CONGRESS OF THE UNITED STATES

CONGRESSIONAL BUDGET OFFICE

A

PAPER

CBO

Immigration Policy

in the United States

FEBRUARY 2006

A Series on Immigration
2499
The Congress of the United States O Congressional Budget Office

CBO

Immigration Policy 

in the United States

February 2006

A

PAPER
Notes

Numbers in the text and tables may not add up to totals because of rounding.

Unless otherwise indicated, the years referred to in this paper are fiscal years.
Preface

Immigration has been a subject of legislation since the nation’s founding. In 1790, the 

Congress established a formal process enabling the foreign born to become U.S. citizens. Just 

over a century later, in response to increasing levels of immigration, the federal government 

assumed the task of reviewing and processing all immigrants seeking admission to the United 

States. Since then, numerous changes have been made to U.S. immigration policy.

This paper, requested by the Chairman and Ranking Member of the Senate Finance Committee, is part of a series of reports by the Congressional Budget Office (CBO) on immigration. 

The paper focuses on the evolution of U.S. immigration policy and presents statistics on the 

various categories of lawful admission and enforcement of the nation’s immigration laws. In 

keeping with CBO’s mandate to provide objective, nonpartisan analysis, the paper makes no 

recommendations.

Douglas Hamilton is coordinating CBO’s series of reports on immigration. Selena Caldera 

and Paige Piper/Bach wrote the paper under the supervision of Patrice Gordon. Andrew 

Gisselquist reviewed the manuscript for factual accuracy. David Brauer, Paul Cullinan, Mark 

Grabowicz, Theresa Gullo, Arlene Holen, Melissa Merrell, Noah Meyerson, Robert Murphy, 

Kathy Ruffing, Jennifer Smith, Ralph Smith, and Derek Trunkey provided helpful comments 

on early drafts of the paper, as did Eric Larson and Judith Droitcour of the Government 

Accountability Office. (The assistance of external reviewers implies no responsibility for the 

final product, which rests solely with CBO.)

Loretta Lettner edited the paper, and Christine Bogusz proofread it. Maureen Costantino prepared the paper for publication and designed the cover. Lenny Skutnik produced the printed 

copies, and Annette Kalicki and Simone Thomas produced the electronic version for CBO’s 

Web site (www.cbo.gov).

Donald B. Marron

Acting Director

February 2006

Contents

Summary vii

The Evolution of U.S. Immigration Policy 1

Categories of Lawful Admission to the United States 2

Permanent Admission 4

Temporary Admission 10

Enforcement of Immigration Laws 11

Unauthorized Aliens 11

Enforcement Procedures 14

Appendix: Becoming a U.S. Citizen 17

Tables

S-1. Lawful Admissions and Issuances of Visas, 2000 to 2004 viii

1. Permanent (Immigrant) Admissions, by Category of

New Arrival, 1996 to 2004 4

2. Major Immigration Categories 6

3. Numerical Ceilings and Admissions, by Immigration

Category, 2004 8

4. Immigrant Admissions Under the Diversity Program,

by Region, 1997 to 2004 10

5. Number and Type of Nonimmigrant (Temporary) Visa

Issuances, 1992 to 2003 12

6. Enforcement Efforts, 1991 to 2004 15

7. Administrative Reasons for Formal Removal, 1991 to 2004 16

A-1. Requirements for Naturalization 18
VI IMMIGRATION POLICY IN THE UNITED STATES

Figures

1. Total Lawful Permanent Admissions, by Admissions

Category, 2004 5

2. Percentage of Nonimmigrant Visas Issued, by Visa

Classification, 2003 11

Box

1. Definition of Terms 3
Summary

Immigration policy in the United States reflects multiple goals. First, it serves to reunite families by admitting 

immigrants who already have family members living in 

the United States. Second, it seeks to admit workers with 

specific skills and to fill positions in occupations deemed 

to be experiencing labor shortages. Third, it attempts to 

provide a refuge for people who face the risk of political, 

racial, or religious persecution in their country of origin. 

Finally, it seeks to ensure diversity by providing admission 

to people from countries with historically low rates of immigration to the United States. Several categories of permanent and temporary admission have been established 

to implement those wide-ranging goals.

This Congressional Budget Office paper describes who is 

eligible for the various categories of legal admission and 

provides the most recent data available about the number 

of people admitted under each category. The paper also 

discusses procedures currently used to enforce immigration laws and provides estimates of the number of people 

who are in the United States illegally.

Lawful Entry

U.S. policy provides two distinct paths for the lawful admission of noncitizens, or “aliens”: permanent (immigrant) admission or temporary (nonimmigrant) admission. In the first category, aliens may be granted 

permanent admission by being accorded the status of 

lawful permanent residents (LPRs). Aliens admitted in 

such a capacity are formally classified as “immigrants” 

and receive a permanent resident card, commonly referred to as a green card. Lawful permanent residents are 

eligible to work in the United States and may later apply 

for U.S. citizenship. 

In 2004, the United States granted permanent admission, 

or LPR status, to about 946,000 noncitizens (see Summary Table 1). That figure is not a measure of first-time 

entries into the United States, however. The U.S. Citizenship and Immigration Services—a bureau of the Department of Homeland Security—counts both entries of new 

immigrants and adjustments to lawful permanent resident status (for those aliens already in the United States) 

as “admissions.” In 2004, roughly 584,000 adjustments 

to LPR status were granted, and about 362,000 new immigrants entered the country.

The second path is admission on a temporary basis. Temporary admission encompasses a large and diverse group 

of people who are granted entry to the United States for

a specific purpose for a limited period of time. Reasons 

for such admissions include tourism, diplomatic missions, study, and temporary work. Under U.S. law,

citizens of foreign countries admitted temporarily are 

classified as “nonimmigrants.” (For definitions of terms 

used in this paper, see Box 1 on page 3.) Certain nonimmigrants may be permitted to work in the United 

States for a limited time depending on the type of visa 

they receive. However, they are not eligible for citizenship 

through naturalization; nonimmigrants wishing to remain in the United States on a permanent basis must

apply for permanent admission. 

In 2004, the State Department issued about 5 million visas authorizing temporary admission to the United States, 

according to preliminary data. In addition, under the 

Visa Waiver Program, 15.8 million people were admitted 

that year on a temporary basis. Under that program, eligible people may enter the United States without a visa for 

business or pleasure visits of 90 days or less.

The numbers presented in this paper indicate the flow of 

noncitizens into the United States but not their departure. Such information is not recorded. Official estimates 

are available only on the departures of lawful permanent 

residents. The Bureau of the Census has estimated that an 

average of 217,000 LPRs emigrated from the United 

States each year between 1990 and 2000.
VIII IMMIGRATION POLICY IN THE UNITED STATES

Summary Table 1.

Lawful Admissions and Issuances of Visas, 2000 to 2004

(Thousands)

Source: Congressional Budget Office based on Department of Justice, Immigration and Naturalization Service, 2001 Statistical Yearbook 

of the Immigration and Naturalization Service (February 2003); Department of Homeland Security, Office of Immigration Statistics, 

2003 Yearbook of Immigration Statistics (September 2004) and 2004 Yearbook of Immigration Statistics (January 2006); and 

Department of State, Bureau of Consular Affairs, Report of the Visa Office 2003, available at http://travel.state.gov/visa/about/

report/report_2750.html.

a. This category includes both those aliens who entered the United States as lawful permanent residents (LPRs) and those already present in 

the country who adjusted to LPR status in the year designated.

b. Refugees and asylum-seekers are people who are unable or unwilling to return to their home country because of the risk of persecution or 

because of a well-founded fear of persecution. Refugees apply for admission from outside of the United States; asylum-seekers request 

legal admission from within the United States or at a U.S. port of entry.

c. Because certain visas allow nonimmigrants to enter the United States within a window of a few years, the year of issuance might not 

reflect an alien's actual year of entry. Furthermore, Canadians who travel to the United States on business or as tourists on a short-term 

basis generally do not need a visa, nor do eligible citizens from countries participating in the Visa Waiver Program.

d. According to preliminary data from the Department of State.

e. The Visa Waiver Program allows eligible citizens of 27 participating countries to enter the United States without a visa for visits of 90 days 

or less that are related to business or tourism. The participating countries are Andorra, Australia, Austria, Belgium, Brunei, Denmark, 

Finland, France, Germany, Iceland, Ireland, Italy, Japan, Liechtenstein, Luxembourg, Monaco, the Netherlands, New Zealand, Norway, 

Portugal, San Marino, Singapore, Slovenia, Spain, Sweden, Switzerland, and the United Kingdom. In recording nonimmigrant admissions, 

multiple entries by the same individual are not distinguished from first-time entries; therefore, the figures provided do not accurately represent the yearly flow of new nonimmigrants to the United States under this program. 

