United States General Accounting Office

GAO Report to Congressional Requesters

June 1998 IMMIGRATION

STATISTICS

Status of the

Implementation of

National Academy of

Sciences’

Recommendations

GAO/GGD-98-119

GAO United States

General Accounting Office

Washington, D.C. 20548

General Government Division

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 reports1

 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 report2

 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.

Results in Brief The recommendations in the 1985 and 1996 NAS reports proposed a range

of corrective actions to address concerns about unreliable immigration

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.

Page 1 GAO/GGD-98-119 NAS Recommendations
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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 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

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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

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(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

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.

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).

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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.

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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.

NAS’

Recommendations

Address Management

and Data Collection

Concerns

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,

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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

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

Recommendation Action taken GAO’s categorization

Recommendation 1:

Congress should strongly

affirm the importance of

reliable, accurate, and timely

statistical information on

immigration to the needs of

Congress and direct the

Attorney General to

reexamine the organizational

structure of INS as it relates

to statistics, with a view to

placing greater priority on

this important task.

INS: Although no such directives were issued by Congress after the 1985

NAS recommendation, the current INS Commissioner has provided formal

internal and external statements committed to improving the accuracy and

timeliness of INS information.

Partially implemented.

While Congress has not

taken the recommended

action, the current INS

Commissioner has issued a

statement concerning

improving the accuracy of

INS data and has placed

INS’ Statistical Branch

under the Executive

Associate Commissioner for

Office of Policy and

Planning (OPP).

(continued)

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Recommendation Action taken GAO’s categorization

Recommendation 2:

Congress should require that

the Attorney General prepare

and submit by June 30 of

each year an annual report to

the President and Congress

presenting data on aliens

admitted or excluded,

naturalization, asylees, and

refugees; describing their

characteristics; and

containing an analysis of

significant developments

during the preceding fiscal

year in the immigration and

emigration field.

INS: INS said that the Immigration Act of 1990 provided for a statistical

information system as follows:

“(d)(1) The Commissioner, in consultation with interested academicians,

government agencies, and other parties, shall provide for a system for

collection and dissemination, to Congress and the public, of information

(not in individually identifiable form) useful in evaluating the social,

economic, environmental, and demographic impact of immigration laws. 

(2) Such information shall include information on the alien population in the

United States; on the rates of naturalization and emigration of resident

aliens; on aliens who have been admitted, paroled, or granted asylum; on

nonimmmigrants in the United States (by occupation, basis for admission,

and duration of stay); on aliens who have not been admitted or have been

removed from the United States; on the number of 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.

Substantially implemented.

Congress took action by

passing the Immigration Act

of 1990, which required INS

to produce an annual report

that contained specific

immigration data. INS

produces an annual report,

the Statistical Yearbook,

which contains much, but

not all, of the statistical data

recommended by NAS.

Recommendation 3:

Congress should mandate

that a study be initiated and

conducted among new

immigrants over a 5-year

period, in order to develop

information for policy

guidance on the adjustment

experience of families and

individuals to the labor

market, use of educational

and health facilities, reliance

on social programs, mobility

experience, and income

history.

INS: Congress has not mandated an immigrant adjustment study.

However, federal agencies have taken the first steps to establish a

longitudinal study titled the New Immigrant Survey. INS is a major

cosponsor of the survey, which is a pilot study to identify whether the

immigrant’s address on the green card application can be used to locate

recent immigrants. If proven successful, the pilot may lead to a

longitudinal study of immigrant adaptation in the United States. The study

will also collect baseline information describing the characteristics of the

immigrants when they enter the United States. The pilot test is currently in

its second year, and the researchers are concentrating on determining the

feasibility and costs of conducting such a study on a permanent basis.

Partially implemented.

While Congress has not

taken action, INS is in the

process of conducting a

study, which would address

this recommendation.

Therefore, we, along with

INS, considered it to be

partially implemented.

