Naturalization of Aliens: Assessment of the Extent to Which Aliens Were
Improperly Naturalized (Testimony, 03/05/97, GAO/T-GGD-97-51).

GAO discussed the extent to which the Immigration and Naturalization
Service (INS) might have improperly naturalized aliens between September
1995, and September 1996.

GAO noted that: (1) between September 1995 and September 1996, INS
received about 1.3 million naturalization applications and almost 1.05
million aliens were naturalized; (2) during that period, INS initiated a
number of efforts to streamline the naturalization process; (3) while
these efforts greatly increased the volume of applications processed and
approved, the Department of Justice (DOJ) has identified errors in the
naturalization process; (4) concerns have been raised that INS may have
improperly naturalized aliens with felony convictions; (5) for example,
for about 180,000 aliens applying for naturalization, INS did not
receive the results of a criminal history records check from the Federal
Bureau of Investigation (FBI), even though aliens with criminal history
records, e.g., certain felony convictions, may be barred from becoming
naturalized citizens; (6) this might have resulted in some aliens with
criminal felony convictions improperly becoming naturalized citizens;
(7) changes in the naturalization process to address this problem have
since been made; (8) according to DOJ, of the almost 1.05 million aliens
who were naturalized between September 1995 and September 1996, two
significant groups include 71,557 aliens who had criminal history
records with the FBI and 179,524 aliens whose fingerprint cards were
unclassifiable by the FBI or whose records for other reasons may not
have been checked by the FBI for their criminal history; (9) DOJ's
Justice Management Division (JMD) and INS are reviewing records to
determine the extent to which aliens were improperly naturalized; (10)
JMD has contracted with KPMG Peat Marwick LLP (Peat Marwick) to assist
in overseeing this determination; (11) Peat Marwick is to perform a
number of tasks intended to assess INS' determination of the extent to
which criminal aliens were erroneously naturalized; and (12) the House
Committee on Government Reform and Oversight, Subcommittee on National
Security, International Affairs, and Criminal Justice and the House
Committee on the Judiciary, Subcommittee on Immigration and Claims have
asked GAO to assess the soundness of Peat Marwick's methodologies for
carrying out these tasks and its plans for implementing these
methodologies.

--------------------------- Indexing Terms -----------------------------

 REPORTNUM:  T-GGD-97-51
     TITLE:  Naturalization of Aliens: Assessment of the Extent to Which 
             Aliens Were Improperly Naturalized
      DATE:  03/05/97
   SUBJECT:  Law enforcement information systems
             Naturalization
             Criminals
             Federal agency reorganization
             Interagency relations
             Citizenship
             Aliens
             Eligibility determinations
             ADP
             Legal records

             
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Cover
================================================================ COVER


Before the National Security, International Affairs and Criminal
Justice Subcommittee,
Committee on Government Reform and Oversight,
and Immigration and Claims Subcommittee,
Committee on the Judiciary, House of Representatives

For Release on Delivery
Expected at 10:00 a.m.
on Wednesday
March 5, 1997

NATURALIZATION OF ALIENS -
ASSESSMENT OF THE EXTENT TO WHICH
ALIENS WERE IMPROPERLY NATURALIZED

Statement of Laurie E.  Ekstrand
Associate Director, Administration of Justice Issues
General Government Division

GAO/T-GGD-97-51

GAO/GGD-97-51T


(183611)


Abbreviations
=============================================================== ABBREV

  DOJ - Department of Justice
  FBI - Federal Bureau of Investigation
  INS - Immigration and Naturalization Service
  JMD - Justice Management Division
  OIG - Office of Inspector General

NATURALIZATION OF ALIENS: 
ASSESSMENT OF THE EXTENT TO WHICH
ALIENS WERE IMPROPERLY NATURALIZED
====================================================== Chapter SUMMARY

Between September 1995 and September 1996, the Immigration and
Naturalization Service (INS) received about 1.3 million
naturalization applications; almost 1.05 million aliens were
naturalized.  During that period, INS initiated a number of efforts
to streamline the naturalization process.  While these efforts
greatly increased the volume of applications processed and approved,
the Department of Justice has identified errors in the naturalization
process.  Concerns have been raised that INS may have improperly
naturalized aliens with felony convictions.  For example, for about
180,000 aliens applying for naturalization, INS did not receive the
results of a criminal history records check from the Federal Bureau
of Investigation (FBI), even though aliens with criminal history
records (e.g., certain felony convictions) may be barred from
becoming naturalized citizens.  This might have resulted in some
aliens with criminal felony convictions improperly becoming
naturalized citizens.  Changes in the naturalization process to
address this problem have since been made. 