Unlawful Entry

In addition to facilitating the lawful admission of both 

immigrants and nonimmigrants, U.S. policy addresses 

the issue of unauthorized aliens in the United States. According to the Census Bureau and the former Immigration and Naturalization Service, about 7 million unauthorized aliens were in the United States in 2000. Other 

researchers have estimated that number at roughly 

10 million in early 2004. Although such estimates convey 

the population of unauthorized aliens living in the 

United States in a given year, the other statistics presented 

in this paper represent annual inflows of people into the 

United States, unless otherwise indicated.

Aliens found to be in violation of U.S. immigration laws 

may be removed from the country through a formal pro2000 2001 2002 2003 2004

348 443 486 333 406

235 232 187 159 214

107 179 175 82 155

66 109 126 45 71

51 42 43 46 50

43 59 47 41 49 ___ _____ _____ ___ ___

850 1,064 1,064 706 946

7,142 7,589 5,769 4,882 5,049d

multiple entries) 17,595 16,471 13,113 13,490 15,762 e

Temporary (Nonimmigrant) Admissions and Issuances

Diversity admissions

Refugees and asylum-seekersb

Other

Total

Permanent (Immigrant) Admissions

Employment-sponsored preference admissions

Immediate Relatives of U.S. Citizens

 Generally restricted

Family-sponsored preference admissions

Admissions of Lawful Permanent Residentsa

Unrestricted

Visa Issuancesc

Admissions Under the Visa Waiver Program (Includes
SUMMARY IX

cess (which can include penalties such as fines, imprisonment, or prohibition against future entry) or may be offered the chance to depart voluntarily (which does not 

preclude future entry). In 2004, about 203,000 people 

were formally removed, and about 1 million others departed voluntarily (some people may have done so more 

than once). Of the 203,000 formal removals, 42,000 unauthorized aliens were subject to expedited removals, a 

process designed to speed up the removal of aliens seeking 

to enter the country illegally. 

Immigration Policy in the United States

The Evolution of U.S. Immigration 

Policy

Immigration has been a subject of legislation for U.S. 

policymakers since the nation’s founding. In 1790, the 

Congress established a process enabling people born 

abroad to become U.S. citizens. The first federal law limiting immigration qualitatively was enacted in 1875, prohibiting the admission of criminals and prostitutes. The 

following year, in addressing efforts by the states to control immigration, the Supreme Court declared that the 

regulation of immigration was the exclusive responsibility 

of the federal government. As the number of immigrants 

rose, the Congress established the Immigration Service in 

1891, and the federal government assumed responsibility 

for processing all immigrants seeking admission to the 

United States. 

During World War I, immigration levels were relatively 

low. However, when mass immigration resumed after the 

war, quantitative restrictions were introduced. The Congress established a new immigration policy: a nationalorigins quota system, enacted as part of the Quota Law in 

1921 and revised in 1924. Immigration was restricted by 

assigning each nationality a quota based on its representation in past U.S. census figures. The Department of State 

distributed a limited number of visas each year through 

U.S. embassies abroad, and the Immigration Service admitted immigrants who arrived with a valid visa. Citizens 

of other countries could move permanently to the United 

States by applying for an immigrant visa. Foreign citizens 

traveling to the United States for a limited time (for instance, foreign exchange students, business executives, or 

tourists) could apply for a nonimmigrant visa.

Family reunification was a fundamental goal of the 

Quota Law of 1921 and the updated quota law of 1924. 

Those laws favored immediate relatives of U.S. citizens 

and other family members, either by exempting them 

from numerical restrictions or by granting them preference within the restrictions. Subsequent laws continued 

to focus on family reunification as a major goal of immigration policy.

The Immigration and Nationality Act Amendments of 

1965 abolished the national-origins quota system and 

established a categorical preference system. The new system provided preferences for relatives of U.S. citizens and 

lawful permanent residents and for immigrants with job 

skills deemed useful to the United States. However, it did 

not abolish numerical restrictions altogether. For countries in the Eastern Hemisphere (comprising Europe, 

Asia, Africa, and Australia), the amendments set percountry and total immigration caps, as well as a cap for 

each of the preference categories. Although there was a 

total cap established on immigration from the Western 

Hemisphere, neither the preference categories nor percountry limits were applied to immigrants from the 

Western Hemisphere. Immediate relatives of U.S. citizens—spouses, children under 21, and parents of citizens 

over 21—were exempted from the caps.

The policies established in the 1965 amendments are still 

largely in place, although they have been modified at various times. In 1976, the categorical preference system was 

extended to applicants from the Western Hemisphere. In 

1978, the numerical restrictions for Eastern and Western 

Hemisphere immigration were combined into a single 

annual worldwide ceiling of 290,000. The Immigration 

Act of 1990 added a category of admission based on diversity and increased the worldwide immigration ceiling 

to the current “flexible” cap of 675,000 per year. That cap 

can exceed 675,000 in any year when unused visas from 

the family-sponsored and employment-based categories 

are available from the previous year. For example, if only 

625,000 people were admitted in 2006, the cap would 

then be raised to 725,000 for 2007.
2 IMMIGRATION POLICY IN THE UNITED STATES

The United States also has participated in the resettlement of specific groups of refugees since the close of 

World War II. The Refugee Act of 1980 created a comprehensive refugee policy giving the President, in consultation with the Congress, the authority to determine the 

number of refugees that would be admitted on a yearly 

basis. It brought U.S. policy in line with the 1967 Protocol to the 1951 United Nations Refugee Convention. 

The protocol, together with the 1969 Organization of 

African Unity Convention, expanded the number of people considered refugees. The Refugee Act adopted the internationally accepted definition of “refugee” contained 

in the U.N. Convention and Protocol Relating to the Status of Refugees and applied the same definition to those 

seeking asylum. 

The Immigration Reform and Control Act of 1986 addressed the issue of unauthorized immigration. It sought 

to enhance enforcement and to create new pathways to 

legal immigration. Sanctions were imposed on employers 

who knowingly hired or recruited unauthorized aliens. 

The law also created two amnesty programs for unauthorized aliens and a new classification for seasonal agricultural workers. The Seasonal Agricultural Worker amnesty 

program allowed people who had worked for at least 90 

days in certain agricultural jobs to apply for permanent 

resident status. The Legally Authorized Workers amnesty 

program allowed current unauthorized aliens who had 

lived in the United States since 1982 to legalize their status. Under the two amnesty programs, roughly 2.7 million people residing in the United States illegally became 

lawful permanent residents.1

In response to continuing concerns about unauthorized 

immigration, the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 addressed border enforcement and the use of social services by immigrants. It 

increased the number of border patrol agents, introduced 

new border control measures, reduced government benefits available to immigrants, and established a pilot program in which employers and social services agencies 

could check by telephone or electronically to verify the eligibility of immigrants applying for work or social services benefits.2

The Homeland Security Act of 2002 created the Department of Homeland Security (DHS) and, in doing so, restructured the Immigration and Naturalization Service 

(INS), the agency formerly responsible for immigration 

services, border enforcement, and border inspections. 

Nearly all functions of the INS were transferred to DHS. 

Prior law had combined immigrant service and enforcement functions within the same agency; those functions 

are now divided among different bureaus of DHS. Immigration and naturalization are the responsibility of the 

Bureau of Citizenship and Immigration Services. The 

border enforcement functions of the INS are split between two bureaus: the Bureau of Customs and Border 

Protection and the Bureau of Immigration and Customs 

Enforcement.

Categories of Lawful Admission to the 

United States

Current immigration policy offers two distinct ways for 

noncitizens to enter the United States lawfully: permanent (or immigrant) admission and temporary (or nonimmigrant) admission. People granted permanent admission are formally classified as lawful permanent residents 

(LPRs) and receive a green card. (The term “immigrant” 

is correctly applied only to that category of aliens. For 

more definitions of terms used in this paper, see Box 1.) 

LPRs are eligible to work in the United States and eventually may apply for U.S. citizenship.3

 Aliens eligible for 

permanent admission include certain relatives of U.S. citizens and workers with specific job skills, among others. 

In 2004, the United States admitted about 946,000 people as lawful permanent residents.