(continued)

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Recommendation Action taken GAO’s categorization

Recommendation 4: The

Attorney General should

issue a strong policy

directive asserting the

importance of reliable,

accurate, and timely

statistical information on

immigration to the mission of

the INS and unequivocally

committing the INS to

improving its existing

capabilities.

INS: Although no such policy directives were issued by any Attorney

General after the NAS recommendation, the current INS Commissioner

has provided formal internal and external statements committed to

improving the accuracy and timeliness of INS information.

Not classified.

We did not categorize this

recommendation to the

Attorney General because

the requirements for

implementing the

recommendation were

documented in another

1985 NAS recommendation

to the INS Commissioner.

(See Recommendation #5

in the 1985 NAS

recommendations.)

Recommendation 5: INS

should issue an explicit

statement clearly setting forth

that the collection,

cumulation, and tabulation of

reliable, accurate, and timely

statistical information on

immigration is a basic

responsibility and inherent in

the mission of INS.

INS: The current Commissioner placed the Statistics Branch in the new

OPP in 1994. One of OPP’s explicit missions is to “more effectively collect

and maintain statistical databases, produce and disseminate timely

statistical reports (many will be monthly) which are of direct relevance to

program planning, monitoring and evaluation.” OPP functions include

“directing the development of a Service-wide statistical reporting system,”

and “maintaining and improving the Performance [Analysis] System (PAS)

of program statistical reporting and analysis.”

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.

Substantially implemented.

INS’ Strategic Plan includes

a mission statement, which

addresses data integrity.

This is consistent with the

recommendation that INS

issue a statement about

quality immigration data.

(continued)

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Recommendation Action taken GAO’s categorization

Recommendation 6: INS

should establish a Division of

Immigration Statistics,

reporting directly to an

associate commissioner or

an equivalent level, with

overall responsibility for:

—ensuring the use of

appropriate statistical

standards and procedures in

the collection of data

throughout the agency;

—ensuring the timely

publication of a variety of

statistical and 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.

INS: INS attempted to establish a Bureau of Immigration Statistics in its

Fiscal Year 1996 Budget to the Congress, but the request for 10 additional

positions and $10 million for salaries and expenses was eliminated in

committee without comment. The budget request stated that the Bureau of

Immigration Statistics would:

“collect, process, analyze and disseminate data useful in evaluating the

social, economic, environmental, demographic and geographic impact of

immigration laws. The entity will establish a statistical information system

in consultation with interested government agencies and other parties to

satisfy a number of criteria, including relevance to current social and

economic issues, timeliness in reflecting today’s rapidly changing

economic conditions, accuracy and consistently high statistical quality, an

impartiality in both subject matter and presentation.”

Not implemented.

Although INS created a new

office, OPP, in 1994, it does

not carry out all of the

functions specified in the

recommendation. In

addition, INS stated that it

had not implemented this

recommendation.

Recommendation 7: INS

should direct and implement

the recruitment of a full

complement of competent,

trained professionals with

statistical capabilities and

subject-area expertise.

INS: The Statistics Branch currently has 24 employees—14 professional

and 10 clerical. The staff includes recognized subject-matter experts and

persons with graduate degrees in demography, statistics, and sociology.

There are currently six analysts with degrees at the doctoral level,

whereas none were employed at that level in 1985. Four analysts have

been hired over the past 2 years. The other professional employees

consist of management analysts and computer specialists who work on

the systems to collect, process, and tabulate INS data.

Partially implemented.

INS has made progress in

implementing this

recommendation by hiring

some trained professional

staff to work in the

Statistical Branch.

Recommendation 8: INS

should establish an advisory

committee composed of

experts in the use and

production of

immigration-related data, to

advise the associate

commissioner and the

proposed Division of

Immigration Statistics of

needs for new or different

types of data; to review

existing data and data

collection methodology; and

to provide the Service with

independent evaluation of its

statistical products, plans,

and performance.