According to the Department of Justice, of the almost 1.05 million
aliens who were naturalized between September 1995 and September
1996, two significant groups include (1) 71,557 aliens who had
criminal history records with the FBI and (2) 179,524 aliens whose
fingerprint cards were unclassifiable by the FBI or whose records for
other reasons may not have been checked by the FBI for their criminal
history. 

The Department of Justice's Justice Management Division (JMD) and INS
are reviewing records to determine the extent to which aliens were
improperly naturalized.  JMD has contracted with KPMG Peat Marwick
LLP (Peat Marwick) to assist in overseeing this determination.  Peat
Marwick is to perform a number of tasks intended to assess INS'
determination of the extent to which criminal aliens were erroneously
naturalized.  The Subcommittees have asked GAO to assess the
soundness of Peat Marwick's methodologies for carrying out these
tasks and its plans for implementing these methodologies. 


NATURALIZATION OF ALIENS: 
ASSESSMENT OF THE EXTENT TO WHICH
ALIENS WERE IMPROPERLY NATURALIZED
==================================================== Chapter Statement

Messrs.  Chairmen and Members of the Subcommittees: 

I am pleased to be here today to discuss our efforts to assist your
Subcommittees in the determination of the extent to which the
Immigration and Naturalization Service (INS) might have improperly
naturalized aliens between September 1995 and September 1996. 

Between September 1995 and September 1996, INS received about 1.3
million naturalization applications; almost 1.05 million aliens were
naturalized.  During that period, INS initiated a number of efforts
to streamline the naturalization process.  While these efforts
greatly increased the volume of applications processed and approved,
the Department of Justice (DOJ) has identified errors in the
naturalization process.  These errors might have resulted in some
aliens with certain disqualifying criminal felony convictions
improperly becoming naturalized citizens. 

In November 1996, INS made changes in the naturalization process
intended to address this problem.  In addition, INS is reviewing
records of a subset of the aliens who were naturalized during this
period to determine the extent to which aliens were improperly
naturalized.  JMD has contracted with KPMG Peat Marwick LLP (Peat
Marwick) to oversee this determination and to review INS' controls
over the naturalization process. 

At your request, we will review and comment on Peat Marwick's
methodology and implementation plans for overseeing INS' review of
the records of aliens with felony charges.  My testimony today will
discuss our plans in this regard and our progress to date.  To
prepare this statement, we reviewed prior GAO and DOJ Office of
Inspector General (OIG) reports and obtained data from and
interviewed DOJ, INS, and Peat Marwick officials in Washington, D.C. 
The DOJ OIG has told us that it also plans to closely monitor INS'
naturalization project and may perform additional reviews as it deems
appropriate. 


   BACKGROUND
-------------------------------------------------- Chapter Statement:1

INS requires that aliens applying for naturalization submit
fingerprint cards with their applications.  The fingerprint cards are
to include a complete set of fingerprints and other identifying
information, such as name and date of birth.\1 INS is to send each
fingerprint card to the FBI to determine if an alien has a criminal
history record on file.\2 Depending on the severity and timing of
their felony convictions, aliens with criminal history records may be
denied citizenship.  Aliens applying for naturalization are to be
scheduled for hearings after they submit their applications. 
According to INS officials, the hearing dates are generally to be set
to allow adequate time for the FBI to complete criminal history
checks and to return the results (for aliens with arrest records) to
INS. 

After INS accepts an alien's application, a clerk in an INS field
unit is to separate the fingerprint card from the application and
mail the card to the FBI.  According to the FBI, it checks the
fingerprint card (but not the fingerprints at this point) to
determine if the alien's name, gender, and date of birth, as well as
the name of the originating INS district office, have been completed. 
If any of the information is missing, the FBI is to reject the card
and return it to the originating INS office, if known, with an
explanation for the rejection.  It is our understanding that the FBI
does not record the receipt and return of rejected fingerprint cards. 
INS officials are to submit a new fingerprint card to the FBI if the
original fingerprint card was rejected because of missing background
information. 

