Immigration Statistics: Status of the Implementation of National Academy
of Sciences' Recommendations (Letter Report, 06/09/98, GAO/GGD-98-119).
Pursuant to a congressional request, GAO provided information on the
implementation status of the major recommendations made by the National
Academy of Sciences (NAS) regarding the need to improve the collection
and management of immigration statistics.
GAO noted that: (1) the recommendations in the 1985 and 1996 NAS reports
proposed a range of corrective actions to address concerns about
unreliable immigration statistics; (2) generally, the 1985
recommendations focused on changing policies and procedures for
processing immigration statistics, and the 1996 recommendations
emphasized collecting more immigration statistics from new sources; (3)
specifically, the 1985 NAS report included 13 major recommendations that
action be taken to: (a) improve the process for collecting and reporting
immigration statistics; (b) issue policy statements regarding the
importance of producing quality and timely immigration statistics; and
(c) reorganize the Immigration and Naturalization Service (INS) and
increase INS' staff to improve its immigration statistical capabilities;
(4) all six 1996 NAS recommendations focused on the perceived need to
collect more immigration data from additional sources, such as the
Bureau of the Census' Current Population Survey; (5) GAO determined that
some actions had been taken to implement most of the 19 recommendations;
the majority of the recommendations were fully, substantially, or
partially implemented; (6) specifically, GAO determined that: (a) three
recommendations in the 1996 report had been fully implemented; (b) four
recommendations in the 1985 report and one recommendation in the 1996
report had been substantially implemented, which means the actions taken
were not in compliance with the technical aspects of the
recommendations, but the actions were generally responsive to and
consistent with the recomendations' purposes; (c) five recommendations
in the 1985 report and two recommendations in the 1996 report had been
partially implemented; and (d) three recommendations in the 1985 report
had not been implemented; (7) agency officials were developing plans to
implement one of the three recommendations during fiscal year 1998; and
(8) GAO did not categorize one of the recommendations to the Attorney
General because it was basically the same as another recommendation but
directed to INS.
--------------------------- Indexing Terms -----------------------------
REPORTNUM: GGD-98-119
TITLE: Immigration Statistics: Status of the Implementation of
National Academy of Sciences' Recommendations
DATE: 06/09/98
SUBJECT: Immigration or emigration
Immigration information systems
Data collection
Data integrity
Population statistics
IDENTIFIER: Census Bureau Current Population Survey
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Cover
================================================================ COVER
Report to Congressional Requesters
June 1998
IMMIGRATION STATISTICS - STATUS OF
THE IMPLEMENTATION OF NATIONAL
ACADEMY OF SCIENCES'
RECOMMENDATIONS
GAO/GGD-98-119
NAS Recommendations
(966702)
Abbreviations
=============================================================== ABBREV
DOJ - Department of Justice
INS - Immigration and Naturalization Service
NAS - National Academy of Sciences
OMB - Office of Management and Budget
Letter
=============================================================== LETTER
B-277650
June 9, 1998
The Honorable Stephen Horn, Chairman
The Honorable Dennis J. Kucinich
Ranking Minority Member
Subcommittee on Government
Management, Information and Technology
Committee on Government Reform and Oversight
House of Representatives
The Honorable Carolyn B. Maloney
House of Representatives
The quality of immigration statistics has been a long-standing issue
among experts in the public and private sectors. The National
Academy of Sciences (NAS) issued two reports\1 in which it made
recommendations regarding the need to improve the collection and
management of immigration statistics. The recommendations were
directed to various federal organizations, including Congress, the
Department of Justice (DOJ), Immigration and Naturalization Service
(INS), Office of Management and Budget (OMB), and Bureau of the
Census.
This report responds to your request that we provide information on
the implementation status of the major recommendations to Congress,
the agencies, and OMB in these reports. Specifically, we summarized
NAS recommendations and determined what, if any, action Congress, the
agencies, and OMB took in response to the 13 major recommendations in
the 1985 NAS report\2 and all 6 recommendations in the 1996 NAS
report. Also, in your request, you asked us to assess demographic,
statistical information on the foreign-born population and federal
policies affecting immigration statistics. As agreed with your
Subcommittee, we will provide this information at a later date.
--------------------
\1 Immigration Statistics: A Story of Neglect, Daniel B. Levine,
Kenneth Hill, and Robert Warren, eds., National Research Council,
National Academy Press: Washington, D.C., 1985 and Statistics on
U.S. Immigration: An Assessment of Data Needs for Future Research,
Barry Edmonston, Ed., National Research Council, National Academy
Press, Washington, D.C., 1996.
\2 The 1985 NAS report contained 38 recommendations to various
federal agencies involved in the collection of immigration
statistics. Of those, NAS considered 13 to be major recommendations
because they required action and commitment at a high policy level
and because they were fundamental to the accomplishment of the key
goal--the ready availability of accurate, timely, and useful
statistical information on international migration.
