Immigration Benefits: Internal Controls for Adjudicating Humanitarian Parole Cases Are Generally Effective, but Some Can Be Strengthened
Released: 2008-02-06T00:00:00

Letter

Background

Humanitarian parole—in the context of immigration—refers to official permission for an otherwise inadmissible alien to legally enter the United States temporarily. This includes aliens required to have a visa to visit or immigrate to the United States who are unable to obtain one, either due to ineligibility or urgent circumstances that make it impractical to apply for one. Specifically, the Immigration and Nationality Act grants the Secretary of Homeland Security discretionary authority to parole an alien into the United States temporarily on a case-by-case basis for urgent humanitarian reasons, such as to obtain medical treatment not available in his or her home country, visit a dying relative, or reunify young children with relatives. Granted for a maximum of 1 year, humanitarian parole does not constitute permanent admission of the alien into the country. Once the purpose of the parole is fulfilled, the alien is to leave the United States. According to the associated HAB protocols for adjudicating humanitarian parole applications, humanitarian parole is an extraordinary measure, to be used sparingly and not to circumvent normal visa-issuing procedures.

The humanitarian parole application process begins when HAB receives an application and supporting evidence (e.g., a doctor’s statement regarding a physical ailment or a death certificate for a family member) from the requester, who may be the applicant, the applicant’s attorney, or someone applying on the applicant’s behalf. Upon receiving an application, a HAB staff member checks to ensure that the applicant is seeking humanitarian parole, the required information is entered on the application form (Form I-131), and the package includes the $305 application processing fee. If the application is complete, the HAB staff member enters the information from the Form I-131 into the PCTS database. In turn, the PCTS generates a letter to confirm receipt of the application and assigns a case number. The adjudicator then runs a security check on both the applicant (called the beneficiary) and the person requesting humanitarian parole, if different from the applicant, against two federally operated security databases.

If there is no match with immigration or national security databases indicating a security issue with the person(s) applying for humanitarian parole, the HAB Chief (or designee) signs the confirmation-of-receipt letter, which is sent to the applicant or the person applying on his or her behalf. The HAB staff then create a working case file. Urgent cases, such as those related to medical treatment, are placed in red folders and given higher priority over less urgent cases, which are placed in green folders. HAB officials told us that urgent cases are processed immediately. Figure 1 illustrates the process for adjudicating applications for humanitarian parole.

About Three-Fourths of Humanitarian Parole Applications Were Denied with Few Differences in Denial Rates by Demographic Characteristic and Some Differences in Adjudicator Recommendations

The 8,748 humanitarian parole applications that HAB adjudicated from October 1, 2001, through June 30, 2007, displayed various characteristics, and grant and denial rates did not differ for most of them, although there were some differences in adjudicator recommendations. Specifically, 54 percent were female; 46 percent, male. Forty-five percent of the applicants came from 11 countries, with Mexico having the greatest number of applicants. Most, 68 percent, were under the age of 40. Sixty-four percent of the requests for humanitarian parole were for two reasons—family reunification (49 percent) and medical emergency (15 percent). Of the 8,748 adjudicated applications, 6,615, or about 76 percent, were denied.

We estimate that 57 percent of the denials specified as a reason that the applicant had not first exhausted all other avenues of immigration, such as applying for a visa, and that in 13 percent of the denials, applicants had committed an infraction of immigration law or other crime—both of which are generally disqualifying factors, absent what the USCIS Web site on humanitarian parole describes as “a very compelling emergency.” We found few differences in the granting or denial rates with regard to the demographic characteristic of gender and, with two exceptions, with regard to country of residence. However, we did find a difference in adjudication decisions for applicants under age 18, who had a higher grant rate than other age groups. This is consistent with the stated purposes of humanitarian parole and the HAB protocols that facilitate family reunification of minors in circumstances of compelling humanitarian need. There were some differences in grant/denial recommendation rates among adjudicators, with a denial recommendation rate of 66 to 84 percent for the 6 adjudicators with the greatest workload who made 15,000 adjudication recommendations from fiscal year 2002 through June 30, 2007, or 84 percent of all adjudicator recommendations. However, there was considerably greater variation among those who adjudicated fewer cases, with denial rates ranging from 43 percent to 93 percent of total recommendations among 18 other adjudicators who made 2,957 recommendations, or 16 percent of the total.

HAB Approved Humanitarian Parole for 24 Percent of Applicants

From October 1, 2001, through June 30, 2007, HAB adjudicated 8,748 applications for humanitarian parole; of these, 24 percent were granted humanitarian parole, while 76 percent were denied parole. Table 1 displays data on humanitarian parole adjudication decision outcomes from fiscal years 2002 through 2007.

Fifty-four percent of the humanitarian parole applicants were female and 46 percent were male. The gender ratios were generally consistent year to year, with the exception of fiscal year 2005 when 51 percent of applicants were male and 49 percent were female. Table 2 shows the number of humanitarian applicants by gender for fiscal years 2002 through 2007.

Individuals from 167 different countries applied for humanitarian parole. Of the 8,748 applicants, 3,933 or 45 percent, were from 11 countries; 4,632 applicants or 53 percent, were residents of 156 other countries, and no country of residence was listed in PCTS for 183 applicants (2 percent). Residents of Mexico constituted the largest number of humanitarian parole applicants, about 9 percent. Table 3 provides data on the number of final adjudications by country of residence for the top eleven countries.

Most of the applicants for humanitarian parole were under age 40. Of the 8,692 applicants for whom the application contained data on their age in PCTS, 5,966, or 68 percent, were under age 40. Twenty-seven percent of all applicants were under the age of 18. Table 4 shows the number of humanitarian parole applicants by age group.