If the background information on the fingerprint card is complete,
the FBI is to check the fingerprints against its criminal history
database, which contains the names of over 30 million people.  Under
its previous procedures, if a match was found, the FBI was to mail a
copy of the criminal history record and the fingerprint card to the
originating INS office.  Under INS' June 1996 procedures to
centralize the receipt of FBI criminal history checks, the FBI is now
to send the results to INS' Nebraska Service Center, which is to
provide the results to the originating office. 

FBI officials said that, until recently, if the fingerprint check did
not disclose any match, they--per INS' request--did not send any
record back to INS.  According to an INS official, under its policy,
if a response was not received from the FBI within a given time
period, its examiners were to construe that the FBI found no criminal
background.  The net result is that INS examiners did not have any
positive means of determining the status of an FBI fingerprint check
or telling why the files did not contain criminal history records. 
There were several possible reasons why files might not contain
criminal history records:  (1) the FBI did not find a match, (2) the
matching process was still in progress, or (3) the match was not
requested by INS or was lost. 

The FBI is also to reject fingerprint cards if one or more of the
prints are illegible and is to return the rejected cards to INS with
an explanation of their rejection.  If the fingerprints are
illegible, the FBI says it will still run a name check comparing the
alien's name and other identifying background information with the
names in its criminal history database.\3 INS officials are to submit
a new fingerprint card with a new set of fingerprints to the FBI if
the fingerprints on the original card were rejected. 

On November 29, 1996, INS issued instructions for how its employees
are to implement revised naturalization procedures that are intended
to enhance and monitor the quality of the naturalization process. 
Under the revised procedures, no naturalization cases are to be
scheduled for interview or oath ceremony until a definitive response
has been received from the FBI regarding the criminal history record
search.  The response should be that the alien either has or does not
have a criminal history record.  INS is working on several procedures
intended to better ensure that all cases have cleared FBI processing
and that INS officers have sufficient information to accurately
adjudicate applications in relation to aliens' criminal histories. 


--------------------
\1 According to INS, this requirement applies to aliens between the
ages of 14 and 75. 

\2 INS charges a fee to process aliens' applications.  Included in
the fee is a charge by the FBI for checking its records for a
possible criminal history of the alien. 

\3 If through the name check an alien is found to have a criminal
history, that information is to be sent to INS.  However, although a
name-based check is helpful, it is not as definitive as a fingerprint
check. 


   PRIOR OIG AND GAO REPORTS
-------------------------------------------------- Chapter Statement:2

Prior DOJ OIG and GAO audit reports have identified problems related
to the naturalization process.  In February 1994, the DOJ OIG
reported that INS did not verify that fingerprints submitted by
applicants for naturalization and permanent residency actually
belonged to the aliens who submitted them.\4 The report also pointed
out that INS examiners had inappropriately approved some applications
after assuming that applicants had no criminal history because no
criminal history records were included in the aliens' files when they
adjudicated the cases.  The OIG report also found that INS frequently
did not submit new sets of fingerprints to the FBI when the original
sets of prints were rejected by the FBI as illegible. 

In our December 1994 report, we also pointed out that INS examiners
approved an alien's application after assuming, sometimes
incorrectly, that criminal history checks had been completed when no
record appeared in the alien's file.\5 Such an assumption could prove
to be incorrect because the results of criminal history reports might
have been delayed or not filed in a timely manner.  We found that
under INS' procedures at the time of our review, examiners could not
determine whether FBI fingerprint checks had been completed because,
at INS' request, the FBI returned a report only if a criminal history
record was found.  We pointed out that the assumption that the
absence of a report meant there was no criminal history could be
incorrect.  According to INS district officials, without a control to
ensure that the FBI had completed a fingerprint check, aliens with
criminal history records (e.g., certain felony convictions) had had
their naturalization applications inappropriately approved. 


--------------------
\4 U.S.  Department of Justice Office of Inspector General, Alien
Fingerprint Requirements in the Immigration and Naturalization
Service (Feb.  16, 1994). 

\5 INS Fingerprinting of Aliens:  Efforts to Ensure Authenticity of
Aliens' Fingerprints (GAO/GGD-95-40, Dec.  22, 1994). 