RESULTS IN BRIEF
------------------------------------------------------------ Letter :1
The recommendations in the 1985 and 1996 NAS reports proposed a range
of corrective actions to address concerns about unreliable
immigration statistics. Generally, the 1985 recommendations focused
on changing policies and procedures for processing immigration
statistics, and the 1996 recommendations emphasized collecting more
immigration statistics from new sources. Specifically, the 1985 NAS
report included 13 major recommendations that action be taken to (1)
improve the process for collecting and reporting immigration
statistics, (2) issue policy statements regarding the importance of
producing quality and timely immigration statistics, and (3)
reorganize INS and increase INS' staff to improve its immigration
statistical capabilities. All six 1996 NAS recommendations focused
on the perceived need to collect more immigration data from
additional sources, such as the Bureau of the Census' Current
Population Survey.
We determined that some actions had been taken to implement most of
the 19 recommendations; the majority (15) of the recommendations were
fully, substantially, or partially implemented. Specifically, we
determined that
-- three recommendations in the 1996 report had been fully
implemented;
-- four recommendations in the 1985 report and one recommendation
in the 1996 report had been substantially implemented, which
means the actions taken were not in compliance with the
technical aspects of the recommendations, but the actions were
generally responsive to and consistent with the recommendations'
purposes;
-- five recommendations in the 1985 report and two recommendations
in the 1996 report had been partially implemented; and
-- three recommendations in the 1985 report had not been
implemented. Agency officials were developing plans to
implement one of the three recommendations during fiscal year
1998.
We did not categorize one of the recommendations to the Attorney
General because it was basically the same as another recommendation
but directed to INS. We categorized the recommendation to INS as
substantially implemented.
BACKGROUND
------------------------------------------------------------ Letter :2
Immigration statistics are used to develop, execute, and evaluate
immigration policies. However, experts in both the public and
private sectors, including many government agencies responsible for
the collection of immigration statistics, expressed concerns that
immigration statistics are inadequate, incomplete, and often
unreliable. Among the most common concerns were that immigration
statistics do not accurately reflect the number and characteristics
of immigrant populations, or how immigrants fare after entry into the
United States. During the 1980s, INS estimated that the United
States received about 6.3 million immigrants, or an average of
approximately 630,000 immigrants per year. The volume increased in
the 1990s, with about 1 million immigrants arriving each year. Given
that over a million immigrants arrive in the United States annually,
the need for reliable immigration statistics is crucial for
decisionmakers. For example, information about changes in the rate
of arrival or departure of aliens, or their demographic
characteristics, could be important to decisions about changes in
immigration policies or services.
In response to concerns about the quality of immigration statistics,
INS asked NAS to conduct two comprehensive reviews of federal
immigration statistics. First, INS asked NAS to identify major
shortcomings in immigration statistics and to recommend appropriate
remedies and actions. Second, INS, in conjunction with the National
Institute of Child Health and Human Development, asked NAS to assess
the current immigration data and to identify limitations. These
requests resulted in the 1985 and 1996 NAS reports.
Generally, the reports (1) identified deficiencies and limitations
with immigration statistics and (2) made recommendations for
improving the collection and management of immigration statistics.
The 1985 NAS report identified significant problems with the
collection and management of statistical immigration data. NAS found
that a statistical system to produce immigration data existed, but
that it was being neglected. NAS pointed out that there was an
"extraordinary lack of concern with immigration data on the part of
many agencies and that this neglect extended throughout almost all
levels of responsibility within the agencies which are most directly
involved in the statistical data." Of the 13 major recommendations, 6
were addressed to INS, 3 were directed to Congress, 3 were directed
to OMB, and 1 was addressed to the Attorney General. The
recommendation made to the Attorney General was separate, but similar
to one of the recommendations made to INS regarding the need to
provide more reliable data on immigration statistics.
Similar to the 1985 NAS report, the 1996 NAS report addressed
limitations in immigration data. In its 1996 report, NAS made six
recommendations--three to Census, two to INS, and one to statistical
agencies--to improve the data collection and analysis efforts of
federal statistical agencies. Generally, the recommendations focused
on (1) the need for additional data sources for program and research
purposes and (2) modifications to existing immigration data sources
(e.g., adding new questions to and refining existing questions
contained in immigration data collection instruments). Furthermore,
the 1996 report had a recommendation similar to NAS' 1985 report
recommendation dealing with obtaining data on new immigrants.
SCOPE AND METHODOLOGY
------------------------------------------------------------ Letter :3
To determine the actions taken by Congress, the agencies, and OMB in
response to the 19 NAS recommendations, we reviewed the NAS reports,
obtained the views of the agencies to which NAS directed the
recommendations, classified the status of the recommendations, and
discussed the reports with officials from the agencies and NAS
officials. For the three recommendations directed to Congress, we
also considered any related actions that the agencies may have taken.