HAB officials identified four broad reasons for humanitarian parole applications: (1) life-threatening medical emergencies; (2) family reunification for compelling humanitarian reasons; (3) emergent, such as to visit an ill family member, or to resolve matters associated with the death of a relative; and (4) “other,” such as a caregiver needed to care for someone in the United States. We estimated that 64 percent of the requests for humanitarian parole were for two reasons—family reunification for compelling humanitarian reasons (49 percent) and medical emergency (15 percent). Figure 2 shows the percentage of applications adjudicated by reason for the request for fiscal years 2002 through 2007, based on a probability sample of 462 cases that we reviewed.

Several Reasons Were Cited for HAB’s Denying Humanitarian Parole Applications

The PCTS database shows that since fiscal year 2002, 76 percent of all applicants were denied humanitarian parole. Based upon our review of the narrative summaries in our sample of denied applications, we identified 10 reasons adjudicators cited when recommending a humanitarian parole application be denied. HAB officials agreed that these categories represented the reasons for denial; they noted that because their decisions are discretionary, none of these reasons are in and of themselves automatically disqualifying. Rather, these are the reasons cited in the probability sample as the basis of the reasoning by the HAB adjudicators as leading to their denial recommendation. The 10 categories were:

The applicant had not exhausted alternative immigration processes available to them for which they might have been eligible, such as obtaining a visa, absent urgent circumstances that made it impractical to do so.

The applicant provided no evidence supporting an emergent condition, such as a death certificate in the case where the request was to attend a funeral.

The applicant provided no or inadequate evidence to support the reason for the request for humanitarian parole, such as a claimed medical emergency.

The applicant had committed a prior immigration violation or other criminal violation.

The purpose of the parole was not temporary in nature. That is, HAB believed that the applicant intended to stay in the United States beyond the duration of a parole period.

Other family members already in the United States could provide care to the person intended to benefit from the presence of the applicant.

The needed medical treatment was available outside the United States.

There was insufficient evidence of adequate financial support to prevent the applicant from becoming a public charge while in the United States.

The applicant provided no proof of familial relationship in cases where a family relationship was claimed as the basis of the application.

Other: This was for applications that did not fall into the other categories. For example, other cases included when persons already approved for humanitarian parole mistakenly applied to HAB for an extension of their parole period rather than apply with a local USCIS district office. Another example was when an applicant for lawful permanent residency departed the United States without first obtaining the needed permission from USCIS and then applied for humanitarian parole to re-enter the United States, a situation that is not valid grounds for humanitarian parole.

In recommending that an application be denied, adjudicators sometimes cited more than one reason in explaining their recommendation. For example, an adjudicator may have cited both that the applicant had not exhausted alternative immigration processes available and that the applicant provided no evidence supporting an emergent condition. Table 5 below shows the estimated percentage of applications where a particular reason for denial was cited.

Table 5 shows that an estimated 57 percent of the denials had as a reason that the applicant had not first exhausted other avenues of immigration, such as applying for a visa, absent urgent circumstances that made it impractical to do so. Table 5 also shows that an estimated 46 percent of all the denied applicants had not provided evidence of an emergent condition and that an estimated 13 percent of denied applicants had committed an infraction of immigration law or other crime. These and the other reasons cited are generally disqualifying factors in applications for humanitarian parole.

Humanitarian Parole Decision Outcomes Show Few Differences by Gender and Country of Residence, but Grant Rates Were Higher for Applicants under Age 18

HAB has considerable discretion in adjudicating humanitarian parole applications. According to HAB’s guidance on adjudicating humanitarian parole applications, exercising discretion involves the ability to consider all factors in making a decision on whether a parole request rises to the level of an urgent humanitarian reason. The exercise of discretion requires that an adjudicator take into account applicable immigration law, regulations, policy and a consideration of the totality of the circumstances of the case including any significant mitigating factors. Most importantly, according to the guidance, discretionary decisions on humanitarian parole applications should be reached in a fair, equitable, and objective manner.

We analyzed the PCTS data to determine whether there were differences in grant and denial rates according to applicants’ gender, country of residence, age, and by adjudicators. The latter factor—the adjudicator involved—must be considered in the context of the adjudication process, which requires that each application be reviewed by two different adjudicators and that if the first two adjudicators disagree in their recommendation, a third adjudicator then reviews the application and makes a recommendation. Then, the HAB Branch Chief or a designee is required to provide supervisory review and make the final decision. Therefore, while individual adjudicators could vary in their recommendations, the internal control system is set up to ensure that no single adjudicator has a decisive role in the outcome decision. (We discuss these internal controls later in this report.).

Our analysis showed virtually no difference in the grant and denial rates according to applicants’ gender. With regard to country of residence, of the 11 foreign nations from which most applicants applied, applicants from Haiti had a lower rate of approval than the others while those from Cuba, El Salvador, India, Iran, Iraq, and Mexico had almost identical rates, and applicants from Lebanon had the highest grant rate. HAB officials attributed the lower rate for Haitians to special immigration eligibility rules for Haitians that were not well understood by applicants and the higher rate for Lebanese residents to special humanitarian circumstances resulting from evacuations associated with the July 2006 conflict in southern Lebanon between Israel and Hezbollah.