   DATA ON ALIENS NATURALIZED
   BETWEEN SEPTEMBER 1995 AND
   SEPTEMBER 1996
-------------------------------------------------- Chapter Statement:3

According to INS records, 1,049,872 aliens were naturalized between
September 1995 and September 1996.  On the basis of available DOJ
data as of January 14, 1997, of those aliens: 

  -- 71,557 aliens had criminal history records with the FBI;\6

  -- 752,073 aliens had no criminal history records with the FBI;

  -- 113,126 aliens' fingerprint cards were rejected by the FBI
     because the cards were unclassifiable;

  -- 66,398 aliens' records were not documented as having been
     received by the FBI for criminal history checks;

  -- 44,145 aliens were not between the ages of 14 and 75, and
     therefore were not required to submit fingerprint cards with
     their naturalization applications; and

  -- 2,573 aliens' records were still being reviewed by the FBI.\7

Of the 71,557 aliens with criminal history records, INS' ongoing
review, as of January 14, 1997, had identified about 10,800 as
possibly having felony charges.  This number could increase as INS
continues its review of these records.  The aliens with criminal
history records who do not have felony charges may have been charged
with or convicted of (1) misdemeanors or (2) administrative
violations (e.g., working without authorization), neither of which
would preclude them from becoming naturalized citizens. 


--------------------
\6 Included in the group of 71,557 aliens with criminal history
records were 445 aliens not between the ages of 14 and 75, despite
the fact that INS does not require criminal history checks for these
individuals. 

\7 To develop these numbers of aliens, INS used its databases to
identify all naturalized aliens for the period, and the FBI used its
database of INS requests for possible criminal histories of aliens. 
The FBI and INS compared their respective databases to identify the
above groups of aliens.  As INS completes its review of the almost
1.05 million naturalized alien files and its database match with the
FBI, the number may change. 


   PEAT MARWICK'S ACTIVITIES AND
   OUR ROLE
-------------------------------------------------- Chapter Statement:4

INS adjudicators, under the oversight of Peat Marwick, are reviewing
the current files of aliens with felony charges to determine whether
these files contain any information that now would disqualify the
aliens for naturalization.\8 According to JMD officials, under its
contract with JMD, Peat Marwick is to perform a number of tasks. 
First, Peat Marwick designed the approach and implementation plan for
INS' review of the files of the estimated 10,800 aliens with felony
charges to determine whether they were properly naturalized.  Second,
Peat Marwick is to oversee a subsequent review by immigration judges
of 1,000 of these felony and other naturalization cases to help
substantiate INS' adjudicatory review.  Third, Peat Marwick is to
take a random sample of about 6,000 naturalized aliens from the
almost 1.05 million naturalized to validate INS' review of the
procedural steps it followed in its original adjudication.  According
to JMD officials, this will enable a determination of whether the
naturalization requirements were applied consistent with the
Immigration and Nationality Act and INS policies and procedures. 

Our role in assisting your Subcommittees will be to review Peat
Marwick's methodologies to carry out these tasks and its plans to
implement these methodologies.  As this work progresses, we plan to
provide comments to Peat Marwick, DOJ, and your Subcommittees on an
ongoing basis.  To this end, we have been meeting with your
Subcommittees to fully understand the most important questions you
want to be addressed.  We have also met with Peat Marwick staff to
discuss methodological and sampling issues. 

With regard to the sampling of the universe of cases, we will review
Peat Marwick's sampling plans and comment on the degree to which
those plans correspond to the Subcommittees' needs for information. 
Specifically, we will review the sampling plan and comment on the
extent to which it will provide information about two significant
groups.  These groups are (1) the aliens whose fingerprint cards were
rejected by the FBI because the cards were unclassifiable (for
example, illegible) and (2) the aliens for whom the FBI said it did
not receive fingerprint cards from INS for criminal history checks. 

On the basis of our work to date, Peat Marwick's methodology and
implementation plans for the review of the records of naturalized
aliens with felony charges appear to have the potential to produce
useful data for the Subcommittees' oversight.  We plan to visit INS'
Nebraska Service Center to observe this work in progress.  This visit
will provide us with a snapshot of how this work is being
implemented. 

We have agreed to provide the Subcommittees with our overall comments
shortly after the completion of our review of Peat Marwick's work,
which is scheduled to be completed by early June 1997.  To date, DOJ
and Peat Marwick have been very cooperative in response to our
requests for information and receptive to our comments. 


--------------------
\8 The review is being done at INS' Nebraska Service Center. 


   AGENCY COMMENTS
-------------------------------------------------- Chapter Statement:5

We discussed a draft of this statement with DOJ and Peat Marwick
officials.  We incorporated their comments where appropriate. 


------------------------------------------------ Chapter Statement:5.1

Messrs.  Chairmen, this concludes my prepared statement.  I would be
pleased to answer any questions. 

*** End of document. ***