INS: The Statistics Branch does not have a standing advisory committee

but has brought in advisers several times to review existing data systems

and to comment on current products. For example, INS collaborated with

the National Institute of Child Health and Development to fund the National

Academy of Science Workshop titled “Statistics on U.S. Immigration: An

Assessment of Data Needs for Future Research.” NAS provided

recommendations on improving immigration statistics that were published

in 1996. Groups of outside experts have also provided comments on

current methodologies, such as the estimates of the illegal immigrant

population. INS plans to continue to use outside experts on an ad hoc

basis rather than through a standing committee to better address the

variety of data specialties and methodologies used to make estimates.

Not implemented.

INS considers that it has

partially implemented this

recommendation. Although

INS used outside advisers

on an ad hoc basis, INS did

not establish a standing

advisory committee as

directed in the

recommendation. In our

opinion, using advisers on

an ad hoc basis is not a

substitute for a standing

advisory committee.

(continued)

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Recommendation Action taken GAO’s categorization

Recommendation 9: INS

should establish a formal

liaison with other federal and

state agencies involved in the

collection or analysis of

immigration- and

emigration-related data.

INS: The Statistics Branch initiated a meeting of federal agencies involved

in the collection and use of immigration statistics in December 1991. This

group has met quarterly since then and has improved information sharing

and cooperation among the federal and congressional members. For

example, this group identified the need for “country of birth” to be added

to the control card in the monthly Current Population Survey, and

beginning in 1994, several of the agencies provided funds to Census to

collect country of birth data. The group also evaluated existing

longitudinal studies involving significant immigrant populations, and

participant agencies helped fund the New Immigrant Survey pilot survey.

Partially implemented.

INS considers that it has

implemented this

recommendation. While INS

has established a liaison

with federal agencies and is

scheduled to meet regularly

with them, state agencies

did not participate. NAS

recommended that not only

federal but state agencies

are to participate.

Recommendation 10: INS

should initiate a review of all

data-gathering activities to

eliminate duplication,

minimize burden and waste,

review specific data needs

and uses, improve question

wording and format design,

standardize definitions and

concepts, document

methodologies, introduce

statistical standards and

procedures, and promote

efficiencies in the use of staff

and resources.

INS: Almost all of INS’ data originate from administrative records rather

than surveys. There has not been a comprehensive review of these forms

to eliminate duplication and evaluate data needs. In fiscal year 1998,

however, the issues of duplication, data needs and gaps, and

standardization of concepts will be addressed in the 1998 priority titled

“Data Integrity and Integration.” The specific plans for the priority are

currently under development. INS has developed a plan to implement a

corporate information system structure that will ensure that all systems use

the same definitions and will allow for consistent information across all INS

systems.

Not implemented.

INS considers that it has

partially implemented this

recommendation. However,

it has not conducted a

comprehensive review of

immigration data to

eliminate duplication.

Furthermore, as INS stated,

it is currently developing

plans to address specific

issues.

(continued)

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Recommendation Action taken GAO’s categorization

Recommendation 11: OMB

should ensure that it

exercises its responsibilities

to monitor and review

statistical activities and

budgets concerning statistics

on immigration and

emigration, particularly those

of the INS, to minimize

duplication and ensure that

appropriate procedures are

used; standards are met; and

priorities are observed in the

collection, production, and

publication of such data.

OMB: OMB is responsible for reviewing agency management activities

and budget requests in support of the Executive Office of the President

and the President’s annual budget submission to Congress. OMB

provided the same level of scrutiny to INS’ statistical program as other INS

programs. In fiscal year 1998, in response to an INS request, OMB

recommended an enhancement of 15 positions and $7 million to support

the agency’s statistical analysis program. Also, OMB recommended that

the INS statistical program provide the baseline and annual

measurements/ estimates to support the agency’s performance

measurement system. INS currently estimates the number of illegal aliens

residing in the United States and the increment of new illegal aliens

arriving annually. Both the total number of illegal aliens and the rate of

illegal entry can be useful in measuring the success of INS performance in

deterring illegal entry at the borders and in effectively removing those who

attempt 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.

