BENEFIT FRAUD ASSESSMENT (BFA-02)

OPERATIONS PLAN
I. OVERVIEW

The Benefit Fraud Assessment (BFA) to be conducted in FY2003 will encompass

the noted categories from the following seven (7) forms:
• Form 1-90, Application to Replace Alien Registration Card (All)
• Form 1-129, Petition for Nonimmigrant Worker (H-1B and L-1A only)
• Form 1-131, Application for Travel Document (Re-Entry permit only)
• Form 1-140, Immigrant Petition for Alien Worker (El3, E31 and EW3
categories only)
• Form 1-360, Petition for Amerasian, Widow(er), or Special Immigrant
(Religious Worker only)
• Form 1-539, Application to Extend/Change Nonimmigrant Status (change
of Status to F-1,M-1 and J-l only)
• Form 1-765, Application for Employment Authorization (Extension and
Replacement only)

The BFA will be conducted jointly between the Immigration Services Division and
the Investigations Division; it will commence in January 2003 and is due for
completion in November 2003 with a final report in December 2003.

II. PREPARATION

The concept and scope of the BFA was announced at a Benefit Fraud
Conference conducted in Washington, D.C. on November 5-7, 2002.
Approximately 140 attendees were present, representing all departments of INS
and several other federal agencies. Keynote speakers included the following:
INS Commissioner James Ziglar; William R. Yates, Executive Associate
Commissioner Immigrations Services Division; Charles H. DeMore, Assistant
Commissioner Investigations; and Fujie Ohata, Associate Commissioner Service
Center Operations. This conference laid out the general concept and
significance of the BFA.
A follow-up conference was held in Dana Point, CA on December 10-12, 2002.
Attendees at this meeting included the 12 Special Agent Benefit Fraud
Coordinators (or their representative), an Investigations representative from each
Regional Office, Assistant Center Directors, Enforcement Operations Division
(EOD), from each Service/Processing Center, and select Headquarters
personnel. The operational plans for both the EOD units and Investigations
were finalized. Both Divisions are developing a standardized checksheet for
each form to ensure that uniform systems research and field investigations are
completed on each BFA file. Training needs were discussed and noted.
A training class is scheduled for January 28-30, 2003 at the California Service
Center. Training will be presented by both Adjudications and Investigations
personnel and will include a pocket guide for Investigations personnel to utilize
describing the type of benefit conveyed by each of the BFA forms and the
material facts used as a basis by the Adjudicator to approve or deny the
application or petition. The Investigators will then seek to verify the material facts
to determine whether or not fraud is suspected in the filing of the
application/petition for the immigration benefit.

III. ASSESSMENT FILE SELECTION

The file pool utilized for the BFA was the consolidated CLAIMS 3 receipts from
the four Service Centers and the Missouri Processing Center for the months of
April 2002 through September 2002. Utilizing a basic random sample formula,
provided by INS Headquarters Office of Statistics, for a Rate of Occurrence not
over 20%, a Confidence Level of 95%, and a reliability factor of plus or minus
5% the sample size for each form varied from 224 to 247. Larry Hill, Intelligence
Research Specialist, Texas Service Center EOD, performed the random
selection from the consolidated CLAIMS 3 database located on the Texas
Service Center EOD server.
Listed below are the total receipts for the timeframe and the sample size needed
to validate our assessment:

Form Receipts (Apr 2002 thru Sep 2002) Assessment

SamplfelStee 120,061 246
1-131 60,148 246
1-140 8,406 240
1-360 2,352 224
1-539 15,251 243
1-765 287,838 247
1-90 302,772 ' 247

A random sample of 300 files was pulled for each form type in the event that
some of the files could not be located. A total of 250 of the 300 files from each
form type will be sent to the field (to ensure against any files that may be lost
during the assessment). The files identified in the random sample were
provided to the Service/Processing Center EOD units during the conference held
at Dana Point, CA in December.

IV. OPERATIONAL GUIDELINES

To facilitate coordination and allow for optimum operational efficiency during the
BFA, work will commence at the Service/Processing Center EOD on the
randomly selected BFA files in three phases:

• Phase One, January 2003: Forms 1-360 and 1-539

 • Phase Two, March 2003: Forms 1-129 and 1-140
• Phase Three, July 2003: Forms 1-90,1-765, and 1-131
• November 15, 2003- Completion of BFA& reports submitted by all field
• GXefcfcmber 15, 2003- Draft BFA Final Report completed by HQ