Humanitarian parole-granting rates were higher for applicants under age 18 than they were for adults, consistent with HAB protocols and practices that favor reunification of children under age 18 with parents or close relatives. Grant and denial recommendation rates by individual adjudicators varied, with greater variation among those who adjudicated fewer cases. According to HAB officials, variations were expected in the grant/denial recommendation rates among adjudicators, since the facts and circumstances of each application varied and adjudicators do not all review the same applications. However, these officials stated that the application process had been designed with multiple checks to ensure that no single person would be able to unfairly influence the decision outcome, and that informal roundtable discussions among many staff were also used to deal with particularly difficult cases. As a result, they said, while grant/denial recommendation rates could vary by adjudicator, the process had been set up to achieve outcomes based on what amounts to a consensus, rather than being the product of a single adjudicator’s recommendation.

Decision Outcomes Were Similar for Male and Female Applicants

For fiscal years 2002 to 2007, there were few differences in the annual grant/denial rates for male and female applicants, in adjudicated humanitarian parole decisions, with the exception of fiscal year 2005, when the grant rate for females was 21 percent and the grant rate for males was 24 percent. Table 6 shows the yearly approval and denial rates by gender.

With two exceptions, there were few differences in the adjudication outcomes for grant or denial of humanitarian parole applications by country of residence. With the exception of applicants from Haiti and Lebanon, denial rates for the 11 countries that had the most applicants ranged from 68 percent to 82 percent, compared to the overall denial rate of 76 percent. The denial rate for Haitian applicants was 92 percent; in contrast, applicants from Lebanon had the lowest denial rate—45 percent. According to HAB officials, the higher denial rate for Haitians may be in part a result of a high number of applications made by Haitians applying for humanitarian parole on behalf of relatives who did not qualify as derivative beneficiaries (spouses and dependent children) under the Haitian Refugee Immigration Fairness Act (HRIFA) of 1998. For example, an applicant might have applied on behalf of a sibling or extended relative who did not meet the requirements of the Act or those of the humanitarian parole program. With respect to applicants from Lebanon, HAB officials told us that the July 2006 conflict between Israel and Hezbollah had generated applications for humanitarian parole under special urgent circumstances that probably produced a high grant rate. Table 7 shows the percentage of humanitarian parole applications granted and denied by the 11 countries from which the most applicants originated as well as for the total program for fiscal years 2002 through 2007.

One of the reasons individuals can request humanitarian parole is to reunite young children with family members. HAB officials told us that they have followed a practice of applying this policy to those who are under age 18, since 18 is the age of majority in many countries. Consistent with this program goal, HAB granted humanitarian parole to 35 percent of the applicants under 18, a higher rate than those for other age groups and 11 percentage points higher than the overall grant rate of 24 percent. Table 8 shows the grant and denial rates by age distribution.

HAB’s process for adjudicating humanitarian parole requests requires that at least two adjudicators review the application and make a recommendation to grant or deny the request. For the 8,748 applications adjudicated from October 1, 2001, through June 30, 2007, 27 adjudicators made a total of 17,963 recommendations. Our analysis of PCTS data showed that of the 17,963 recommendations, 13,480 (75 percent) were to deny the application. The grant/denial recommendation rates by adjudicators varied to some extent among adjudicators, with a denial rate of 66 to 84 percent for the 6 adjudicators with the greatest workloads, who made 15,000, or 84 percent, of all adjudicator recommendations from fiscal year 2002 through June 30, 2007. Collectively, these six adjudicators had a recommendation denial rate of 77 percent, slightly higher than the overall 75 percent recommendation denial rate for the period. Of these six adjudicators, the four who had the highest number of humanitarian parole cases-–accounting for just over 69 percent of all adjudicator recommendations—had recommendation denial rates that ranged from just over 76 percent to just under 84 percent. However, there was considerably greater variation among those who adjudicated fewer cases, with denial recommendation rates ranging from 43 percent to 93 percent of total recommendations among 18 other adjudicators who each made 15 or more recommendations, and a total of 2,957 recommendations, or 16 percent of the total, from fiscal year 2002 through June 30, 2007. Table 9 shows the approval and denial rates for all 27 adjudicators.

In discussing these data with HAB officials, they noted that three factors should be taken into consideration. First, the facts and circumstances of each application varied, and it is not expected that the grant/denial recommendation rate would be the same for all adjudicators because they do not all review the same applications. Second, each adjudicator brings a different background and work experience to the position. Thus, the adjudicators might judge the facts and circumstances of the same application somewhat differently. Third, no individual adjudicator has sole authority to make the final adjudication decision. Each adjudication outcome requires at least two adjudicators’ recommendations and sometimes a “tie breaker” recommendation by a third adjudicator before a final decision is made by the HAB Branch Chief or a designee.

HAB Generally Had Effective Internal Controls, but Those Related to Staffing, Training, and Communication with Stakeholders Could Be Strengthened

HAB has designed internal controls to help ensure that requests for humanitarian parole are decided in a fair, equitable, and objective manner, and our review of case files and the PCTS database found that these controls have been generally effective, that is, functioning as intended. However, three areas could be strengthened to improve HAB’s ability to adhere to internal control standards. First, following HAB’s transfer from ICE to USCIS, HAB may no longer have a sufficient number of permanent staff to ensure continued compliance with its policies and procedures. Second, HAB does not have a formal training program for staff unfamiliar with humanitarian parole who may be detailed to its office to help process applications thereby increasing the risk that these adjudicators may not have the expertise to make decisions in accordance with applicable guidelines. Third, USCIS’s Web site—the primary means of communicating program criteria to potential applicants—has limited information about the circumstances under which a person may apply for humanitarian parole and therefore may be of limited use to those who seek information about the program.