Substantially implemented.

OMB reviews the INS

statistical activities as part

of its annual budget review

and is to ensure that all

data collected meet the

requirements of the

Paperwork Reduction Act.

(continued)

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Recommendation Action taken GAO’s categorization

Recommendation 12: OMB

should require and establish

an interagency review group

responsible for direction and

coordination in the field of

immigration and emigration

data; the group would

examine consistency and

comparability in concepts

and definitions used by

individual organizations in the

collection of such information

and oversee the introduction

and use of standardized

approaches.

OMB: An Interagency Task Force has been advising INS on data-related

issues since December 1991. INS reports that the other agencies have

been very active. The accomplishments of the Task Force have been

substantial.

Partially implemented.

While OMB relied on INS to

advise it on immigration

data issues, OMB did not

establish an interagency

review group to carry out

the duties specified in the

NAS recommendation.

Recommendation 13: OMB

should actively encourage

and support the timely

publication and

dissemination of data on

immigration and emigration;

the ready availability of fully

documented public-use data

tapes, including samples of

individual records without

identifiers where feasible;

and data summaries.

OMB: Since 1985, there have been significant improvements in the data

provided by INS. In 1986, the Yearbook was improved by including text

describing data quality and analysis of trends, preparing the publication

via desktop publishing, and making it more timely. Fully documented

public-use tapes have been available since about 1990; more recently,

data are being made available on the Internet.

Substantially implemented.

INS is publishing an annual

statistical publication. Also,

public-use tapes are

available.

Source: GAO classification of the status of NAS recommendations.

Page 13 GAO/GGD-98-119 NAS Recommendations
B-277650 

Table 2: Implementation Status of the 1996 NAS Recommendations

Recommendation Action taken GAO’s categorization

Recommendation 1: NAS

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.

OMB: The Interagency Task Force on Immigration consists of

representatives of federal agencies with an interest in immigration

(including Census). It has been meeting regularly since December 9,

1991, under the sponsorship of INS. Two OMB representatives attended

the initial meeting, and received the minutes of each meeting for several

years thereafter. The Interagency Task Force was not directed by OMB;

rather, it was chaired and guided by INS. OMB monitored the progress of

the Interagency Task Force and its accomplishments. The Task Force has

developed ideas and programs to improve immigration statistics in a

variety of ways, such as including data on temporary migrants, using data

from longitudinal surveys, adding immigration data in the Current

Population Survey, and increasing exploitation of administrative data.

The proposed Census 2000 questionnaire does include a question on

nativity, but does not include a question on parental nativity. The contents

of the 2000 Census have been restricted to items that are required by law.

While nativity is required according to the Immigration Act of 1990, that

law does not require parental nativity. The Task Force did ensure that

information on nativity and parental nativity is collected in the Current

Population Survey.

INS: Current plans call for the respondent’s nativity, but not their parental

nativity, to be collected in the Census 2000. INS stated that while parental

nativity is useful for identifying the children of immigrants, 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.

Substantially implemented.

While not under OMB

guidance, the Interagency

Task Force, consisting of

representatives from

various federal agencies,

(including INS and Census,

with some OMB

participation) worked to

have nativity and parental

nativity questions put on the

Current Population Survey.

While including a question

on nativity, a question on

parental nativity will not be

included on the Census

2000 questionnaire.

According to OMB, INS,

and Census, the

Immigration Act of 1990

does not specifically require

that parental nativity

information be collected.

The contents of the Census

2000 have been restricted

to items that are required by

law.

(continued)

Page 14 GAO/GGD-98-119 NAS Recommendations
B-277650 

Recommendation Action taken GAO’s categorization

Recommendation 2: NAS

recommended that Census

consider ways to add

local-area contextual data in

the Public Use Microdata

Sample files. Contextual data

on such variables as local

employment, income,

education, and racial and

ethnic composition would

measurably improve this

important data set for

academic and policy

research on immigrants.