To gain an understanding of the NAS recommendations, and the types of
problems the recommendations were designed to correct, we reviewed
the 1985 and 1996 NAS reports. In addition, we met with
knowledgeable agency officials from INS, OMB, and Census to discuss
the recommendations. Also, we had separate discussions with
individuals who worked on each of the NAS reports. However, we did
not evaluate the merits of the recommendations or determine whether
the agencies could have or should have implemented them.
To categorize the status of the recommendations, we used the
following categories.\3
-- Fully implemented. The entire recommendation, including all
specified actions, had been fulfilled; the action taken was
responsive to the letter of the recommendation and consistent
with its purpose.
-- Substantially implemented. While the action taken was not in
compliance with the technical aspects of the recommendation, the
action was generally responsive and consistent with the
recommendation's purpose.
-- Partially implemented. The recommendation has been implemented
only in part but not fully or substantially.
-- Not implemented. No part of the recommendation has been
completed.
To categorize the recommendations, we relied on information from the
agency responsible for implementing the recommendation and from our
prior knowledge on immigration-related issues. We discussed the
implementation status with officials from INS, OMB, and Census. INS
provided data on the status of the recommendations directed to the
Attorney General. To obtain the official agency positions regarding
the NAS recommendations, we requested and received written replies
from INS, OMB, and Census. For recommendations to Congress, we
reviewed immigration-related legislation and any related actions that
the agencies may have taken. We did not verify the accuracy of the
agencies' responses because of the extensive work that would be
required on our part to analyze the actions they reported to have
taken. However, in our analysis of their responses, we relied on our
prior immigration-related work, as applicable.
We formed a three-member panel of our experienced staff to help in
our categorization of the status of the recommendation. Two panel
members are knowledgeable about INS' immigration programs and
policies, and the other panel member has a design and methodology
background. The panel members used the above categories to
independently categorize the status of the recommendations. The
panelists then met and discussed their categorizations. After their
discussion, they agreed on the categorization of 14 of the 18
recommendations. For the four recommendations for which they did not
agree, the difference was only between adjacent categories (e.g.,
substantially implemented versus partially implemented). The panel
members agreed not to categorize the one recommendation that was
similar but made separately to the Attorney General and INS.
In categorizing the status of the recommendations, we did not focus
on the timeliness of the agencies' actions. Also affecting our
categorizations of the status of the recommendations was the wording
of some of the NAS recommendations. For example, one recommendation
required that action be considered; it did not actually require
action to be taken. Therefore, any consideration by the agency or
OMB would constitute compliance with the recommendation.
Accordingly, in such situations, we relied on the wording of the
recommendation for our categorization (i.e., we categorized the
recommendation in this case as implemented because the agency
considered taking action). Also, in certain instances, several
agencies shared responsibility for implementing a recommendation. In
these cases, we reviewed each agency's response separately, but made
a single determination as to the implementation status.
In categorizing the recommendations, we relied on (1) the analysis of
the panel; (2) our past immigration work and the knowledge gained
from such work; (3) discussion with OMB, Census, and INS officials;
(4) written responses by these agencies on the status of the
recommendations; and (5) separate discussions with individuals who
worked on each of the NAS reports.
We conducted our review from October 1997 to April 1998 in accordance
with generally accepted government auditing standards. We requested
comments on a draft of this report from the Attorney General; the
Director, OMB; and the Commissioner, Bureau of the Census. Their
comments are discussed at the end of this report.
--------------------
\3 We previously used definitions similar to these when reporting on
the implementation status of the National Performance Review
recommendations (Management Reform: Implementation of the National
Performance Review's Recommendations (GAO/OCG-95-1, Dec. 5, 1994);
Management Reform: Completion Status of Agency Actions Under the
National Performance Review (GAO/GGD-96-94, June 12, 1996); and the
Blue Ribbon Panel recommendations (Customs Service: Status of the
Implementation of Blue Ribbon Panel Recommendations (GAO/GGD-96-163,
Sept. 3, 1996).
NAS' RECOMMENDATIONS ADDRESS
MANAGEMENT AND DATA COLLECTION
CONCERNS
------------------------------------------------------------ Letter :4
The 19 recommendations in the 1985 and 1996 NAS reports addressed a
wide range of issues needed to improve the management and collection
efforts for immigration data. The recommendations were directed to
Congress and those federal agencies involved in collecting
immigration data, especially INS because of its central role in
administering the flow of international migration to the United
States. The most common problems addressed in the 1985 report were
management and data collection concerns. The 1985 recommendations
were intended to improve the statistical gathering policies,
procedures, and programs. The following are examples:
-- Most recommendations in the 1985 NAS report proposed creating
new methodologies to collect better immigration data and to
eliminate duplication. One recommendation required the OMB
Director to establish an interagency review group to examine
consistency of immigration concepts and definitions used by
individual agencies in the collection of immigration data.
-- Some recommendations in the 1985 NAS report urged that the
production of quality immigration statistics be elevated to a
high priority by issuing policy concerning the importance of
reliable immigration statistics. One recommendation proposed
that the Attorney General issue a strong policy directive
asserting the importance of reliable, accurate, and timely
statistical information on immigration to the mission of INS and
unequivocally committing INS to improving its existing
capabilities.