HAB’s Internal Controls Were Generally Effective

HAB designed internal controls to help ensure requests for humanitarian parole were decided in a fair, equitable, and objective manner and our review of case files and PCTS data found these controls were generally effective, that is, functioning as intended. For example, our standards for internal control in the federal government require that programs have policies and procedures to help ensure management’s directives are carried out. HAB has two documents—the Protocol for Humanitarian Parole Requests and the Standard Operating Procedures for Humanitarian Paroles—that provide detailed instructions on how to adjudicate and process humanitarian parole applications. The protocols list the major reasons for humanitarian parole and the factors adjudicators are to consider given the type of humanitarian parole request. For example, in considering medical requests, HAB adjudicators are to consider, among other things, the nature and severity of the medical condition for which treatment is sought and whether or not the requested treatment is available in the applicant’s home or neighboring country. Regarding family reunification, HAB adjudicators are to consider, among other things, whether the request is designed to circumvent the normal visa issuance procedures. Appendix II contains more information on factors HAB adjudicators are to consider when adjudicating humanitarian parole applications. The procedures call for two adjudicators to review each application and make a recommendation regarding whether the application should be approved or denied. Adjudicators are to provide a short summary explaining their reasoning behind their recommendation in a text box in PCTS. Should the two adjudicators disagree, a third adjudicator, or “tie-breaker,” is asked to review the application and make a recommendation. The protocols also require the HAB Branch Chief or a designee to review the application and make a final decision. According to the HAB Branch Chief, the process of having two adjudicators review each case, including a third adjudicator if needed, as well as the Branch Chief’s review and final decision on approval or disapproval, is intended to provide consistency in applying the decision criteria. The Branch Chief also told us that in difficult cases it was not uncommon for all the professional staff in the office to have an informal roundtable discussion to ensure that all the factors and complexities of the application were adequately and fairly considered. He also told us that if he decides to override adjudicators’ recommendations in a case, he does not finalize such a decision until he has first discussed the case with at least one of his two supervisors.

HAB also maintains information in PCTS that is contained in the application as well as data such as the HAB adjudicator summary explanation of the case, the adjudication recommendations made by the various adjudicators, and the decision reached. The system also contains built-in checks to help ensure internal controls are followed. For example, the PCTS database will not allow a grant or denial letter to be printed unless the system contains information that two adjudicators reviewed the application, as evidenced by their having filled in the appropriate text boxes.

Our review of a sample of humanitarian parole application case files and associated data in PCTS showed that HAB staff followed established policies and procedures. For example, in all cases the PCTS database showed that at least two adjudicators reviewed each application and had written an explanation in the designated text box explaining the reasoning behind their adjudication recommendation. Our direct observation of PCTS in use confirmed that the edit checks built into PCTS to ensure that all required steps are taken before an applicant grant or denial letter could be printed were working. In addition, all hard copy files we reviewed contained a letter notifying the applicants or their representative of HAB’s decision and signed by a HAB official. The letters in the files were signed by the HAB Branch Chief or a designee, indicating that supervisory review was performed. Our probability sample allowed us to conclude that this control was effective for PCTS applications in the March 1, 2007, to June 30, 2007, time period.

HAB has a goal of adjudicating humanitarian parole applications within 60 to 90 calendar days, although HAB officials told us that decisions in the most urgent cases are sometimes made almost immediately. As shown in figure 3, from fiscal year 2002 through fiscal year 2006, HAB achieved this goal, with the median processing time for grants ranging from 8 to 18 days and the median time for denials ranging from 10 to 22 days in this period. Processing some applications took longer than these times, for various reasons. For example, HAB officials cited delays in obtaining the results of DNA testing to confirm a family relationship. For fiscal year 2007 through June 30, 2007, the median time to adjudicate cases increased to 53 days for grants and 36 days for denials. HAB officials told us that they had increased the number of security databases against which applicants provisionally approved for humanitarian parole are checked, prior to granting final approval. As a result, the median number of days to process applications increased in fiscal year 2007 compared to previous years.

All 10 immigration attorneys we interviewed, as well as both accredited representatives of two non-profit organizations that offer legal assistance to immigrants, including sometimes helping humanitarian parole applicants, told us that they were generally satisfied with the speed of the adjudication of applications and had no complaints about the time HAB took to adjudicate their client applications. Five of the 12 attorneys and accredited representatives also told us that HAB decided their cases within 30 to 45 calendar days of the submission of the application. Ten of the 12 attorneys and accredited representatives with whom we spoke were generally satisfied with the responsiveness of the HAB staff, including their willingness to grant applicants more time to provide additional evidence to support applications for humanitarian parole.

Controls Related to Staffing, Training, and Communication with Stakeholders Could be Strengthened

Our work showed that controls related to staffing, training, and communication with stakeholders could be strengthened to enable HAB to carry out its mission and to more fully comport with internal control standards. These areas relate to the number of HAB staff needed to ensure it continues to follow its policies and procedures, a training program for new staff not familiar with humanitarian parole and/or staff who may be detailed to the HAB to help process applications, and whether USCIS’s Web site—the primary means of communicating program criteria to potential applicants—has sufficient information about the circumstances under which a person may apply for humanitarian parole.

Staffing

Prior to the transfer of HAB from ICE to USCIS, HAB had 11 permanent staff, including the Branch Chief, for processing requests for both humanitarian and other types of parole. According to the HAB Branch Chief, this staffing level helped ensure that HAB (1) adhered to its policies and procedures of having two adjudicators, a third adjudicator when necessary to break ties, different adjudicators to review applications submitted for reconsideration, and supervisory review of each application; (2) performed data entry requirements; and, (3) could meet its goal of adjudicating applications within 60 to 90 calendar days. However, the memorandum of agreement that transferred the humanitarian parole program from ICE to USCIS in August 2007 provided for the reassignment of only the Branch Chief and two adjudicators to administer the humanitarian parole program.

