ten blocks.

3 Verify fingerprints are not smudged and in the proper order.

4 Verify press-prints clarity and that the total number of press-prints is equal to the total number of rolled prints.

5 If Special Options are used in cases of missing digits, verify “XX” or “UP” is visible in lieu of a fingerprint in the appropriate blocks.

6 If there is a problem, direct the biometrics technician to re-capture the unacceptable fingerprints.

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Quality Assurance Check of the Applicant’s Fingerprints, Press-print, Photo, and Signature

7 Select “Next Page” to access the biometric press print review screen.

8 Use the Up/Down function keys to select “Enlarge”; press the “Enter” key, and the applicant’s right index press-print will be outlined in blue.

9 Press the “Enter” button on the control pad and the press-print will be enlarged.

10 Verify print clarity. If there is a problem, direct the biometrics technician to recapture.

11 Use the Up/Down function keys to select “Exit”; press the “Enter” button on the control pad, and the card preview screen will reappear. Press “Escape” and the card preview screen will appear.

12 Use the Up/Down function keys to select “Signature”; press the “Enter” key, and the

“Enter signature of applicant” screen will appear.

13 Verify the applicant’s entire signature is inside the signature block. If there is a problem, direct the biometrics technician to recapture.

14 Use the Up/Down function keys to select “Accept”; press the space bar, and the card preview screen will reappear.

15 Use the Up/Down function keys to select “Photo”; press the “Enter” key, and the

“Review Images” screen will appear.

16 Use the Up/Down function keys to select “Photo”, and the applicant’s photo will appear.

17 Verify the photo is free of shadows and is a full-frontal facial view with all facial features identifiable. (See Chapter 4, pages 4 - 3 and 4 - 4 for exceptions based on religious accommodations.) Make sure the photo is not too dark. If the photo appears dark, ensure the biometrics technician is aware of how to use the backlight setting on the camera, or else, have the biometrics technician use a reflector to enhance the facial features. Verify that the photo has an off-white background with no other objects or person in the picture. If there is a problem, direct the biometrics technician to recapture the photo.

18 Use the Up/Down function keys to select “Done”; press the “Enter” key, and the card preview screen will reappear.

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Quality Assurance Check of the Applicant’s Fingerprints, Press-print, Photo, and Signature

Step Action

19 Use the Up/Down functions keys to select “QCID” box and press “Enter”. Type in your six-digit user ID and press enter.

20 Use the Up/Down function keys to select “Done”; press the “Enter” key, and the log-on screen will reappear.

21 Record the ASC site code, today’s date, and your six-digit employee number in the appropriate space of the Biometrics Processing Stamp on the applicant’s appointment notice. (If QA’d by the ASC ISO, see Note 3 below for what to enter on the

Biometrics Processing Stamp.)

22 Ensure “FOR OFFICIAL USE” section on the AIW is complete and accurate.

23 Return the applicant’s AIW, Form I-797(s), and picture ID to the biometrics technician. See Note 4 below.

Notes:

1. The first and last name and receipt number(s) are mandatory data fields. The middle name, social security number (SSN), and A-number data fields should be entered if available but are optional and not required. No suffixes (Sr, Jr, the Second, III, etc.) will be entered. If the applicant has an A-number, it should be reflected in the Form I-797

“Applicant:” block above the applicant’s name. The applicant’s name on the Form I-797 shall be used exclusively, regardless of subsequent name changes. If the applicant does not have a first name, enter “No given name” in the “First” name data field.

2. Multiple receipt numbers shall be entered for applicants that have filed concurrent “Case

Type”, e.g., I-485, I-765, and/or I-131.

3. The ASC ISO should use the Site “X Code” and m1 (Officer), m2 (Assistant ASC ISO), or mt (detailed or temporary ASC ISO) as her/his tech ID number. For example - the

ASC ISO at Brooklyn would be XNIm1; the Assistant would be XNIm2; and a USCIS

Officer detailed into the Site to cover the absence of the ASC ISO would be XNImt.

4. If all processing has been completed and upon completion of the QA check, the biometrics technician will proceed with the dismissal procedures of the applicant.