1. Nancy Rytina, “IRCA Legalization Effects: Lawful Permanent 

Residence and Naturalization through 2001” (paper presented at 

The Effects of Immigrant Legalization Programs on the United 

States: Scientific Evidence on Immigrant Adaptation and Impact 

on U.S. Economy and Society, The Cloister, Mary Woodward 

Lasker Center, National Institutes of Health Main Campus, 

October 25, 2002).

2. The employment verification pilot program is voluntary, and the 

Government Accountability Office has found weaknesses in it. See 

Government Accountability Office, Immigration Enforcement: 

Weaknesses Hinder Employment Verification and Worksite Enforcement Efforts, GAO-05-813 (August 2005). 

3. The naturalization process and requirements for citizenship are 

described in the appendix. 
IMMIGRATION POLICY IN THE UNITED STATES 3

The 946,000 new admissions reported for 2004 include 

more than first-time entries into the United States. The 

U.S. Citizenship and Immigration Services (USCIS) 

counts as “admissions” both new entries of immigrants 

and adjustments to LPR status for aliens already in the 

United States. In 2004, for example, roughly 584,000 adjustments to LPR status were granted and about 362,000 

aliens entered the country for the first time (see Table 1).

The second path to lawful admission is temporary admission, which is granted to foreign citizens who seek entry 

to the United States for a limited time and for a specific 

purpose (such as tourism, diplomacy, temporary work, or 

study). Under U.S. law, aliens admitted on a temporary 

basis are classified as “nonimmigrants.” Only nonimmigrants with a specific type of visa may be permitted 

to work in the United States. Nonimmigrants are not eligible for citizenship through naturalization; those wishing to remain in the United States permanently must apply for permanent admission. In 2004, about 5 million 

people were granted visas for temporary admission.

Annual issuances of temporary visas, however, are not a 

measure of the number of nonimmigrants entering the 

country each year. Most temporary visas are valid for several years after they are issued. Thus, issuance and entry 

may occur in different years, and visa holders may enter 

the country multiple times. The USCIS does report annual admissions for nonimmigrants, but those numbers 

measure entries by nonimmigrants, not just first-time entries. For example, each entry by a foreign exchange student returning from his or her home country after school 

holidays is counted as an admission. Neither yearly temporary visa issuances nor yearly temporary admissions can 

be directly compared with the measure of yearly permanent admissions.

It is important to note that the numbers presented 

throughout this paper indicate flows of noncitizens into 

the United States but not their departures. Information 

on departures of noncitizens from the United States is not 

recorded, and official estimates are available only on the 

departures of lawful permanent residents. An earlier paper by the Congressional Budget Office found that the 

best estimates indicate that one-fourth to one-third of legal immigrants leave the United States, in most cases 

within several years of admission.4

 The Census Bureau 

Box 1.

Definition of Terms

Terminology used throughout this paper is defined by the Department of Homeland Security’s 

Bureau of Citizenship and Immigration Services: 

B Alien refers to any individual who is not a 

citizen of the United States.

B Immigrant refers to an alien lawfully admitted to the United States for permanent residence; such people also may be referred to as 

lawful permanent residents. 

B Nonimmigrant refers to an alien who seeks 

temporary entry to the United States for a specific purpose. Nonimmigrants include tourists, temporary workers, business executives, 

students, and diplomats. 

B Removal is the expulsion of an alien from the 

United States. The expulsion may be based on 

grounds of inadmissibility or deportability.

B A U.S. visa allows the bearer to apply for entry to the United States under a certain classification. Examples of classifications include 

student (F), visitor (B), and temporary worker 

(H). A visa does not grant the bearer the right 

to enter the United States. The Department of 

State is responsible for visa adjudication at 

U.S. embassies and consulates outside of the 

United States. Immigration inspectors with 

the Department of Homeland Security’s Bureau of Customs and Border Protection determine admission into the United States at a 

port of entry, as well as the duration and conditions of stay. 

4. See Congressional Budget Office, A Description of the Immigrant 

Population (November 2004); and Tammany J. Mulder, Betsy 

Guzmán, and Angela Brittingham, Evaluating Components of 

International Migration: Foreign-Born Emigrants, Population Division Working Paper No. 62 (Department of Commerce, Bureau 

of the Census, April 2002), p. 6, available at www.census.gov/

population/www/techpap.html.
4 IMMIGRATION POLICY IN THE UNITED STATES

Table 1.

Permanent (Immigrant) Admissions, by Category of New Arrival, 1996 to 2004

Source: Congressional Budget Office based on Department of Homeland Security, Office of Immigration Statistics, 2004 Yearbook of Immigration Statistics (January 2006).

Note: LPR = lawful permanent resident.

has estimated that between 1990 and 2000, an average

of 217,000 foreign-born people left the United States

annually.5

Under certain conditions, the United States may deny

visas or admission on either a temporary or a permanent 

basis. For example, people may be denied admission on 

the grounds of health, criminal history, security or terrorism concerns, the likelihood of their “becoming a public 

charge,” their seeking work in the United States without 

proper labor certification and qualifications, prior illegal 

entry or violations of immigration law, lack of proper 

documentation, or previous removal from the country. 

Those grounds may be waived for certain admission

categories.

It is difficult to determine how many people might seek 

to enter the United States, on either a permanent or temporary basis. Various factors in addition to numerical limits affect those admissions. For example, backlogs in the 

processing of applications for visas for permanent legal 

residency and for nonimmigrant visas may slow admissions for the year. Waiting periods may vary by country 

and deter people who would otherwise seek lawful entry 

to the United States. 

Permanent Admission

The goals of current immigration policy are wideranging: 

B To reunite families by admitting immigrants who already have family members living in the United States; 

B To admit workers in occupations with strong demand 

for labor; 

B To provide a refuge for people who face the risk of political, racial, or religious persecution in their home 

countries; and 

B To provide admission to people from a diverse set of 

countries. 

Several categories of permanent admission have been established to implement those goals.

Admissions of Immediate Relatives of U.S. Citizens. In 

keeping with the objective of family reunification, the 

immediate relatives of U.S. citizens—spouses, parents of 

citizens ages 21 and older, and unmarried children under 

21—are admitted without numerical limitation. In 2004, 

about 406,000 immediate relatives of U.S. citizens were 

admitted, accounting for about 43 percent of all permanent admissions. Immediate relatives of citizens have generally accounted for the largest share of permanent immigrant admissions (see Figure 1).

1996 1997 1998 1999 2000 2001 2002 2003 2004

Number of New Admissions, by Type

First-time entry to the United States 421,405 380,719 357,037 401,775 407,402 411,059 384,427 358,411 362,221

Adjustment of status to LPR 494,495 417,659 297,414 244,793 442,405 653,259 679,305 347,416 583,921 _______ _______ _______ _______ _______ ________ ________ _______ _______

Total 915,900 798,378 654,451 646,568 849,807 1,064,318 1,063,732 705,827 946,142

First-time entry to the United States 46 48 55 62 48 39 36 51 38

Adjustment of status to LPR 54 52 45 38 52 61 64 49 62

Percentage of New Admissions, by Type

5. Tammany J. Mulder and others, U.S. Census Bureau Measurement 

of Net International Migration to the United States: 1990 to 2000, 

Population Division Working Paper No. 51 (Department of 

Commerce, Bureau of the Census, December 2001), available at 

www.census.gov/population/www/techpap.html.
IMMIGRATION POLICY IN THE UNITED STATES 5

Figure 1.

Total Lawful Permanent Admissions, 

by Admissions Category, 2004

Source: Congressional Budget Office based on Department of 

Homeland Security, Office of Immigration Statistics, 

2004 Yearbook of Immigration Statistics (January 2006). 

Note: In 2004, the latest year for which data are available, there 

were 946,142 permanent admissions.

Family-Sponsored Preference Admissions. In addition to 

their immediate relatives, U.S. citizens can sponsor other 

relatives for permanent admission under the familysponsored preference program, which is subject to numerical limits. Under that program, admission is governed by a system of ordered preferences (see Table 2). In 

2004, about 214,000 people—or 23 percent of all lawful 

permanent immigrants—were granted admission under 

the family-sponsored preference program. Between this 

category and the preceding (for immediate relatives of 

U.S. citizens), family-based immigrants accounted for almost two-thirds of permanent admissions in 2004. 

The various preference categories under the familysponsored program (and under the employment-based 

program described below) have different numerical limits 

(see Table 3). Unused visas in each category may be 

passed to the next-lower preference category, and unused 

visas in the lowest preference category are passed on to 

the first category. Actual admissions often fall short of the 

established ceilings—for instance, the 214,000 people admitted in 2004 compare with a total ceiling for all familybased categories of 226,000 visas—because of either low 

demand for visas or processing backlogs that sometimes 

affect the number of admissions granted each year. 