-- Several recommendations proposed that INS, given its central
role in assembling data on aliens, expand its immigration
statistical capabilities. NAS recommended that INS establish a
Division of Immigration Statistics, which would have increased
authority, responsibility, and professional staff.
The 1996 NAS recommendations focused on efforts to improve the
collection of immigration data at federal statistical agencies. All
of the 1996 recommendations focused on collecting more and better
immigration data from new sources. For example, one 1996
recommendation urged that INS work with other federal agencies and
Census, under the overall direction of OMB, to include key
immigration questions on future censuses, including a question on
nativity and parental nativity, based on the requirements of the
Immigration Act of 1990.
MOST RECOMMENDATIONS ACTED UPON
------------------------------------------------------------ Letter :5
At least some action had been taken to implement most of the 1985 and
1996 NAS recommendations. Tables 1 and 2 provide a summary of the
1985 and 1996 NAS recommendations, the agencies' views on the status
of the recommendations, and our categorization of the implementation
status. As previously discussed, we did not categorize one
recommendation to the Attorney General because it was basically the
same as another recommendation directed to INS.
Table 1
Implementation Status of 1985 NAS
Recommendations
GAO's
Recommendation Action taken categorization
------------------ ---------------------------------------- ------------------
Recommendation 1: INS: Although no such directives were Partially
Congress should issued by Congress after the 1985 NAS implemented.
strongly affirm recommendation, the current INS
the importance of Commissioner has provided formal While Congress has
reliable, internal and external statements not taken the
accurate, and committed to improving the accuracy and recommended
timely statistical timeliness of INS information. action, the
information on current INS
immigration to the Commissioner has
needs of Congress issued a statement
and direct the concerning
Attorney General improving the
to reexamine the accuracy of INS
organizational data and has
structure of INS placed INS'
as it relates to Statistical Branch
statistics, with a under the
view to placing Executive
greater priority Associate
on this important Commissioner for
task. Office of Policy
and Planning
(OPP).
Recommendation 2: INS: INS said that the Immigration Act Substantially
Congress should of 1990 provided for a statistical implemented.
require that the information system as follows:
Attorney General Congress took
prepare and submit "(d)(1) The Commissioner, in action by passing
by June 30 of each consultation with interested the Immigration
year an annual academicians, government agencies, and Act of 1990, which
report to the other parties, shall provide for a required INS to
President and system for collection and dissemination, produce an annual
Congress to Congress and the public, of report that
presenting data on information (not in individually contained specific
aliens admitted or identifiable form) useful in evaluating immigration data.
excluded, the social, economic, environmental, and INS produces an
naturalization, demographic impact of immigration laws. annual report, the
asylees, and Statistical
refugees; (2) Such information shall include Yearbook, which
describing their information on the alien population in contains much, but
characteristics; the United States; on the rates of not all, of the
and containing an naturalization and emigration of statistical data
analysis of resident aliens; on aliens who have been recommended by
significant admitted, paroled, or granted asylum; on NAS.
developments nonimmmigrants in the United States (by
during the occupation, basis for admission, and
preceding fiscal duration of stay); on aliens who have
year in the not been admitted or have been removed
immigration and from the United States; on the number of
emigration field. applications filed and granted for
cancellation of removal; and on the
number of aliens estimated to be present
unlawfully in the United States each
fiscal year.
(3) Such system shall provide for the
collection and dissemination of such
information not less often than
annually.
(e)(1) The Commissioner shall submit to
Congress annually a report that contains
a summary of the information collected
under subsection (d) and an analysis of
trends in immigration and
naturalization.
(2) Each annual report shall include
information on the number, and rate of
denial administratively, of applications
for naturalization, for each district
office of the Service and by national
origin group." 8 USC 1103
INS produces its Statistical Yearbook
annually to fulfill this requirement.
INS is examining the development of
regularly produced reports for various
data series, such as immigrants and
naturalizations, in order to make the
information provided in the Yearbook
more timely.
Recommendation 3: INS: Congress has not mandated an Partially
Congress should immigrant adjustment study. However, implemented.
mandate that a federal agencies have taken the first
study be initiated steps to establish a longitudinal study While Congress has
and conducted titled the New Immigrant Survey. INS is not taken action,
among new a major cosponsor of the survey, which INS is in the
immigrants over a is a pilot study to identify whether the process of
5-year period, in immigrant's address on the green card conducting a
order to develop application can be used to locate recent study, which would
information for immigrants. If proven successful, the address this
policy guidance on pilot may lead to a longitudinal study recommendation.
the adjustment of immigrant adaptation in the United Therefore, we,
experience of States. The study will also collect along with INS,
families and baseline information describing the considered it to
individuals to the characteristics of the immigrants when be partially
labor market, use they enter the United States. The pilot implemented.
of educational and test is currently in its second year,
health facilities, and the researchers are concentrating on
reliance on social determining the feasibility and costs of
programs, mobility conducting such a study on a permanent
experience, and basis.
income history.