Standards for internal controls in the federal government state that an agency must have sufficient staff, including supervisors, to effectively carry out its assigned duties. Having only a Chief and two adjudicators to administer the humanitarian parole program may not be a sufficient number of staff to ensure HAB can continue to comply with its policies and procedures. For example, as noted above and according to HAB policies and procedures, two adjudicators are to review each application. Should the two adjudicators disagree, a third adjudicator, a tie-breaker, is needed to review the application and make a recommendation. The HAB Branch Chief or a designee is to review each application and make a final decision. With only two adjudicators, there is no one to act as a “tie- breaker” because the Branch Chief normally does not assume this role. In addition, if an applicant’s request for humanitarian parole is denied, he or she has the opportunity to provide additional information and have HAB reconsider the application. HAB protocols recommend that in these situations, two different adjudicators—and a third adjudicator when necessary to break a tie—review the reconsidered application. However, having only two adjudicators could put a strain on the program’s ability to continue to meets its goal of processing applications within 60 to 90 days. According to the HAB Branch Chief, based on HAB’s current workload, at least nine staff members are needed to administer the humanitarian parole program—a branch chief, a senior adjudications officer, four adjudications officers, two data entry and case management clerks to enter application information into PCTS and to create and maintain the hardcopy folders of the cases, and one case manager to respond to the 400 to 500 associated inquiries that the branch receives each year. Until permanent staff are requested, approved, and assigned, HAB plans to use adjudications officers detailed from other parts of USCIS to help adjudicate humanitarian parole applications.

In addition to having a limited number of staff transferred with the humanitarian parole program, staff members who transferred were those who had relatively less experience processing humanitarian parole applications. The two permanent adjudicators now at HAB accounted for 11 percent of the cases adjudicated between October 1, 2001, and June 30, 2007. None of the top three adjudicators who decided a total of 61 percent of the cases during that period transferred to USCIS. HAB officials also told us that when the program had 11 staff (including the Branch Chief), if a backlog of cases began to develop, they could have everyone work to reduce it. With only two permanent adjudicators and the Branch Chief, HAB does not have the staff needed to address backlogs that might develop or to provide backup in the event of staff require leave for illness, training, or vacations.

Training

Although HAB plans to use detailed adjudicators as necessary, HAB officials told us that they have no formal training curriculum on how to adjudicate humanitarian parole applications. Officials told us that to date, adjudicators have come from the ranks of those who have considerable experience in immigration-related issues and that this enabled adjudicators to know how to adjudicate humanitarian parole applications after brief on-the-job instruction. Officials also told us that they intend to develop training curriculum on adjudication of humanitarian parole cases. Internal control standards in the federal government state that providing formal training is a method by which an agency can address expertise and experience issues. Until a training program is in place, staff detailed to HAB and new permanent staff not familiar with adjudicating humanitarian parole applications may not get the training they need. Having untrained staff increases the risk that they may not have the expertise to make humanitarian parole decisions in accordance with applicable guidelines.

Communication with Stakeholders

Internal control standards in the federal government state that agencies should establish open and effective communications channels with customers and other groups that can provide significant input on agency products and services. This is particularly important with respect to humanitarian parole applications where the applicant pays a $305 fee for a government service. Our standards for internal controls offer guidelines for communication between an agency and both its internal and external customers. These guidelines state that an agency should provide sufficient information so that clients can understand the rules and processes and can make effective use of the services the agency is supposed to offer.

However, those seeking humanitarian parole may not fully understand the rules for applying. As noted earlier in this report, an estimated 57 percent of those denied humanitarian parole were denied, in whole or in part, because the requester had not exhausted alternative immigration processes, such as requesting a visa, a process that generally must be used prior to requesting a humanitarian parole visa absent urgent circumstances that made it impractical to do so. We also found that an estimated 13 percent of those denied humanitarian parole had committed an infraction of immigration law or other crime, which is also generally a disqualifying factor.

USCIS uses its Web site as the primary tool to communicate information about the humanitarian parole process to the public. The U.S. Department of Health and Human Services has developed Research Based Web Design and Usability Guidelines. The 2006 guidelines state that Web sites should be designed to facilitate effective human-computer interaction and that if the content of the Web site does not provide the information needed by users, it will provide little value no matter how easy it is to use. The instructions included on the USCIS Web site for how and under what circumstances to apply for humanitarian parole were limited. For example, the Web site does not state that to be eligible for humanitarian parole, applicants must generally have first exhausted other available avenues of relief, other than in circumstances of compelling humanitarian emergency or when urgency makes it impractical to do so. The instructions state that the applicant is to submit a statement on “why a U.S. visa cannot be obtained instead of having to apply for humanitarian parole” but does not state that an application for a visa generally should have been made and rejected, again absent urgent circumstances that make it impractical to do so.

Further, the written instructions may be confusing to some applicants. For example, the instructions state that “anyone can file an application for humanitarian parole,” including “the prospective parolee, a sponsoring relative, an attorney, or any other interested individual or organization.” While technically true, the language could lead persons to file and pay the $305 application fee when they first should have exhausted other immigration alternatives (such as filing for a visa), except when there are circumstances that constitute an emergency. This potential lack of information about the need for most applicants to first exhaust other immigration alternatives, absent an emergency, leaves open the possibility that some applicants might not realize that they generally have to have been denied a visa to request humanitarian parole. As a result, applicants may be losing time, as well as the $305 application fee required to apply for humanitarian parole. In addition, HAB’s workload could be increased unnecessarily, therefore putting additional strains on its limited staff.