Employment-Based Preference Admissions. Historically, 

U.S. immigration policy also has sought to bring in 

workers with certain job skills. The country currently has 

five employment-based preference categories under 

which a person may be admitted: 

B Priority workers with extraordinary ability in the arts, 

athletics, business, education, or science;6

B Professionals holding advanced degrees or individuals 

of exceptional ability; 

B Workers in occupations deemed to be experiencing 

shortages; 

B Religious and other special workers;7 and

B People willing to invest at least $1 million in businesses located in the United States.

A total of about 155,000 people were admitted in 2004 

under those employment-based preference categories, accounting for roughly 16 percent of permanent admissions. The majority of them—55 percent—were admitted as workers in occupations deemed to be experiencing 

shortages (see Table 3).

For most immigrants to be admitted under the 

employment-based preference program, an employer 

must first submit a labor certification request to the 

Department of Labor. The department must then certify 

that there are not enough U.S. workers available locally to 

perform the intended work or that the employment of 

the immigrant worker will not adversely affect wages and

Immediate

Relatives of

U.S. Citizens

 (43%)

Family-Based

Preference

 (23%)

EmploymentBased

Preference

 (16%)

Refugees and

Asylum-Seekers

 (8%)

Diversity

Based

 (5%)

Other

 (5%)

6. Extraordinary ability refers to a level of expertise that indicates the 

individual is one of a small percentage who have risen to the very 

top of a particular field of endeavor. See 8 C.F.R. 204.5 for further 

details.

7. Ibid. Religious workers include ministers authorized by a recognized denomination to conduct religious worship and perform 

duties usually performed by members of the clergy. (The category 

does not include lay preachers.)
6 IMMIGRATION POLICY IN THE UNITED STATES

Table 2.

Major Immigration Categories

Continued

working conditions in the United States. (Certification is 

waived for three preference categories: ministers and 

other religious workers, workers with extraordinary ability, and investors in U.S. businesses.) After receiving certification, the employer must file a petition with the 

USCIS on behalf of the immigrant.

Refugees and Asylum-Seekers. The third goal of U.S. immigration policy is to provide a haven for refugees and 

asylum-seekers—people who are unable or unwilling to 

return to their home country because of persecution (or a 

well-founded fear of persecution) on account of their 

race, religion, nationality, membership in a particular social group, or political opinions. The difference between 

refugees and asylum-seekers is one of location. Refugees 

apply for admission to the United States from outside the 

country, whereas aliens seeking asylum status request legal admission from within the United States or at a U.S. 

port of entry. 

The number of refugees admitted to the United States on 

an annual basis and the allocation of that number between countries are determined by the President in consultation with the Congress. In practice, U.S. policy has 

been to allow admission of at least half of the refugees 

identified by the U.N. High Commissioner for Refugees 

as being in need of resettlement.8 Typically, some portion 

of refugee admissions are unreserved (not allocated to a 

particular country) in an effort to meet any unexpected 

need for resettlement. 

Category

Spouses and unmarried children (under 21 years of age) of U.S. citizens; parents of 

U.S. citizens ages 21 and older

Family-Based Immigration

First preference Unmarried adult (ages 21 and older) sons and daughters of U.S. citizens 

Second preference Spouses and dependent children of LPRs; unmarried sons and 

daughters of LPRs 

Third preference Married sons and daughters of U.S. citizens

Fourth preference Siblings of adult U.S. citizens

Employment-Based Immigration

First preference Priority workers: Individuals with extraordinary ability in the arts, athletics, business, 

education, or the sciences; outstanding professors and researchers; certain multinational 

executives and managers

Second preference Professionals who hold advanced degrees or who are considered to have exceptional ability

Third preference Skilled workers with at least two years' training or experience in labor sectors deemed to 

have shortages and professionals with baccalaureate degrees; unskilled workers in labor 

sectors deemed to have shortages

Fourth preference Special immigrants: Ministers, other religious workers, certain foreign nationals 

employed by the U.S. government abroad, and others

Fifth preference Employment-creation investors who commit at least $1 million to the development of at 

least 10 new jobs. (The amount of the investment may be less for rural areas or areas of 

high unemployment.)

Who Qualifies for Category

Immediate Relatives of U.S. Citizens

8. Department of Health and Human Services, Department of 

Homeland Security, and Department of State, Proposed Refugee 

Admissions for Fiscal Year 2005: Report to Congress (September 

2004), p. 2.
IMMIGRATION POLICY IN THE UNITED STATES 7

Table 2.

Continued

Source: Congressional Budget Office based on Department of Homeland Security, U.S. Citizenship and Immigration Services, “Green Cards 

(LPR),” available at http://uscis.gov/graphics/services/residency/index.htm, and Ruth Ellen Wasem, U.S. Immigration Policy on 

Permanent Admissions, CRS Report for Congress RL32235 (Congressional Research Service, February 18, 2004).

Note: LPR = lawful permanent resident.

a. As defined by the Office of Immigration Statistics, refugees must apply for admission to the United States at an overseas facility and can 

enter only after their application is approved. Asylum-seekers apply for admission when already in the United States or at a point of entry.

b. Parolees are those aliens deemed to be inadmissible by an inspecting officer but who are allowed to enter the United States for urgent 

humanitarian reasons or when an alien's entry would provide significant public benefit. Parole is an extraordinary measure that is granted 

on a case-by-case basis.

In 2004, about 50,000 refugee applications were approved, compared with a ceiling of 70,000.9

 For the same 

year, about 12,000 applications for refugee status were 

denied. Unlike refugee admissions, asylum admissions are 

not subject to an annual ceiling. In 2004, the USCIS approved about 10,000 applications for asylum, and an additional 11,000 people were granted asylum by the Executive Office for Immigration Review.10

Both refugees and asylum-seekers may file an application 

seeking lawful permanent resident status after one year in 

the United States. In 2004, about 71,000 LPR adjustments were granted to refugees and asylum-seekers, accounting for roughly 8 percent of all legal admissions to 

the United States. (At the time, LPR adjustments by 

asylum-seekers were subject to an annual limit but those 

of refugees were not.) In 2004, 10,000 asylum-seekers adjusted to LPR status. The Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, 

and Tsunami Relief, 2005 (Public Law 109-13), eliminated the annual ceiling on LPR adjustments for asylumseekers beginning in 2005.

Category

Refugeesa Aliens who have been granted refugee status in the United States because of the risk of

persecution or a well-founded fear of persecution. Refugees must wait one year before 

petitioning for LPR status

Asylum-Seekersa Aliens who have been granted asylum in the United States because of the risk of 

persecution or a well-founded fear of persecution. Asylum-seekers must wait one year 

before petitioning for LPR status

Diversity Program Citizens of foreign nations with historically low levels of admission to the United States. 

To qualify for a diversity visa, an applicant must have a high school education or the 

equivalent, or at least two years of training or experience in an occupation

Other Various classes of immigrants, such as Amerasians, parolees, certain 

Central Americans, Cubans, and Haitians adjusting to LPR status, and certain people 

granted LPR status following removal proceedingsb

Who Qualifies for Category

9. Department of Homeland Security, Office of Immigration Statistics, 2004 Yearbook of Immigration Statistics (January 2006).

10. Certain aliens may be granted asylum by the Executive Office for 

Immigration Review after USCIS places them in formal removal 

proceedings; those numbers are not reported in USCIS’s count of 

asylum application approvals. See Department of Homeland 

Security, 2004 Yearbook of Immigration Statistics; Department of 

Justice, Executive Office of Immigration Review, Immigration 

Courts FY 2004 Asylum Statistics, available at www.usdoj.gov/eoir/

efoia/foiafreq.htm; and Government Accountability Office, Immigration Statistics: Information Gaps, Quality Issues Limit Utility of 

Federal Data to Policymakers, GAO-GGD-98-164 (July 1998).
8 IMMIGRATION POLICY IN THE UNITED STATES

Table 3.

Numerical Ceilings and Admissions, by Immigration Category, 2004

Continued

Diversity Program. The fourth goal of U.S. immigration 

policy is to provide admission for people from a diverse 

set of countries. Most of the nation’s immigrants come 

from a small number of countries, largely because family 

reunification has been such an important facet of U.S. 

immigration policy. To increase immigration from countries with historically low immigration levels to the 

United States, the Immigration Act of 1990 introduced a 

new diversity-based admissions program. It provides another limited channel for immigrants to gain lawful entry 

into the country.