Recommendation 4: INS: Although no such policy directives Not classified.
The Attorney were issued by any Attorney General
General should after the NAS recommendation, the We did not
issue a strong current INS Commissioner has provided categorize this
policy directive formal internal and external statements recommendation to
asserting the committed to improving the accuracy and the Attorney
importance of timeliness of INS information. General because
reliable, the requirements
accurate, and for implementing
timely statistical the recommendation
information on were documented in
immigration to the another 1985 NAS
mission of the INS recommendation to
and unequivocally the INS
committing the INS Commissioner. (See
to improving its Recommendation #5
existing in the 1985 NAS
capabilities. recommendations.)
Recommendation 5: INS: The current Commissioner placed the Substantially
INS should issue Statistics Branch in the new OPP in implemented.
an explicit 1994. One of OPP's explicit missions is
statement clearly to "more effectively collect and INS' Strategic
setting forth that maintain statistical databases, produce Plan includes a
the collection, and disseminate timely statistical mission statement,
cumulation, and reports (many will be monthly) which are which addresses
tabulation of of direct relevance to program planning, data integrity.
reliable, monitoring and evaluation." OPP This is consistent
accurate, and functions include "directing the with the
timely statistical development of a Service-wide recommendation
information on statistical reporting system," and that INS issue a
immigration is a "maintaining and improving the statement about
basic Performance [Analysis] System (PAS) of quality
responsibility and program statistical reporting and immigration data.
inherent in the analysis."
mission of INS.
Improvements in data reliability and
accuracy have been explicit priorities
of the Service for several years.
Beginning in 1997, each of the INS
priorities had a data integrity
component and, beginning in 1998, "Data
Integrity and Integration" will be
consolidated under one priority.
The 1998 priority states that INS will
improve data integrity by focusing on
current and future data collection,
processing and reporting activities in
order to increase efficiency,
consistency, accuracy, and timeliness of
data availability. Efforts will be
concentrated on ensuring appropriate
data reporting for fiscal year 1998 and
fiscal year 1999, and pursuing initial
efforts required to maximize
effectiveness and efficiency in
complying with new Results Act
performance management requirements and
for satisfying other long-term data
needs. Functions to be addressed
include: field-level data collection and
reporting; collection and reporting
processes and automated systems support;
technical training and support to users;
and data reconciliation, analysis, and
validation of INS activities.
Recommendation 6: INS: INS attempted to establish a Bureau Not implemented.
INS should of Immigration Statistics in its Fiscal
establish a Year 1996 Budget to the Congress, but Although INS
Division of the request for 10 additional positions created a new
Immigration and $10 million for salaries and office, OPP, in
Statistics, expenses was eliminated in committee 1994, it does not
reporting directly without comment. The budget request carry out all of
to an associate stated that the Bureau of Immigration the functions
commissioner or an Statistics would: specified in the
equivalent level, recommendation. In
with overall "collect, process, analyze and addition, INS
responsibility disseminate data useful in evaluating stated that it had
for: the social, economic, environmental, not implemented
--ensuring the use demographic and geographic impact of this
of appropriate immigration laws. The entity will recommendation.
statistical establish a statistical information
standards and system in consultation with interested
procedures in the government agencies and other parties to
collection of data satisfy a number of criteria, including
throughout the relevance to current social and economic
agency; issues, timeliness in reflecting today's
--ensuring the rapidly changing economic conditions,
timely publication accuracy and consistently high
of a variety of statistical quality, an impartiality in
statistical and both subject matter and presentation."
analytic reports;
--providing
statistical
assistance and
direction to all
parts of the
agency to help in
carrying out their
mission; and
--directing
statistical
activities
throughout the
agency.
Recommendation 7: INS: The Statistics Branch currently has Partially
INS should direct 24 employees--14 professional and 10 implemented.
and implement the clerical. The staff includes recognized
recruitment of a subject-matter experts and persons with INS has made
full complement of graduate degrees in demography, progress in
competent, trained statistics, and sociology. There are implementing this
professionals with currently six analysts with degrees at recommendation by
statistical the doctoral level, whereas none were hiring some
capabilities and employed at that level in 1985. Four trained
subject-area analysts have been hired over the past 2 professional staff
expertise. years. The other professional employees to work in the
consist of management analysts and Statistical
computer specialists who work on the Branch.
systems to collect, process, and
tabulate INS data.
Recommendation 8: INS: The Statistics Branch does not have Not implemented.
