USCIS officials told us that of the approximately  30,000 naturalization cases where the A-file status indicated something  other than received in the district office, A-files were probably available in  a number of them. According to the  report, several locations were not using NFTS although NFTS was  available. USCIS officials offered several reasons why some staff may not be  complying with NFTS file-tracking procedures. USCIS records officials stated  that local management may not be emphasizing enough the importance of  using NFTS. Missing A-files Can Affect the Naturalization Adjudication Process in Several Ways

Missing A-files can cause delays in awarding immigration benefits, hinder  USCIS’s ability to uncover immigration fraud, and limit DHS’s ability to  take enforcement actions. For example, adjudicators must  take additional steps when adjudicating a naturalization application  without an A-file. Specifically, these steps include    verifying the applicant’s lawful admission to the United States and that  the applicant has lived in the United States as a lawful permanent  resident for the required amount of time—generally, 5 years—and lack  of disqualifying information in USCIS databases,    extra supervisory reviews to ensure that naturalization processing  procedures have been followed, and    not scheduling the oath ceremony on the same day that the  naturalization application is adjudicated to allow sufficient time for the  required supervisory reviews. Conclusions

Although USCIS deems having an A-file critical to adjudicating a  naturalization application, USCIS staff are not required to record whether  an A-file was used to adjudicate a naturalization application. DHS staff who have access to A-files  may not be consistently using NFTS to track the movement of A-files,  hindering the ability to locate A-files when needed. Recommendations for Executive Action

In order to improve USCIS’s management information, prevent  unnecessary delay, and more efficiently adjudicate applications, we are  recommending that the Secretary of Homeland Security direct the Director  of USCIS to  require users to record or note whether an A-file was used to  adjudicate a naturalization application and    work together with other DHS users of A-files to    determine the extent to which staff may not be complying with  NFTS procedures for updating the system and why and    correct any identified deficiencies in file-tracking compliance. In addition, to examine the extent to which  USCIS records how often naturalization applications are adjudicated  without an A-file, as well as the reasons why an A-file might be missing  and what steps USCIS takes to compensate for any lack of an A-file during  an adjudication process we obtained data related to    naturalization applications adjudicated in fiscal year 2005 contained in  the Computer-Linked Application Information Management System  (CLAIMS) 4 database that records information from the naturalization  application and related information,  the results from USCIS quality assurance audits of a sample of  naturalization applications reviewed in fiscal year 2005, and    A-files indicated as lost and, as having been in transit and yet to be  recorded as received in USCIS’s National File Tracking System (NFTS).
Why GAO Did This Study

To document the interactions of aliens with the Department of Homeland Security's (DHS) United States Citizenship and Immigration Services (USCIS) and other government entities, USCIS creates alien files, or A-files. While deemed critical, especially in making citizenship decisions, A-files are sometimes missing during adjudications. In 2002, naturalization was granted to an alien whose A-file was missing and who was later found to be associated with a terrorist organization. GAO focused its review on (1) how often USCIS adjudicates naturalization applications without an A-file and why, (2) the effect that missing A-files can have on the adjudication process, and (3) steps taken to help mitigate the risk of missing A-files. To address these questions, GAO interviewed officials and staff from USCIS and reviewed relevant data, policies, and procedures related to processing naturalization applications and the automated file-tracking system DHS established to track the movement of A-files.

What GAO Found

A-files were not available to adjudicate naturalization applications in a small percentage of cases. GAO found that of the naturalization applications adjudicated in 2005, about 30,000--or about 4 percent of them--may have been adjudicated without A-files. However, this number may be less because USCIS staff are not required to record whether an A-file was available. USCIS officials said that a major reason A-files were not available for naturalization application adjudications is that staff are not using the automated file-tracking system. USCIS officials suggested that staff might not be using the automated file-tracking system for lack of sufficient training on how to use the system, while local management may not be adequately emphasizing the importance of complying with A-file tracking policies and procedures. Missing A-files can have an impact on the process of adjudicating naturalization applications in several ways. For example, when an A-file is not available at the location indicated in the automated file-tracking system, additional time is spent trying to locate the file, which slows the adjudication process and applicants may wait longer for USCIS to process their application. In addition, missing A-files can hinder USCIS's ability to uncover immigration benefit fraud and limit DHS' ability to take enforcement actions. USCIS has steps in place to help mitigate the risk of adjudicating a naturalization application without an A-file. These steps include verifying the applicant's lawful admission to the United States and conducting extra supervisory reviews to ensure that naturalization processing procedures have been followed.