Although HAB has extensive protocols on what to consider when adjudicating humanitarian parole applications, there is little information on USCIS’s Web site regarding what HAB considers when adjudicating these applications and finding such information can be difficult. Six of the 12 attorneys and accredited representatives we interviewed said that they and their clients would have benefited from more guidance on the application process, including an explanation of what supporting documentation and evidence to include in the application, adjudication criteria, and examples of circumstances warranting humanitarian parole. Clearer and more explicit information about the humanitarian parole process could better inform potential applicants and their attorneys and representatives. Six of 12 attorneys and accredited representatives stated that having either a phone number or an e-mail address on the Web site to contact HAB would help facilitate communication. Two attorneys suggested that using e-mail could speed correspondence with HAB as well as the submission of application materials.

Four attorneys who had represented clients who were denied parole told us that HAB should include more information on the grounds for denial in the decision letter. Specifically, four of the seven attorneys who had at least one client denied parole were dissatisfied with the brief form language included with the notification letter. Two attorneys stated that the brief letters gave them the impression that the applications had not received sufficient or serious consideration. HAB officials, however, expressed concern that providing detailed explanations of denials would lead to reapplications of denials tailored to overcome the original grounds for the denial, even when the underlying facts of the case had not changed. This, in their view, would increase the number of potentially frivolous applications and add to the agency’s overall workload from persons who were ineligible for humanitarian parole—and slow down the processing times for genuinely urgent cases. Finally, two attorneys who received approvals for their clients stated they would have appreciated clearer instructions about how to obtain the necessary travel documents from an embassy or consulate. HAB officials told us that the letters they provide to applicants or to their representatives can at most tell them whether they have been granted or denied parole and, if granted, which embassy or consulate they need to contact to obtain the travel documents. The officials stated that information regarding embassy and consulate locations and hours of operations is available on the Department of State Web site at www.travel.state.gov.

Conclusions

HAB has instituted internal controls that are designed to help ensure that humanitarian parole applications are decided in a fair, equitable, and objective manner, and these controls were generally effective, that is, functioning as intended. With the move to USCIS resulting in the transfer of only the HAB Branch Chief and two permanent adjudicators, HAB does not have sufficient staff for two independent reviews of an application and a possible tie breaker—a key internal control mechanism. Until an adequate staffing level is decided and implemented, HAB may face challenges in adhering to its policies and procedures on adjudication. Without a formal training program for potential new staff and those who might be detailed to HAB, the agency cannot ensure that these staff will be properly trained to make recommendations in accordance with applicable guidelines. Lastly, additional information on USCIS’s Web site about the need for applicants to first exhaust other immigration avenues before applying for humanitarian parole and more information about the criteria HAB uses to adjudicate humanitarian parole applications could help applicants decide whether the expenditure of time and the $305 application fee would be appropriate and what types of evidence are needed to help ensure HAB makes an informed decision. Without this additional information, applicants may lose time and money applying for humanitarian parole and HAB’s workload may be increased unnecessarily, straining its already limited staff.

Recommendations for Executive Action

To help ensure that HAB is able to process applications for humanitarian parole consistent with its own policies and procedures and to help ensure applicants understand the humanitarian parole rules and processes, we recommend that the Secretary of DHS direct the Director of USCIS to take the following three actions coordinate with the HAB Branch Chief to determine the number of staff HAB needs to process humanitarian parole applications in accordance with its policies and procedures and assign them to HAB; develop a formal training program curriculum on adjudication of humanitarian parole cases for new and detailed staff; and revise USCIS’s Web site instructions for humanitarian parole to help ensure that applicants understand the need to first exhaust all other immigration avenues and the criteria HAB uses to adjudicate humanitarian parole applications.

Agency Comments and Our Evaluation

We provided a copy of a draft of this report to DHS for comment. In commenting on our draft report, DHS stated that it concurred with our recommendations and that it has begun taking actions to implement each of them. DHS stated that the HAB is finalizing a comprehensive staffing assessment for review by USCIS and that, in the short-term, HAB has made interim arrangements to have experienced USCIS staff assist its staff. DHS stated that USCIS intends to implement a formal humanitarian parole training program during fiscal year 2008 and that the program would offer an orientation process for all staff members responsible for processing humanitarian parole applications. Last, DHS stated that USCIS will undertake a thorough review of the Web site and make appropriate modifications, including but not limited to the development of a frequently-asked-questions section, and that these modifications would be implemented during fiscal year 2008.

We are sending copies of this report to the Secretary of Homeland Security, the Secretary of State, the Director of the Office of Management and Budget, and interested congressional committees. We will also make copies available to others on request. In addition, this report will be available at no charge on the GAO Web site at http://www.gao.gov.

If you or your staff have any questions concerning this report, please contact me at (202) 512-8777 or by e-mail at stanar@gao.gov. Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report. Key contributors to this report are listed in appendix IV.

Appendix I: Objectives, Scope, and Methodology

This report addresses U.S. Citizenship and Immigration Service’s (USCIS) Humanitarian Assistance Branch’s (HAB) policies and procedures for adjudicating applications for humanitarian parole. Specifically, we answered the following questions: (1) What are the characteristics of those who applied for and were either granted or denied humanitarian parole since fiscal year 2002 and did approval and denial rates differ according to these characteristics or the adjudicator assigned? (2) What internal controls has HAB designed to adjudicate humanitarian parole applications and to what extent did HAB adhere to these internal controls when processing humanitarian parole applications? We performed our work at HAB’s office in Washington, D.C.