INS should a standing advisory committee but has
establish an brought in advisers several times to INS considers that
advisory committee review existing data systems and to it has partially
composed of comment on current products. For implemented this
experts in the use example, INS collaborated with the recommendation.
and production of National Institute of Child Health and Although INS used
immigration- Development to fund the National Academy outside advisers
related data, to of Science Workshop titled "Statistics on an ad hoc
advise the on U.S. Immigration: An Assessment of basis, INS did not
associate Data Needs for Future Research." NAS establish a
commissioner and provided recommendations on improving standing advisory
the proposed immigration statistics that were committee as
Division of published in 1996. Groups of outside directed in the
Immigration experts have also provided comments on recommendation. In
Statistics of current methodologies, such as the our opinion, using
needs for new or estimates of the illegal immigrant advisers on an ad
different types of population. INS plans to continue to use hoc basis is not a
data; to review outside experts on an ad hoc basis substitute for a
existing data and rather than through a standing committee standing advisory
data collection to better address the variety of data committee.
methodology; and specialties and methodologies used to
to provide the make estimates.
Service with
independent
evaluation of its
statistical
products, plans,
and performance.
Recommendation 9: INS: The Statistics Branch initiated a Partially
INS should meeting of federal agencies involved in implemented.
establish a formal the collection and use of immigration
liaison with other statistics in December 1991. This group INS considers that
federal and state has met quarterly since then and has it has implemented
agencies involved improved information sharing and this
in the collection cooperation among the federal and recommendation.
or analysis of congressional members. For example, this While INS has
immigration-and group identified the need for "country established a
emigration- of birth" to be added to the control liaison with
related data. card in the monthly Current Population federal agencies
Survey, and beginning in 1994, several and is scheduled
of the agencies provided funds to Census to meet regularly
to collect country of birth data. The with them, state
group also evaluated existing agencies did not
longitudinal studies involving participate. NAS
significant immigrant populations, and recommended that
participant agencies helped fund the New not only federal
Immigrant Survey pilot survey. but state agencies
are to
participate.
Recommendation 10: INS: Almost all of INS' data originate Not implemented.
INS should from administrative records rather than
initiate a review surveys. There has not been a INS considers that
of all data- comprehensive review of these forms to it has partially
gathering eliminate duplication and evaluate data implemented this
activities to needs. In fiscal year 1998, however, the recommendation.
eliminate issues of duplication, data needs and However, it has
duplication, gaps, and standardization of concepts not conducted a
minimize burden will be addressed in the 1998 priority comprehensive
and waste, review titled "Data Integrity and Integration." review of
specific data The specific plans for the priority are immigration data
needs and uses, currently under development. INS has to eliminate
improve question developed a plan to implement a duplication.
wording and format corporate information system structure Furthermore, as
design, that will ensure that all systems use INS stated, it is
standardize the same definitions and will allow for currently
definitions and consistent information across all INS developing plans
concepts, document systems. to address
methodologies, specific issues.
introduce
statistical
standards and
procedures, and
promote
efficiencies in
the use of staff
and resources.
Recommendation 11: OMB: OMB is responsible for reviewing Substantially
OMB should ensure agency management activities and budget implemented.
that it exercises requests in support of the Executive
its Office of the President and the OMB reviews the
responsibilities President's annual budget submission to INS statistical
to monitor and Congress. OMB provided the same level of activities as part
review statistical scrutiny to INS' statistical program as of its annual
activities and other INS programs. In fiscal year 1998, budget review and
budgets concerning in response to an INS request, OMB is to ensure that
statistics on recommended an enhancement of 15 all data collected
immigration and positions and $7 million to support the meet the
emigration, agency's statistical analysis program. requirements of
particularly those Also, OMB recommended that the INS the Paperwork
of the INS, to statistical program provide the baseline Reduction Act.
minimize and annual measurements/estimates to
duplication and support the agency's performance
ensure that measurement system. INS currently
appropriate estimates the number of illegal aliens
procedures are residing in the United States and the
used; standards increment of new illegal aliens arriving
are met; and annually. Both the total number of
priorities are illegal aliens and the rate of illegal
observed in the entry can be useful in measuring the
collection, success of INS performance in deterring
production, and illegal entry at the borders and in
publication of effectively removing those who attempt
such data. to remain illegally. INS is in the
process of improving its statistical
models to begin to measure performance
at both local levels and in the
aggregate for the illegal immigrant
population as a whole.
INS' statistical program is required to
support decisionmaking by providing data
that measures the scope of illegal
immigration and that can be used by the
administration and Congress to recommend
policy options. OMB fully supports this
central role for the INS statistical
policy operation.
According to OMB, its responsibility
under the Paperwork Reduction Act is to
ensure that all data collected maximize
practical utility and minimize burden,
thus providing broad level of quality
assurance. OMB added that it is not
responsible for conducting quality
evaluations.
Recommendation 12: OMB: An Interagency Task Force has been Partially
OMB should require advising INS on data-related issues implemented.
and establish an since December 1991. INS reports that
interagency review the other agencies have been very While OMB relied
group responsible active. The accomplishments of the Task on INS to advise
for direction and Force have been substantial. it on immigration
coordination in data issues, OMB
the field of did not establish
immigration and an interagency
emigration data; review group to
the group would carry out the
examine duties specified
consistency and in the NAS
comparability in recommendation.
concepts and
definitions used
by individual
organizations in
the collection of
such information
and oversee the
introduction and
use of
standardized
approaches.