As soon as the Service/Processing Center EOD receives a list of the receipt files
identified in Phase One of the BFA it should begin requesting these receipt files
in order that research may begin on these files in January 2003. The original
receipt file should be utilized unless the application/petition has not been
adjudicated. If the application/petition has not been adjudicated, the EOD will
obtain the application/petition and make a complete copy, returning the original to
the location from which it was obtained. In these instances, the copy of the file
will be utilized by EOD for the BFA, allowing the original file to proceed through
the adjudications process.
All Service/Processing Center EODs will commence work on the BFA files in
January 2003 in compliance with the standardized checksheets. Any suspicions
or anomalies that are not elsewhere covered on the checksheet should be noted
in the "comments" sections of the checksheet. When the Service/Processing
Center has completed research on the BFA file, the original receipt file (unless
the original receipt file is in the adjudications process) and a copy of the
checksheet will be retained at the originating Service/Processing Center. Once
the Service/Processing Center EOD has completed research on the BFA file, a
cover memorandum advising the District Office of the BFA file will be generated
utilizing the following format:
MEMORANDUM FOR ASSISTANT DISTRICT DIRECTOR INVESTIGATIONS
City, State (Location of District Office having
Jurisdiction over petitioners/applicants listed
residence in BFA file)

FROM: Assistant Center Director Operations Enforcement

Division
XXXXX Service/Processing Center (Name of Center)

SUBJECT: Benefit Fraud Assessment

The attached file is being referred as part of the Benefit Fraud

Assessment.

(NOTE: The EOD will send only one referral for each BFA file and that
will be based upon the address of the petitioner or applicant on the petition
or application. If referrals to additional Field Offices are necessary, such
additional referrals will be coordinated by the Investigations Division and
TSC EOD will be notified by cc:mail at "TSCBFA".).
The EOD will then prepare the completed BFA file for referral to the appropriate
District Office by placing a copy of the completed BFA file in a light blue folder
(with Acco fasteners) as follows:
• On the left side of the folder (from front to back) will be a copy of the BFA
receipt file and complete file contents.
• On the right side of the folder (from front to back) will be the BFA cover
memorandum, original completed Service/Processing Center checksheet
with research notes and screen prints.

Once the BFA has been completed and the light blue folder has been assembled
in the above manner the folder should be mailed to Texas Service Center EOD at
the following address:

TSCBFA
P.O. Box 143429
Irving, TX 75014-3429

TSC EOD will receive the mail and data enter for purposes of BFA tracking and
management. Once the data entry has been completed TSC EOD will attach a
blue cover sheet with the notation: "BFA, ATTN INVESTIGATIONS" to the
outside of the light blue folder. This will facilitate the file moving through the
District Office mailroom. (NOTE; Benefit Fraud Special Agents should alert the
mailroom of this procedure.) TSC EOD will then forward the file to the District
Office identified on the cover memorandum for field investigation.

When the Investigations Division has completed its efforts to verify material facts
in the BFA file, the entire BFA file and investigative worksheets will be sent to
TSC EOD at the above address for data entry. Additionally, a copy of the
submitted worksheet will be faxed to HQINV Fraud Unit at 202-514-0764. All
leads on the investigative worksheet are to be completed UNLESS fraud is
identified, at that point the remainder of the investigative worksheet leads need
not be completed. If the Special Agent refers the file to another Field Office for
additional leads, TSC EOD should be alerted electronically via the cc:mail
address of: TSCBFA
A copy of the investigative worksheet will be faxed to HQINV Fraud Unit (202-
514-0764) by the referring S/A if the case is transferred to another field office.
These procedures will allow us the ability to track all leads on each file and
ascertain when each BFA file is completed

TSC EOD will submit a status report to HQISD every other Monday beginning
January 20, 2003, and continuing throughout the duration of the assessment.
 ATTACHMENT 1

Adjudications POCs (Subject Material Experts)

California Service Center (CSC) 949-389-3000

Rosa Ortega, Bich Le, Michael
1-129 Clark, Peter Smith
1-140 Peter Smith, Michael Clark
I-360 Blake Goto, Amante Andaya
I-539 Katherine Jachin, Wayne Ellis, Peter Smith

Texas Service Center (TSC) 214-962-2050

1-129 H1B Denice Mitchell; L1 A Genize Walker Burks
1-140 David Launius

I-360 Ben Garcia

I-539 Frances Walters

Nebraska Service Center (NSC) 402-323-2300

1-129 HIBTom Barber; L1 A Dennis Grabast
1-140 Mike Lebow
I-360 Mike Lebow
I-539 Fred Wegelin

Vermont Service Center (VSC) 802-527-4700

1-129 Dan Kane, Pete Tilley, Michelle Carver
1-140 Tim Collins, Wendy Dunakin
I-360 Paul Tierney, Tim Collins
I-539 Paula Rakowski, Martin Cech

Any matters relating to international investigation matters should be coordinated

through Craig Barlow of the HQ International Affairs Office (HQIAO). He can be
contacted at 202-514-5829.