To determine the characteristics of those who applied for and were either granted or denied humanitarian parole since fiscal year 2002 and what differences, if any, there were in grant or denial rates according to these characteristics or the adjudicator assigned, we obtained and analyzed data from DHS’s Parole Case Tracking System (PCTS), a database that contains computerized records of all individuals whose applications for humanitarian parole have been approved, denied, suspended, terminated, or are pending. We analyzed the data on the 8,748 cases that were either approved or denied from October 1, 2001, through June 30, 2007, the cutoff date necessary to ensure that the cases under review had been fully adjudicated and closed. PCTS is a database that was carried over from the (former) Immigration and Naturalization Service (INS) to DHS, when the latter was formed and absorbed the INS. The PCTS is now maintained by HAB. PCTS contains no interfaces to any external computer or communication systems.

To determine the reliability of PCTS data, we compared the data in PCTS with the information contained in a sample of hard-copy humanitarian parole applications. While the HAB keeps indefinitely humanitarian parole applications that were approved, the HAB only keeps for 6 months those that were denied. Therefore, to include both approvals and denials in our sample, we selected a stratified probability sample of 145 cases from the 544 cases that were either approved or denied from March 1, 2007, through June 30, 2007, to evaluate data reliability for this period.

The results of our data verification were as follows:

We sampled 74 denied cases from the population of 378 denied cases and found no errors.

We sampled 71 granted cases from the population of 166 granted cases during this period and found no errors.

Because we found no instances of error between the data in PCTS and the underlying hard-copy applications, we are 95 percent confident that the frequency of these errors would be less than 4 percent for both the granted and the denied cases for the time period we reviewed. Therefore, we consider the results of our analyses using data from DHS’s PCTS to yield accurate representations of the distribution of humanitarian parole grant and denial decisions by applicant characteristics and by adjudicator. We also consider the results of our analyses using PCTS data to yield accurate representations of time frames for adjudicating humanitarian parole applications and of reasons for denial of humanitarian parole applications.

Data Analysis

We performed comprehensive analyses on PCTS data covering the period from October 1, 2001 through June 30, 2007. Our analyses included the distribution of humanitarian parole grant and denial decisions by applicant age, gender, and country of residence; distribution of grant and denial decisions by reason for request and distribution of grant and denial recommendations by adjudicator; and time frames required for adjudication (calendar days).

Specifically, we summarized data on the number of applications approved or denied humanitarian parole from October 1, 2001, through June 30, 2007. To determine whether there were any differences in the demographic characteristics among those granted or denied humanitarian parole, we analyzed key demographic characteristics of the applicants (i.e., age, gender, and country of origin). We also examined whether there were any differences in the approval and denial rates between specific adjudicators To examine the reasons for requesting humanitarian parole and the reasons for which applicants were denied, we selected a stratified probability sample of 462 cases from fiscal year 2002 through June 30, 2007, and performed content analyses on these cases. The sample strata were defined in terms of time period and whether the request was denied or granted. Table 10 summarizes the population of humanitarian parole cases and our sample selected for the content analyses.

We performed a content analysis of the reasons for the requests contained in the text boxes on all 462 applications. We then categorized the explanations in the text boxes for requesting humanitarian parole into four major categories: (1) life-threatening medical emergencies; (2) family reunification for compelling humanitarian reasons; (3) emergent, defined by the HAB guidelines as including the need to visit an ill family member, or to resolve matters associated with the death of a relative, or to attend a funeral; and (4) “other,” such as a caregiver needed to care for someone in the United States. These categories are in the protocols that HAB adjudicators use in making their recommendations. We confirmed these categories with HAB.

To determine the reasons for which applicants were denied humanitarian parole, we reviewed the 280 cases in our sample in which the applicant was denied humanitarian parole and performed a content analysis of the explanations for denial of parole contained in the text boxes. We then categorized the explanations for denials contained in these text boxes into 10 categories. HAB officials agreed that these 10 categories represented the reasons for denial. They noted that because their decisions are discretionary, none of these reasons are in and of themselves automatically disqualifying. Rather, these are the reasons cited in the text boxes found in the probability sample as the basis of the reasoning by the HAB adjudicators as leading to their denial recommendation. The 10 categories were:

The applicant had not exhausted alternative immigration processes available to them and for which they might have been eligible, such as obtaining a visa, absent urgent circumstances that made it impractical to do so.

The applicant provided no evidence supporting an emergent condition, such as a death certificate in the case where the request was to attend a funeral.

The applicant provided no or inadequate evidence to support the reason for the request for humanitarian parole, such as a claimed medical emergency.

The applicant had committed a prior immigration violation or other criminal violation.

The purpose of the parole was not temporary in nature. That is, HAB believed that the applicant intended to stay in the United States beyond the duration of a parole period.

Other family members already in the United States could provide care to the person intended to benefit from the presence of the applicant.

The needed medical treatment was available outside the United States.

There was insufficient evidence of adequate financial support to prevent the applicant from becoming a public charge while in the United States.

The applicant provided no proof of familial relationship in cases where a family relationship was claimed as the basis of the application.

Other: This was for applications that did not fall into the other categories. For example, other cases included when a person already approved for humanitarian parole mistakenly applied to HAB for an extension of the parole period rather than apply with a local USCIS district office. Another example was when an applicant for lawful permanent residency left the United States without first obtaining the needed permission from USCIS and then applied for humanitarian parole to re-enter the United States, a situation that is not valid grounds for humanitarian parole.

In recommending that an application be denied, adjudicators sometimes cited more than one reason in explaining their recommendation. Therefore, we counted all reasons cited by the adjudicators in the PCTS text boxes.