Recommendation 13: OMB: Since 1985, there have been Substantially
OMB should significant improvements in the data implemented.
actively encourage provided by INS. In 1986, the Yearbook
and support the was improved by including text INS is publishing
timely publication describing data quality and analysis of an annual
and dissemination trends, preparing the publication via statistical
of data on desktop publishing, and making it more publication. Also,
immigration and timely. Fully documented public-use public-use tapes
emigration; the tapes have been available since about are available.
ready availability 1990; more recently, data are being made
of fully available on the Internet.
documented public-
use data tapes,
including samples
of individual
records without
identifiers where
feasible; and data
summaries.
--------------------------------------------------------------------------------
Source: GAO classification of the status of NAS recommendations.
Table 2
Implementation Status of the 1996 NAS
Recommendations
GAO's
Recommendation Action taken categorization
------------------ ---------------------------------------- ------------------
Recommendation 1: OMB: The Interagency Task Force on Substantially
NAS urged that INS Immigration consists of representatives implemented.
work with other of federal agencies with an interest in
federal agencies immigration (including Census). It has While not under
and Census, under been meeting regularly since December 9, OMB guidance, the
the overall 1991, under the sponsorship of INS. Two Interagency Task
direction of OMB, OMB representatives attended the initial Force, consisting
to include key meeting, and received the minutes of of representatives
immigration each meeting for several years from various
questions on thereafter. The Interagency Task Force federal agencies,
future censuses, was not directed by OMB; rather, it was (including INS and
including a chaired and guided by INS. OMB monitored Census, with some
question on the progress of the Interagency Task OMB participation)
nativity and Force and its accomplishments. The Task worked to have
parental nativity, Force has developed ideas and programs nativity and
based on the to improve immigration statistics in a parental nativity
requirements of variety of ways, such as including data questions put on
the Immigration on temporary migrants, using data from the Current
Act of 1990. longitudinal surveys, adding immigration Population Survey.
data in the Current Population Survey, While including a
and increasing exploitation of question on
administrative data. nativity, a
question on
The proposed Census 2000 questionnaire parental nativity
does include a question on nativity, but will not be
does not include a question on parental included on the
nativity. The contents of the 2000 Census 2000
Census have been restricted to items questionnaire.
that are required by law. While nativity According to OMB,
is required according to the Immigration INS, and Census,
Act of 1990, that law does not require the Immigration
parental nativity. The Task Force did Act of 1990 does
ensure that information on nativity and not specifically
parental nativity is collected in the require that
Current Population Survey. parental nativity
information be
INS: Current plans call for the collected. The
respondent's nativity, but not their contents of the
parental nativity, to be collected in Census 2000 have
the Census 2000. INS stated that while been restricted to
parental nativity is useful for items that are
identifying the children of immigrants, required by law.
the Immigration Act of 1990 does not
specifically require that this
information be collected.
Census: Questions on citizenship have
appeared on the decennial census form on
a continuous basis since 1890. Place of
birth, year of entry (for those born
outside the United States), and
citizenship will be subjects on the
Census 2000 questionnaire. However,
other questions that relate to parental
nativity will not be included on the
proposed Census 2000 questionnaire.
Beginning in December 1992, OMB, in
conjunction with Census, asked federal
agencies to provide information
describing their data needs. In the
summer of 1994, Census completed its
review of the responses from the
agencies. Each data need was classified
using a rather narrow legalistic
topology to determine if a subject
should be classified as mandatory,
required, or programmatic. Only subjects
for which federal laws explicitly
mandated or required decennial census
data were recommended to Congress by
Census for inclusion in Census 2000.
Some subjects, such as parental
nativity, were not recommended since the
review found that these subjects were
needed only for program planning,
implementation, or evaluation and that
there were no explicit requirements for
the use of the census data in federal
law.
Recommendation 2: Census: Census considered creating a Fully
NAS recommended Public Use Microdata Sample for the 1990 implemented.
that Census census containing local-area contextual
consider ways to data. An informal working group Census has
add local-area investigated the issue and concluded considered ways to
contextual data in that (1) the disclosure avoidance add local-area
the Public Use procedures used in the 1990 census to contextual data in
Microdata Sample ensure confidentiality of respondents the Public Use
files. Contextual would have been compromised by adding Microdata Sample
data on such local-area data, which could lead to for the 1990
variables as local identifying specific individuals; and census.
employment, (2) although the Russell Sage Foundation
income, education, was willing to fund the inclusion of
and racial and contextual data, formal research was
ethnic composition needed to resolve the technical issues,
would measurably which would have required additional
improve this staff, time, and resources that Census
important data set did not have at the time. Census decided
for academic and that contextual data such as local
policy research on employment rates, income, and
immigrants. educational attainment will not be
available in the Public Use Microdata
Sample files of Census 2000 data.
According to Census, a key reason for
not including these types of contextual
variables in the Census 2000 Public Use
Microdata Sample is that addition of
these variables could compromise the
confidentiality of census data.