The diversity program has an annual ceiling of 50,000 

visas; before 1999, the limit was 55,000 visas.11 In 2004, 

50,000 immigrants were admitted under this program, 

accounting for 5 percent of total legal immigration (see 

Table 4). 

Immigrants from African and European countries have 

accounted for most of the immigrants admitted under 

the diversity program: 41 percent and 38 percent, respectively, in 2004. Under the family-based preference proTotal Ceiling

Category

Immediate Relatives of U.S. Citizens Not subject to ceiling 406,074

Family-Based Immigrationb

First preference: Unmarried adult (Ages 21 and older) 23,400 Plus visas not required for fourth preference 26,380

sons and daughters of U.S. citizens

Second preference: Spouses and dependent children and 114,200 Plus visas not required for first preference 93,609

unmarried sons and daughters of LPRs

Third preference: Married sons and daughters of 23,400 Plus visas not required for first or second 

U.S. citizens preference 28,695

Fourth preference: Siblings ages 21 and older of U.S. 65,000 Plus visas not required for first, second, 

citizens or third preference 65,671

Subtotal 226,000 214,355

Employment-Based Immigration

First preference: Priority workers 58,465 Plus unused visas from

fourth and fifth preference categories 31,291

Second preference: Members of the professions 58,465 Plus unused first preference visas 32,534

Third preference: Skilled and unskilled shortage workers 58,464 Plus unused visas from the first or 

second preference categories; 10,000 of 

these are reserved for unskilled workers 85,969

Fourth preference: Special immigrants 14,514 5,407

Fifth preference: Employment-creation investors 14,514 129

Subtotal 204,422 155,330

Ceiling Admissionsa Special Additions

11. To accommodate visa issuances to certain immigrants under the 

Nicaraguan Adjustment and Central American Relief Act of 1997, 

the number of diversity-based visas available on an annual basis 

has been reduced by 5,000 since fiscal year 1999. 
IMMIGRATION POLICY IN THE UNITED STATES 9

Table 3.

Continued

Source: Congressional Budget Office based on Department of Homeland Security, Office of Immigration Statistics, Annual Flow Report 

(June 2005), and 2004 Yearbook of Immigration Statistics (January 2006).

Note: LPR = lawful permanent resident; N.A. = not available.

a. This category includes both aliens who entered the United States as LPRs and those already present in the country who adjusted to LPR 

status in 2004. Thus, admissions may exceed ceilings.

b. This category of preference immigrants does not include the immediate relatives of U.S. citizens, who are categorized as nonpreference 

immigrants and accounted for 406,074 admissions in 2004.

c. Asylum-seekers and refugees are people who are unable or unwilling to return to their home country because of the risk of persecution 

or a well-founded fear of persecution. Refugees apply for admission from outside of the United States; asylum-seekers request legal 

admission from within the United States or at a U.S. port of entry.

d. The Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Tsunami Relief, 2005 (Public Law 109-13) 

eliminated the ceiling on LPR adjustments for asylum-seekers beginning in 2005.

e. Asylum-seekers and refugees may apply for LPR status one year after being granted refugee status. The numbers shown here are for 

LPR adjustments of asylum-seekers and refugees. In addition, 10,101 asylum applications and 49,638 refugee admissions were approved.

f. This category includes other immigrants (such as Amerasians, Cubans, and Haitians) who were granted adjustment to LPR status by 

specific legislation. The category also includes parolees, immigrants who appear to be inadmissible but are granted temporary admission 

for urgent humanitarian reasons or when admission is determined to be of significant public benefit.

grams, by contrast, the largest share of immigrants admitted in 2004 came from North America (including the 

Caribbean and Central America) and Asia (see Table 4). 

Visas for the diversity program are issued through a lottery administered by the State Department. Eligible 

countries are sorted into six geographic regions, and visa 

limits are set for those regions on the basis of immigrant 

admissions in the past five years and a region’s total population. Applicants must have either a high school diploma 

or its equivalent or two years of work experience within 

the past five years. Countries that accounted for more 

than 50,000 immigrant admissions (under the numerically limited categories) during the previous five years are 

excluded from participation in the program. 

Each year, the State Department randomly selects 

roughly 110,000 lottery applicants. Those who meet

all of the requirements and complete the application

process (not all do so) may be granted lawful permanent 

residency.

Total Ceiling

Category Special Additions

Diversity Program Participants 50,000 50,084

Asylum-Seekersc No limit on receiving;

limit of 10,000 on LPR adjustmentsd 10,016 e

Refugeesc 70,000 Presidential determination; 

no limit on LPR adjustments 61,013 e

Other Dependent on specific adjustment authorityf 49,270

Total Overall Admissions N.A. 946,142

Ceiling Admissionsa
10 IMMIGRATION POLICY IN THE UNITED STATES

Table 4.

Immigrant Admissions Under the Diversity Program, by Region, 1997 to 2004

Source: Congressional Budget Office based on Department of Homeland Security, Office of Immigration Statistics, 2002 Yearbook of 

Immigration Statistics (October 2003), 2003 Yearbook of Immigration Statistics (September 2004), and 2004 Yearbook of Immigration Statistics (January 2006); and Department of Justice, Immigration and Naturalization Service, 1997 Statistical Yearbook of 

the Immigration and Naturalization Service (October 1999), 1998 Statistical Yearbook of the Immigration and Naturalization Service (November 2000), 1999 Statistical Yearbook of the Immigration and Naturalization Service (March 2002), 2000 Statistical Yearbook of the Immigration and Naturalization Service (September 2002), and 2001 Statistical Yearbook of the Immigration and 

Naturalization Service (February 2003).

Notes: N.A. = not available.

Some regional admissions may be undercounted.

Countries that do not qualify for the diversity program by world region:

• Asia—China (mainland and Taiwan; for 2002, also Macau, Hong Kong), India, Pakistan (disqualified for 2000 only), Philippines, 

South Korea, Vietnam;

• Europe—Great Britain and its territories, Poland (except in 1997, 2000, 2002);

• North America—Canada; and

• South and Central America and the Caribbean—Colombia, Dominican Republic, El Salvador, Haiti (except in 1997, 1998, and 

1999), Jamaica, Mexico.

Temporary Admission

Nonimmigrants gain lawful admission temporarily for a 

specific purpose, such as tourism, study, business, temporary work, professional or cultural exchange, or diplomatic missions. According to preliminary data, in 2004 

the United States issued almost 5 million nonimmigrant 

visas (see Figure 2). More than two-thirds of them were 

tourist, business, or border-crossing card/visitor combination visas (see Table 5).12 Temporary worker, exchange 

visitor, and student visas were the next-largest groups that 

year, each accounting for roughly 5 percent of the total 

nonimmigrant visas issued. 

Under the Visa Waiver Program, 15.8 million people 

were admitted in 2004 on a temporary basis.13 Under 

that program, citizens of 27 participating countries may 

enter the United States without a visa for visits of 90 days 

or less.14 Requirements are a machine-readable passport, 

compliance with admissions conditions during prior visits under the program, and no previous finding of ineligibility for a U.S. visa.

Region 1997 1998 1999 2000 2001 2002 2003 2004

All Countries 49,374 45,499 47,571 50,945 42,015 42,829 46,347 50,084

Europe 21,783 19,423 21,636 24,585 17,952 16,867 19,162 18,781

Africa 16,224 15,394 15,526 15,810 15,499 16,310 16,503 20,337

Asia 8,254 7,768 7,192 7,244 5,958 7,175 8,131 8,092

North America 1,387 1,298 1,474 1,226 728 589 394 471

South America 1,046 965 972 1,208 1,131 1,310 1,544 1,588

Caribbean 1,009 979 1,232 968 556 482 266 N.A.

Oceania 669 526 654 808 675 533 555 712

Central America 224 175 124 129 84 23 41 42

12. Department of State, Bureau of Consular Affairs, Report of the 

Visa Office, 2003, available at http://travel.state.gov/visa/about/

report/report_2750.html. Includes all visitor (B) visas.

13. Department of Homeland Security, 2004 Yearbook of Immigration 

Statistics, p. 77. That number may include multiple admissions by 

the same individual.