Census: Census considered creating a Public Use Microdata Sample for

the 1990 census containing local-area contextual data. An informal

working group investigated the issue and concluded that (1) the

disclosure avoidance procedures used in the 1990 census to ensure

confidentiality of respondents would have been compromised by adding

local-area data, which could lead to identifying specific individuals; and

(2) although the Russell Sage Foundation was willing to fund the inclusion

of contextual data, formal research was needed to resolve the technical

issues, which would have required additional staff, time, and resources

that Census did not have at the time. Census decided that contextual data

such as local employment rates, income, and 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.

Fully implemented.

Census has considered

ways to add local-area

contextual data in the

Public Use Microdata

Sample for the 1990 census.

Recommendation 3: NAS

applauded the introduction of

key questions on nativity as a

regular part of the Current

Population Survey. Questions

on nativity, parental 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.

Census: Beginning in 1994, information on nativity, parental nativity, year

of entry, and citizenship was collected for all members of the Current

Population Survey households in the initial interview. Census plans to

continue collecting this information.

Fully implemented.

Census has indicated that it

plans to retain key

immigration-related

questions on the Current

Population Survey.

(continued)

Page 15 GAO/GGD-98-119 NAS Recommendations
B-277650 

Recommendation Action taken GAO’s categorization

Recommendation 4: NAS

recommended that Census,

in consultation with federal

agencies and immigration

researchers, review the

possibility of adding special

immigration questions to the

Current Population Survey.

Additional, more 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.

Census: Census is currently exploring the feasibility of conducting a

special supplement to the Current Population Survey about emigration

(that is, about persons who leave the United States). Emigration is one of

the key components required for estimates and projections of the U.S.

population. Census officials believe that the earliest feasible date for

incorporating a supplement on emigration on the Current Population

Survey is early 2000. Census plans to continue its efforts to determine if

funding and staff can be made available for the conduct of this

supplement.

Partially implemented.

Census is currently

reviewing the possibility of

adding special immigration

questions to the Current

Population Survey, but has

not completed the effort.

Recommendation 5: NAS

recommended that federal

statistical agencies meet with

their counterpart institutions

in Mexico to discuss the

potential for establishing joint

surveys on immigration. Such

a meeting should include key

immigration researchers from

both countries.

Census: Census has been in contact with its counterpart institution in

Mexico (the National Institute for Statistics, Geography, and Data

Processing) regarding issues that relate to population flows between the

United States and Mexico. In November 1997, demographers and other

technicians from the National Institute for Statistics, Geography, and Data

Processing met with Census’ staff in Suitland, Maryland, to discuss

potential exchange of data and other information pertaining to population

flows between the United States and Mexico. Census will continue

working with this agency. However, a 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 Población

(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.

Fully implemented.

Census officials met with

their Mexican counterparts

to discuss exchanging

immigration data.

(continued)

Page 16 GAO/GGD-98-119 NAS Recommendations
B-277650 

Recommendation Action taken GAO’s categorization

Recommendation 6: NAS

recommended that INS

establish the design and

usefulness of a survey of

green card applicants. A

survey of new immigrants

appears to be feasible, using

the relatively accurate

addresses that are provided

by immigrants in order to

receive their permanent

resident visa.

INS: INS is a major cosponsor with the National Institute of Child Health

and Human Development of the New Immigrant Survey, which is a pilot

study to identify whether the immigrant’s address on the green card

application can be used to locate recent immigrants. If proven successful,

this pilot may lead to a longitudinal study of immigrant adaptation in the

United States. The study will also collect baseline information describing

the characteristics of the immigrants when they enter the United States.

Partially Implemented.

INS is cosponsoring a pilot

study to determine the

usefulness of using the

immigrant’s address on the

green card application to

locate recent immigrants.

Source: GAO classification of the status of NAS recommendations.

Agency Comments 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.

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.

Page 17 GAO/GGD-98-119 NAS Recommendations
B-277650 

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

(966702) Page 18 GAO/GGD-98-119 NAS Recommendations
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