Recommendation 3: Census: Beginning in 1994, information Fully
NAS applauded the on nativity, parental nativity, year of implemented.
introduction of entry, and citizenship was collected for
key questions on all members of the Current Population Census has
nativity as a Survey households in the initial indicated that it
regular part of interview. Census plans to continue plans to retain
the Current collecting this information. key immigration-
Population Survey. related questions
Questions on on the Current
nativity, parental Population Survey.
nativity,
citizenship, and
year of entry into
the United States
provide
information
essential to the
understanding of
immigration in
this country. NAS
urged Census to
retain these key
immigration-
related topics on
the Current
Population Survey.
Recommendation 4: Census: Census is currently exploring Partially
NAS recommended the feasibility of conducting a special implemented.
that Census, in supplement to the Current Population
consultation with Survey about emigration (that is, about Census is
federal agencies persons who leave the United States). currently
and immigration Emigration is one of the key components reviewing the
researchers, required for estimates and projections possibility of
review the of the U.S. population. Census officials adding special
possibility of believe that the earliest feasible date immigration
adding special for incorporating a supplement on questions to the
immigration emigration on the Current Population Current Population
questions to the Survey is early 2000. Census plans to Survey, but has
Current Population continue its efforts to determine if not completed the
Survey. funding and staff can be made available effort.
Additional, more for the conduct of this supplement.
detailed
immigration-
related questions
would enhance the
value of the
Current Population
Survey data for
immigration policy
research. Such
questions might be
included on the
Current Population
Survey on a
special basis,
perhaps on one of
the special
monthly
supplements, or on
a periodic basis,
depending on the
purpose and
usefulness of the
data.
Recommendation 5: Census: Census has been in contact with Fully
NAS recommended its counterpart institution in Mexico implemented.
that federal (the National Institute for Statistics,
statistical Geography, and Data Processing) Census officials
agencies meet with regarding issues that relate to met with their
their counterpart population flows between the United Mexican
institutions in States and Mexico. In November 1997, counterparts to
Mexico to discuss demographers and other technicians from discuss exchanging
the potential for the National Institute for Statistics, immigration data.
establishing joint Geography, and Data Processing met with
surveys on Census' staff in Suitland, Maryland, to
immigration. Such discuss potential exchange of data and
a meeting should other information pertaining to
include key population flows between the United
immigration States and Mexico. Census will continue
researchers from working with this agency. However, a
both countries. joint survey on immigration will not
occur in the foreseeable future unless
additional funding can be found for this
effort.
INS: U.S. and Mexican scholars
collaborated on a joint report on
Mexican immigration to the United
States. The Commission on Immigration
Reform published the Binational Study of
Migration between Mexico and the United
States in September 1997. INS and
Consejo Nacional de Poblaci�n (National
Population Council), which is the
Mexican Statistical Agency, have also
begun discussions to develop a
memorandum of understanding to consult
with each other on various projects and
to share information.
Recommendation 6: INS: INS is a major cosponsor with the Partially
NAS recommended National Institute of Child Health and Implemented.
that INS establish Human Development of the New Immigrant
the design and Survey, which is a pilot study to INS is
usefulness of a identify whether the immigrant's address cosponsoring a
survey of green on the green card application can be pilot study to
card applicants. A used to locate recent immigrants. If determine the
survey of new proven successful, this pilot may lead usefulness of
immigrants appears to a longitudinal study of immigrant using the
to be feasible, adaptation in the United States. The immigrant's
using the study will also collect baseline address on the
relatively information describing the green card
accurate addresses characteristics of the immigrants when application to
that are provided they enter the United States. locate recent
by immigrants in immigrants.
order to receive
their permanent
resident visa.
--------------------------------------------------------------------------------
Source: GAO classification of the status of NAS recommendations.
AGENCY COMMENTS
------------------------------------------------------------ Letter :6
To obtain agency comments on a draft of this report we met separately
with officials from OMB, including the Assistant Branch Chief, Human
Resources and Housing Branch, Office of Information and Regulatory
Affairs; Justice, including the Director, Statistics Branch, OPP,
INS; and Census, including the Associate Director for Demographic
Programs. These officials said that they agreed with our report.
They provided additional information, which we incorporated as
appropriate. On the basis of discussions with OMB officials and the
additional information they provided, we changed our original
categorization of three recommendations.
---------------------------------------------------------- Letter :6.1
We are providing copies of this report to the Chairmen and Ranking
Minority Members of other committees with jurisdiction over
immigration issues; the Attorney General; the Commissioner, INS; the
Director, OMB; the Secretary of Commerce; and the Commissioner,
Bureau of the Census. We will also make copies available to others
on request.
Major contributors to this report are James M. Blume, Assistant
Director, and Mary B. Hall, Evaluator-in-Charge. Please call me on
(202) 512-7997, if you or your staff have any questions.
Susan S. Westin
Associate Director
Advanced Studies and Evaluation
Methodology Group
*** End of document. ***