14. Countries taking part in the Visa Waiver Program as of May 2005 

were Andorra, Australia, Austria, Belgium, Brunei, Denmark, 

Finland, France, Germany, Iceland, Ireland, Italy, Japan, 

Liechtenstein, Luxembourg, Monaco, the Netherlands, New 

Zealand, Norway, Portugal, San Marino, Singapore, Slovenia, 

Spain, Sweden, Switzerland, and the United Kingdom.
IMMIGRATION POLICY IN THE UNITED STATES 11

Figure 2.

Percentage of Nonimmigrant Visas 

Issued, by Visa Classification, 2003

Source: Congressional Budget Office based on U.S. Department of 

State, Bureau of Consular Affairs, Report of the Visa 

Office, 2003, available at http://travel.state.gov/visa/

about/report/report_2750.html. 

Notes: The U.S. Citizenship and Immigration Services, a bureau of 

the Department of Homeland Security, defines a nonimmigrant as an alien who seeks temporary entry to the United 

States for a specific purpose.

A total of 4,881,632 nonimmigrant visas were issued in 2003 

(the latest year for which data are available).

In general, anyone wishing to obtain a temporary visa 

must possess a valid passport and agree to abide by the 

terms of admission and to leave the United States at the 

end of the authorized stay. For most categories of temporary admission, applicants must keep a foreign residence 

and may be required to show proof of financial support. 

H visas make up the largest category of nonimmigrant visas issued for employment; 287,000 workers received H 

visas in 2003. Various categories of H visas are numerically capped, subject to certain exemptions. Temporary 

workers entering the United States on H visas include 

specialty-occupation workers, registered nurses working 

in areas experiencing a shortage of health professionals, 

agricultural workers, and certain nonagricultural workers. 

Of the various subcategories of H visas, the largest is 

H1-B, for temporary workers in professional specialities. 

Some 107,000 H1-B visas were issued in 2003.

The H category is a type of nonimmigrant visa that requires labor certification. Depending on the H visa subcategory, potential employers must either conduct an affirmative search for U.S. workers or attest that an 

immigrant worker’s wages and working conditions will be 

comparable to those of a U.S. worker in a similar job. 

Enforcement of Immigration Laws

The grounds for aliens’ inadmissibility or removal include 

health concerns, criminal history, being identified as a security and terrorist risk, the likelihood of their becoming 

a public charge, their seeking work in the United States 

without proper labor certification and qualifications, 

prior illegal entry or immigration law violations, lack of 

proper documentation, ineligibility for citizenship, and 

previous removal from the country. The grounds for removal also include falsely claiming U.S. citizenship to obtain employment or receive a government benefit and 

conviction for a crime related to domestic violence, stalking, or child abuse.

Unauthorized Aliens

Unauthorized aliens include those who enter the United 

States without documentation or with forged documentation; lawfully admitted immigrants who remain in the 

United States after violating immigration law; and aliens 

who have entered the United States on a temporary visa 

and remained past the time limit of the visa. 

The INS and Census Bureau estimated that, in 2000, the 

total number of unauthorized aliens in the United States 

was about 7 million. Another estimate based on survey 

data from the Current Population Survey and administrative data from DHS and other federal agencies estimated 

that 10 million unauthorized aliens were residing in the 

United States in early 2004.15

Business

and/or

Pleasure

Visitors

 (69%)

Students and

CulturalExchange

Visitors

 (11%)

Nonimmigrant

Workers

 (10%)

Transit and/or

Crew Members

 (6%)

Others

 (4%)

15. Immigration and Naturalization Services, Office of Policy and 

Planning, Estimates of the Unauthorized Immigrant Population 

Residing in the United States: 1990 to 2000 (January 2003). Jeffrey 

S. Passel, “Unauthorized Migrants: Numbers and Characteristics,” 

Background Briefing Prepared for Task Force on Immigration and 

America’s Future, Pew Hispanic Center (June 14, 2005). The 

November 2004 CBO publication, A Description of the Immigrant 

Population, provides further details on the various methods used 

for estimating the unauthorized alien population in the United 

States. 
12 IMMIGRATION POLICY IN THE UNITED STATES

Table 5.

Number and Type of Nonimmigrant (Temporary) Visa Issuances, 1992 to 2003

Source: Congressional Budget Office based on Department of Homeland Security, Office of Immigration Statistics, 2003 Yearbook of Immigration Statistics (September 2004); Alison Siskin, Visa Waiver Program, CRS Report for Congress RL32221 (Congressional 

Research Service, April 19, 2005); and Department of State, Bureau of Consular Affairs, Report of the Visa Office, 1996 (April 1997), 

Report of the Visa Office, 2000, available at http://travel.state.gov/pdf/FY2000_TOC.pdf, and Report of the Visa Office, 2003, 

http://travel.state.gov/visa/about/report/report_2750.html. 

Notes: Aliens issued a visa might not enter the United States in the year of issuance, as certain visas allow nonimmigrants to enter within a 

window of a few years. 

NAFTA = North American Free Trade Agreement.

a. Under the Visa Waiver Program, the requirements for short-term B-visa visitors from certain countries are waived. As of May 2005, the 

program included Andorra, Australia, Austria, Belgium, Brunei, Denmark, Finland, France, Germany, Iceland, Ireland, Italy, Japan,

Liechtenstein, Luxembourg, Monaco, the Netherlands, New Zealand, Norway, Portugal, San Marino, Singapore, Slovenia, Spain, Sweden, 

Switzerland, and the United Kingdom.

Type of Temporary Admission Visa Class 1992 1993 1994 1995

Temporary Visitor (Excluding Visa Waiver Program)a

B-1 180,742 229,272 216,825 208,073

B-2 680,820 636,310 690,946 1,058,332

B-1/B-2 3,111,483 2,938,055 2,987,629 3,129,435

B-1/B-2/BCC 299,075 429,436 532,611 543,122 _________ _________ _________ _________

4,272,120 4,233,073 4,428,011 4,938,962

Official Representative and Immediate Family A,G 87,836 90,539 93,715 102,188

Transitional Family Memberb K 8,651 9,764 9,212 10,003

Student F-1, M-1 223,309 215,756 219,941 233,840

Spouse or Child of Student F-2, M-2 22,325 22,057 20,955 21,121 _______ _______ _______ _______

245,634 237,813 240,896 254,961

Intracompany Transfereec L-1 17,345 20,369 22,666 29,088

Spouse or Child of Intracompany Transferee L-2 21,358 23,832 26,450 33,508

Exchange Visitor J-1 145,020 151,281 166,639 171,445

Spouse or Child of Exchange Visitor J-2 32,470 33,360 32,151 33,481 _______ _______ _______ _______

177,490 184,641 198,790 204,926

NAFTA Professional TN d d 4 34

Spouse or Child of NAFTA Professional TD d d 18 114

Temporary Worker

Registered nurse H-1A 7,377 6,388 6,441 7,261

Worker of distinguished merit and ability H-1B 44,290 35,818 42,843 51,832

Nurse in shortage area H-1C ffff

Worker in agricultural services H-2A 6,445 7,243 7,721 8,379

Worker in other services H-2B 12,552 9,691 10,400 11,737

Trainee H-3 2,069 1,785 1,803 1,843

Spouse or child of temporary worker H-4 24,756 25,432 28,800 33,318 ______ ______ ______ _______

Subtotal 97,489 86,357 98,008 114,370

Worker with Extraordinary Ability in Sciences, Arts, etc. O-1, O-2 674 3,003 3,625 4,360

Internationally Recognized Athlete or Entertainer P-1, P-2, P-3 4,319 15,060 19,938 23,208

Spouse or Child of Certain Foreign Worker O-3, P-4 118 531 796 1,028

Cultural Exchange or Religious Worker Q-1, Q-2, R-1 1,847 3,474 4,372 4,829

Spouse or Child of Cultural Exchange or Religious Worker Q-3, R-2 320 630 988 1,021

Treaty Trader or Treaty Investor and Spouse and Children E 31,805 30,563 30,931 30,185

International Media and Spouse and Children I 9,463 9,379 14,698 11,698 __________ __________ __________ __________

Totalg 5,368,437 5,359,620 5,610,953 6,181,822

Subtotal 

Subtotal

Business

Pleasure

Business and pleasure

Combination B-1/B-2 and border-crossing card

Subtotal
IMMIGRATION POLICY IN THE UNITED STATES 13

b. Includes fiance(e)s of U.S. citizens and their children, and spouses of U.S. citizens awaiting the availability of a permanent visa.

c. Includes executive, managerial, and specialized personnel continuing their employment with an international firm or corporation.

d. Section 341 of the North American Free Trade Agreement Implementation Act (Public Law 103-182), enacted on December 8, 1993, 

established this visa category.

e. Section 2(c) of the Nursing Relief for Disadvantaged Areas Act of 1999 (P.L. 106-95) repealed this visa category.

f. Section 2(a) of the Nursing Relief for Disadvantaged Areas Act of 1999 (P.L. 106-95) established this visa category, which was in effect 

from June 11, 2001, through June 11, 2005.

g. Categories may not sum to totals because of certain omitted categories.