Because we followed a probability procedure based on random selections, our sample is only one of a large number of samples that we might have drawn. Since each sample could have provided different estimates, we express our confidence in the precision of our particular sample’s results as a 95 percent confidence interval (e.g., plus or minus 8 percentage points). This is the interval that would contain the actual population value for 95 percent of the samples we could have drawn. As a result, we are 95 percent confident that each of the confidence intervals in this report will include the true values in the study population. For example, we estimate that 49 percent of requests were for family reunification for compelling humanitarian reasons, so we are 95 percent that for the entire population of requests, between 41 and 57 percent of the time family reunification for compelling humanitarian reasons was the reason for requesting humanitarian parole.

Estimates from this sample are to the population of humanitarian parole cases processed by DHS (or its precursor, the Immigration and Naturalization Service) from October 1, 2001, through June 30, 2007. The 8,748 applications contained in the PCTS data through June 30, 2007, provided by DHS represent 100 percent of the application cases either granted or denied within the Humanitarian Parole program at the time of our analysis.

To determine what internal controls HAB designed to adjudicate humanitarian parole applications and to what extent HAB adhered to these internal controls when processing humanitarian parole applications, we obtained HAB policies and procedures and compared them with standards for internal control in the federal government and other internal control guidance related to control activities, staffing levels, training, and communication with external clients. In assessing the adequacy of internal controls, we used the criteria in GAO’s Standards for Internal Control in the Federal Government, GAO/AIMD 00-21.3.1, dated November 1999. These standards, issued pursuant to the requirements of the Federal Managers’ Financial Integrity Act of 1982 (FMFIA), provide the overall framework for establishing and maintaining internal control in the federal government. Also pursuant to FMFIA, the Office of Management and Budget issued Circular A-123, revised December 21, 2004, to provide the specific requirements for assessing the reporting on internal controls. Internal control standards and the definition of internal control in Circular A-123 are based on GAO’s Standards for Internal Control in the Federal Government. We also used the guidance contained in Internal Control Management and Evaluation Tool, GAO-01-1008G, dated August 2001. In addition, we tested compliance with two internal controls—that at least two adjudicators reviewed each case, and that a signature of the HAB Branch Chief or a designee existed—for each of the 145 cases selected for our validation sample. From this review, we found no instances of noncompliance with the internal controls. This means that we are 95 percent confident the frequency of this type of noncompliance would be less than 4 percent for the both the granted and the denied cases for the time period we reviewed. Based on this review, we concluded that these internal controls are effective.

Structured interviews with Attorneys and Representatives

To obtain a more complete understanding of the humanitarian parole process, we interviewed accredited representatives (non-attorneys accredited to represent aliens before immigration courts) of 2 non-profit groups that have handled humanitarian parole cases—Catholic Charities USA and the Hebrew Immigrant Aid Society (HIAS)—as well as 10 private attorneys who are members of the American Immigration Lawyers Association (AILA). The 12 individuals we interviewed collectively had assisted with 20 humanitarian parole applications since 2000. We asked each of these individuals a similar set of questions about their experiences with the application process. Additionally, we asked them to describe aspects of that process that worked well and to identify areas where they felt it could be improved. Because these individuals and groups were selected using nonprobabilistic methods, conclusions drawn from these interviews cannot be generalized to the immigration law community.

Appendix II: Major Reasons for Humanitarian Parole Requests and Factors HAB Considers when Adjudicating Applications

The HAB has a protocol document that states in general, that HAB looks at the totality of the circumstances when reviewing requests for humanitarian parole. The protocol also describes broad reasons for humanitarian parole applications and lists factors within these that HAB may consider in determining parole eligibility. According to its protocols, HAB determines whether the reasons given in the requests are urgent or an emergency compared to other seemingly similar requests.

The following information does not constitute a comprehensive list of factors included in the protocol, but rather provides examples of the types of factors HAB considers.

Medical Requests: In considering medical requests, HAB adjudicators are to carefully review the application, supporting documentation, and other resources to determine among other factors the nature and severity of the medical condition for which treatment is sought; whether or not the requested treatment is available in the home or neighboring country; and the medical verification of the need of the prospective parolee.

Family Reunification: Regarding family reunification, HAB will consider many elements, such as whether the request is designed to circumvent the normal visa issuance evidence of a bona fide relationship between the applicant and claimed relatives in the United States; and the age and mental and/or physical limitations of the family member who is seeking to be paroled into the United States. “Emergent” requests: Emergent conditions that the HAB considers include: humanitarian situations, such as visiting dying family member; the need to attend a funeral; or resolution of matters associated with the death of a family member. In addition, according to PHAB protocols, the agency considers evidence of a bona fide relationship; Medical documentation supporting the prognosis of the family member, or death certificate (when a relative has died); and whether there are no other next of kin residing in the United States who can provide emotional support or settle an estate.

Other Humanitarian Requests: Humanitarian parole is a discretionary decision that inherently permits the HAB to consider any circumstances brought to its attention by the applicant. HAB protocols note that while every situation is “emergent” to the applicant and/or sponsor, many requests for humanitarian parole are for the convenience of the applicant and/or sponsor.

Appendix III: Comments from the Department of Homeland Security

Appendix IV: GAO Contact and Staff Acknowledgments

Staff Acknowledgments

In addition to the contact listed above, Michael P. Dino, Assistant Director; David P. Alexander; Richard J. Ascarate; Frances Cook; Michelle Cooper; Shawn Mongin; Mark Ramage; Jerome T. Sandau; John G. Smale, Jr.; Jonathan R. Tumin; and Derek Updegraff made key contributions to this report.