1996 1997 1998 1999 2000 2001 2002 2003

204,374 232,377 192,837 93,019 75,919 84,201 75,642 60,892

1,012,511 1,020,402 854,738 642,676 509,031 381,431 255,487 271,358

3,369,635 3,070,539 3,226,799 3,447,822 3,567,580 3,527,118 2,528,103 2,207,303

361,379 387,845 289,883 676,386 1,510,133 1,990,402 1,399,819 836,407 _________ _________ _________ _________ _________ _________ _________ _________

4,947,899 4,711,163 4,564,257 4,859,903 5,662,663 5,983,152 4,259,051 3,375,960

108,336 108,512 110,396 111,971 117,609 111,165 117,155 114,606

11,597 13,455 14,467 19,456 24,746 28,712 39,008 44,633

247,432 273,558 258,080 268,782 290,160 298,730 238,438 219,852

21,518 22,383 22,302 23,230 25,339 26,445 22,373 20,029 _______ _______ _______ _______ _______ _______ _______ _______

268,950 295,941 280,382 292,012 315,499 325,175 260,811 239,881

32,098 36,589 38,307 41,739 54,963 59,384 57,721 57,245

37,617 43,476 44,176 46,289 57,069 61,154 54,903 53,571

171,164 179,598 192,451 211,349 236,837 261,769 253,841 253,866

33,068 34,089 33,177 34,394 37,122 38,189 32,539 29,796 _______ _______ _______ _______ _______ _______ _______ _______

204,232 213,687 225,628 245,743 273,959 299,958 286,380 283,662

115 171 295 484 906 787 699 423

231 340 530 704 1,128 1,041 856 796

1,745 61 18 5 2 eee

58,327 80,547 91,360 116,513 133,290 161,643 118,352 107,196

fffff 34 212 191

11,004 16,011 22,676 28,568 30,201 31,523 31,538 29,882

12,200 15,706 20,192 30,642 45,037 58,215 62,591 78,955

1,877 1,747 1,830 1,892 1,514 1,613 1,387 1,417

36,187 47,206 54,595 69,194 79,518 95,967 79,725 69,289 _______ _______ _______ _______ _______ _______ _______ _______

121,340 161,278 190,671 246,814 289,562 348,995 293,805 286,930

4,359 5,193 6,035 7,194 8,360 8,584 7,998 8,598

23,885 26,941 30,064 30,572 34,525 32,998 32,537 33,463

1,083 1,355 1,684 2,222 2,969 3,307 2,698 2,447

5,946 6,372 6,762 8,333 9,800 10,121 10,444 10,604

1,226 1,291 1,395 2,003 2,492 3,195 3,176 3,164

29,909 29,758 30,232 32,948 36,520 36,886 33,444 32,096

21,494 12,056 11,627 12,694 13,928 13,799 18,187 12,329 __________ __________ __________ __________ __________ __________ __________ __________

6,237,870 5,942,061 5,814,153 6,192,478 7,141,636 7,588,778 5,769,437 4,881,632
14 IMMIGRATION POLICY IN THE UNITED STATES

According to USCIS, about one-third had violated the 

time limits of their temporary visas, thus rendering those 

visas invalid.16 However, some studies indicate that 

USCIS has underestimated the proportion of illegal 

aliens that violated the time limits of their temporary visas, or overstay. For example, a Government Accountability Office report found that the USCIS estimate of “overstayers” did not include Canadian citizens, certain 

Mexican citizens who enter the United States with a 

border-crossing card, and other short-term overstayers.17

Enforcement Procedures 

Apprehensions are the arrest of aliens found to be in violation of immigration law. In 2000, apprehensions were 

at a high of 1.8 million; however, by 2002, apprehensions 

had dropped to 1.0 million (see Table 6). According to 

USCIS, apprehensions made along the southwest border 

between the United States and Mexico accounted for over 

98 percent of all apprehensions made by the Border Patrol. Apprehensions along the U.S. border with Mexico, 

as compared with other Border Patrol sectors, accounted 

for the greatest decline in total apprehensions for the 

years 2001 through 2003; it is uncertain what factors 

may have contributed to that decline.18 In 2004, approximately 1.2 million aliens were apprehended; the Border 

Patrol made 93 percent of those apprehensions.19

Aliens apprehended and found in violation of U.S. immigration laws may be removed from the country through 

formal removal or a voluntary departure. Formal removal 

proceedings are conducted before an immigration judge 

and may result in the removal of the alien or an adjustment of immigration status. Penalties associated with formal removal may include fines, imprisonment, and prohibition of future legal entry. Under some circumstances, 

including a history of legal residence in the country or the 

presence of dependent family in the United States, the 

court may allow the alien to remain in the United States.

An expedited removal process was introduced in 1997, 

applicable to aliens attempting to enter the country illegally. In an expedited removal, the arriving alien may be 

removed without further hearing or review if it is determined that the alien is inadmissible because of fraud, 

misrepresentation, or lack of proper documentation. 

Noncriminal, unauthorized aliens attempting entry may 

be offered voluntary departure in lieu of formal removal. 

Aliens who are allowed to depart voluntarily must admit 

that they were in the country illegally and agree to a witnessed departure, but they are not barred from seeking legal admission at a later time. 

Over the past two decades, the number of formal removals of aliens has generally increased. From 1981 to 1990, 

formal removals averaged 23,300; from 1991 to 2000, 

they averaged 94,000.20 However, formal removals decreased for 2001 and 2002.21 USCIS suggests that increased border security after September 11, 2001, may 

have deterred some immigrants from entering the country illegally, which resulted in fewer removals. However, 

some researchers have suggested that more illegal immigrants are staying longer in the United States, thus resulting in fewer attempted illegal entries and fewer removals.22 In 2004, there were about 203,000 formal 

removals; 42,000 unauthorized immigrants were subject 

to expedited removals; and 1 million unauthorized immigrants departed voluntarily (see Table 6).

16. Department of Homeland Security, Office of Immigration Statistics, 2002 Yearbook of Immigration Statistics (October 2003).

17. Government Accountability Office, Overstay Trackings: A Key 

Component of Homeland Security and a Layered Defense, GAO-04-

82 (May 2004). 

18. Department of Homeland Security, Office of Immigration Statistics, 2003 Yearbook of Immigration Statistics (September 2004), pp. 

146 and 155. 

19. Department of Homeland Security, 2004 Yearbook of Immigration 

Statistics. According to the 2003 Yearbook of Immigration Statistics 

(p. 146), immigration inspectors technically do not apprehend 

aliens, which is the responsibility of the Border Patrol. The 

remaining apprehensions were administrative apprehensions made 

by Immigration and Customs Enforcement.

20. Department of Homeland Security, 2003 Yearbook of Immigration 

Statistics, p. 158.

21. Department of Homeland Security, 2002 Yearbook of Immigration 

Statistics, p. 176; and Department of Justice, Immigration and 

Naturalization Service, 2001 Statistical Yearbook of the Immigration and Naturalization Service (February 2003), p. 235.

22. Belinda I. Reyes, Hans P. Johnson, and Richard Van Swearingen, 

Holding the Line? The Effect of Recent Border Build-Up on Unauthorized Immigration (San Francisco: Public Policy Institute of California, July 2002).
IMMIGRATION POLICY IN THE UNITED STATES 15

Table 6.

Enforcement Efforts, 1991 to 2004

Source: Congressional Budget Office based on Department of Homeland Security, Office of Immigration Statistics, Annual Report: Immigration Enforcement Actions: 2004 (November 2005), and 2004 Yearbook of Immigration Statistics (January 2006).

Notes: The sum of all formal removals and voluntary departures may not equal total apprehensions for various reasons. Formal removal proceedings for some apprehended aliens may take months or several years to resolve; other apprehended aliens may be granted an 

adjustment of status following an immigration hearing; some aliens may be apprehended and removed or may voluntarily depart more 

than once.

n.a. = not applicable.

a. Apprehensions represent the arrest of removable immigrants.

b. Expedited removals are a type of formal removal introduced in 1997. Expedited removal allows an immigration officer to remove an arriving immigrant without further hearing or review if it is determined that the immigrant is inadmissible because of fraud, misrepresentation, or lack of proper documentation.

c. Formal removals include all forms of removal (of unauthorized immigrants, for inadmissibility, and for violation of immigration law), 

except voluntary departures.

d. Immigrants allowed to voluntarily depart admit that they were in the country illegally and must agree to a witnessed departure. These 

immigrants are not barred from seeking lawful admission at a later time.

The types of formal removal charges, or the administrative reasons for formal removal, have changed over the 

past decade (see Table 7). Before 1997, aliens

removed for criminal reasons accounted for the largest 

share of aliens removed. However, between 1998 and 

2001, aliens attempting entry without proper documents 

accounted for the largest share of aliens removed. From 

2002 to 2004, aliens present in the United States without 

authorization made up the largest percentage of aliens removed.23

1991 1,197,875 33,189 n.a. 33,189 1,061,105

1992 1,258,481 43,671 n.a. 43,671 1,105,829

1993 1,327,261 42,542 n.a. 42,542 1,243,410

1994 1,094,719 45,674 n.a. 45,674 1,029,107

1995 1,394,554 50,924 n.a. 50,924 1,313,764

1996 1,649,986 69,680 n.a. 69,680 1,573,428

1997 1,536,520 91,190 23,242 114,432 1,440,684

1998 1,679,439 97,068 76,078 173,146 1,570,127

1999 1,714,035 91,902 89,170 181,072 1,574,682

2000 1,814,729 100,296 85,926 186,222 1,675,711

2001 1,387,486 108,185 69,841 178,026 1,254,035

2002 1,062,279 116,006 34,536 150,542 934,119

2003 1,046,422 145,610 43,758 189,368 887,115

2004 1,241,089 161,090 41,752 202,842 1,035,477

Expeditedb Totalc

Formal Removals

Voluntary Departuresd Apprehensionsa Nonexpedited

23. Department of Homeland Security, 2004 Yearbook of Immigration 

Statistics.
16 IMMIGRATION POLICY IN THE UNITED STATES

Table 7.

Administrative Reasons for Formal Removal, 1991 to 2004

Source: Congressional Budget Office based on Department of Homeland Security, Office of Immigration Statistics, 2004 Yearbook of 

Immigration Statistics (January 2006), and 2003 Yearbook of Immigration Statistics (September 2004). 

Note: * = fewer than 500 or less than 0.5 percent.

1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004

Attempted Entry Without Proper 

Documents 3 4 3 3 6 15 36 79 92 90 76 41 53 50

Criminal 14 20 22 25 26 28 34 36 42 41 40 38 40 43

Failed to Maintain Status 1 1 1 1 1 1 1 1 1 1 1 1 1 1

Previously Removed, Ineligible for 

Reentry 1 1 1 1 1 2 3 7 9 12 11 13 18 20

Present Without Authorization 13 17 15 16 17 24 39 48 35 40 48 56 75 86

Security * * * * * * * * * * * * * *

Smuggling or Aiding Illegal Entry * * * * * * * * * * 1 1 1 1

Other * * * * * * 1 1 2 22113 __ __ __ __ __ __ ___ ___ ___ ___ ___ ___ ___ ___

Total 33 44 43 46 51 70 114 173 181 186 178 151 189 203

Attempted Entry Without Proper 

Documents 9 8 7 8 11 22 31 46 51 48 43 27 28 25

Criminal 44 46 53 54 50 40 30 21 23 22 23 25 21 21

Failed to Maintain Status 3 2 2 2 1 1 1 1 * * * 1 1 1

Previously Removed, Ineligible for 

Reentry 2 2 2 2 3 3 3 4 5 6 6 9 9 10

Present Without Authorization 40 40 35 34 34 34 34 28 19 22 27 37 40 42

Security * * * * * * * * * * * * * *

Smuggling or Aiding Illegal Entry * * * * * * * * * * * * * *

Other * * * * * * * * 1 11111 ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___ ___

Total 100 100 100 100 100 100 100 100 100 100 100 100 100 100

Percentage of Yearly Total

Thousands of Removals
Appendix: Becoming a U.S. Citizen

Naturalization is the process by which an immigrant can 

attain U.S. citizenship. In general, any lawful permanent 

resident who has maintained a period of continuous residence and presence in the United States can apply for 

naturalization. Applicants for naturalization must have 

good moral character, knowledge of U.S. history and government and the English language, and a willingness to 

support and defend the United States and its Constitution. Most immigrants may apply for naturalization after 

three to five years of permanent residency. For certain 

groups of immigrants, including those who have served 

in the U.S. military, the requirements for permanent residency may be shortened or waived. The requirements for 

U.S. residency and local residency also vary according to 

the circumstances of the immigrant. (Table A-1 details 

the requirements for naturalization for various categories 

of immigrants.)

In 2004, U.S. citizenship was conferred upon 537,000 

individuals through naturalization. That represents an increase in the annual number of naturalizations, which 

had declined since 2000 when 889,000 persons were naturalized. According to the Department of Homeland Security, yearly naturalization levels reflect levels of legal immigration; typically, the number of yearly naturalizations 

lags behind legal immigration levels by six to seven years. 

However, because of processing backlogs, naturalization 

numbers may not accurately reflect demand for citizenship among lawful permanent residents. 
18 IMMIGRATION POLICY IN THE UNITED STATES

Table A-1.

Requirements for Naturalization

Continued

Characteristics of

Applicant

Preconditions

Time as Lawful

Permanent

Resident

Continuous

Residence in the 

United Statesa

Physical Presence 

in the United States

Time in

District/Stateb

Lawful Permanent Residents 

with No Special 

Circumstances

Five years Five years 30 months Three months

Married to and Living with a 

U.S. Citizen for the Past 

Three Years; Spouse Must 

Have Been a Citizen for the 

Past Three Years

Three years Three years 18 months Three months

In the Armed Forces for at 

Least One Year

Must be an LPR at the 

time of interview

Not required Not required Not required

In the Armed Forces for 

Less than One Year, or in the 

Armed Forces Less than One 

Year and Discharged More 

than Six Months Earlier

Five years Five years 30 months Three months

Performed Active Military 

Duty During World War I, 

World War II, Korea, 

Vietnam, Persian Gulf, on or 

After September 11, 2001

Not required Not required Not required Not required

Widow or Widower of a U.S. 

Citizen Who Died During 

Active Duty

Must be an LPR at the 

time of interview

Not required Not required Not required

Employee of, or Under 

Contract to, U.S. 

Government

Five years Five years 30 months Three months

Performing Ministerial or 

Priestly Functions for a 

Religious Denomination or 

an Interdenominational 

Organization with a Valid 

U.S. Presence

Five years Five years 30 months Three months
APPENDIX A APPENDIX: BECOMING A U.S. CITIZEN 19

Table A-1.

Continued

Source: Congressional Budget Office based on Department of Homeland Security, U.S. Citizenship and Immigration Services, A Guide to 

Naturalization (February 2004).

Note: LPR = lawful permanent resident.

Applicants also must demonstrate good moral character, knowledge of civics and the English language, and “an attachment to the U.S. 

Constitution.”

a. Trips outside of the United States for periods of six months or longer constitute a break in continuous U.S. residency. Exceptions are made 

for members of the Armed Forces whose service takes them out of the country.

b. Most applicants must be a resident of the district or state in which they are applying.

Characteristics of

Applicant

Preconditions

Time as Lawful

Permanent

Resident

Continuous

Residence in the 

United Statesa

Physical Presence 

in the United States

Time in

District/Stateb

Employed by Certain U.S. 

Research Institutions, a 

U.S.-Owned Firm Involved 

with Development of U.S. 

Foreign Trade or Commerce, 

or Public International 

Organizations of Which the 

United States Is a Member

Five years Five years 30 months Three months

Employed for Five Years or 

More by a U.S. Nonprofit 

Organization Supporting U.S. 

Interests Abroad Through 

Communications Media

Five years Not required Not required Not required

Spouse of a U.S. Citizen Who 

Is a Member of the Armed 

Forces, or in One of the Four 

Previous Categories, and 

Who Is Working Abroad 

Under an Employment 

Contract with a Qualifying 

Employer for at Least One 

Year (Including the Time at 

Which the Applicant 

Naturalizes)

Must be an LPR at the 

time of interview

Not required Not required Not required




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CONGRESS OF THE UNITED STATES

CONGRESSIONAL BUDGET OFFICE

WASHINGTON, DC 20515