Permanent Legal Immigration to the United
States: Policy Overview
Ruth Ellen Wasem
Specialist in Immigration Policy
December 17, 2012
Congressional Research Service
7-5700
www.crs.gov
R42866
CRS Report for Congress
Pr
epared for Members and Committees of Congress
Permanent Legal Immigration to the United States: Policy Overview
Summary
The pool of people who are eligible to immigrate to the United States as legal permanent
residents (LPRs) each year typically exceeds the worldwide level set by the Immigration and
Nationality Act (INA). In an effort to process the demand for LPR visas fairly and in the national
interest, LPR admissions are subject to a complex set of numerical limits and preference
categories that give priority for admission on the basis of family relationships, needed skills, and
geographic diversity. The INA further specifies that each year, countries are held to a numerical
limit of 7% of the worldwide level of U.S. immigrant admissions, known as per-country limits or
country caps.
In FY2011, just over 1 million aliens became U.S. legal permanent residents (LPRs). Of this total,
nearly 65% entered the United States on the basis of family ties. Other major categories of LPRs
were employment-based (13%), refugees and asylees (16%), and diversity migrants (5%). In
FY2011, Mexico was the source country of 14% of LPRs who were admitted or who adjusted
status. Other top countries were China (8.2%), India (6.5%), Philippines (5.4%), and the
Dominican Republic (4.3%). Rather than newly arriving from abroad, 54.6% (580,092) were
adjusting to LPR status from a temporary (i.e., nonimmigrant) status within the United States.
There were 4.5 million approved LPR visa petitions pending with the National Visa Center at the
end of FY2011 because of the numerical limits in the INA, most of which are family-based
petitions. These data do not constitute a backlog of petitions to be processed; rather, these data
represent persons who have been approved for visas that are not yet available due to the
numerical limits in the INA. Adult children of U.S. citizens can now expect to wait about seven
years, with even longer waits for adult children of U.S. citizens from Mexico and the Philippines.
Prospective family-sponsored immigrants from the Philippines have the most substantial waiting
times before a visa is scheduled to become available to them; consular officers are now
considering the petitions of the brothers and sisters of U.S. citizens from the Philippines who filed
almost 24 years ago.
Most agree that revision of the system of permanent legal immigration should be one of the major
components of a comprehensive immigration reform (CIR) proposal, along with increased border
security and enforcement of immigration laws within the U.S. interior, reform of temporary
worker visas, and options to address the millions of unauthorized aliens residing in the country.
The 113th Congress may consider proposals to alter the legal immigration system—either in the
form of CIR or in the form of incremental revisions aimed at strategic changes.
Some are advocating for a significant reallocation of the visa categories or a substantial increase
in legal immigration to satisfy the desire of U.S. families to reunite with their relatives abroad and
to meet the labor force needs of employers hiring foreign workers. Yet, proponents of family-
based migration maintain that any proposal to increase immigration should also include the
option of additional family-based visas to reduce waiting times—currently up to years or
decades—for those already “in the queue.” Arguing against these competing priorities for
increased immigration are those who favor reduced immigration, including proposals to limit
family-based LPRs to the immediate relatives of U.S. citizens, to confine employment-based
LPRs to highly skilled workers, and to eliminate the diversity visas.
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Contents
Introduction ...................................................................................................................................... 1
Current Law and Policy ................................................................................................................... 2
Worldwide Immigration Levels ................................................................................................. 2
Per-country Ceilings .................................................................................................................. 3
Family and Employment-Based Preferences ............................................................................. 3
Other Permanent Immigration Categories ................................................................................. 5
Immigration Trends ......................................................................................................................... 6
Immigration Patterns, 1900-2010 .............................................................................................. 6
FY2011 Admissions .................................................................................................................. 8
Approved Visa Petitions Pending .................................................................................................... 9
Visa Processing Dates .............................................................................................................. 10
Family-Based Visa Priority Dates ..................................................................................... 11
Employment-Based Visa Priority Dates ............................................................................ 11
Concluding Observations ............................................................................................................... 12
Figures
Figure 1. Annual LPR Admissions and Status Adjustments, 1900-2010 ......................................... 6
Figure 2. Legal Permanent Residents, New Arrivals and Adjustments of Status, FY1994-
FY2010 ......................................................................................................................................... 7
Figure 3. Top Sending Countries (Comprising at Least Half of All LPRs): Selected
Periods .......................................................................................................................................... 8
Figure 4. Legal Permanent Residents by Major Category, FY2011 ................................................ 9
Figure 5. Approved LPR Visa Petitions Pending November 2011 ................................................ 10
Tables
Table 1. Legal Immigration Preference System ............................................................................... 4
Table 2. Other Major Legal Immigration Categories ....................................................................... 5
Table 3. Priority Dates for Family Preference Visas, as of December 2012 .................................. 11
Table 4. Priority Dates for Employment Preference Visas, as of December 2012 ........................ 12
Contacts
Author Contact Information........................................................................................................... 12
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Permanent Legal Immigration to the United States: Policy Overview
our major principles currently underlie U.S. policy on legal permanent immigration: the
reunification of families, the admission of immigrants with needed skills, the protection of
Frefugees, and the diversity of admissions by country of origin. These principles are
embodied in federal law, the Immigration and Nationality Act (INA) first codified in 1952. The
Immigration Amendments of 1965 replaced the national origins quota system (enacted after
World War I) with per-country ceilings, and the statutory provisions regulating permanent
immigration to the United States were last revised significantly by the Immigration Act of 1990.1
The critiques of the permanent legal immigration system today are extensive, but there is no
consensus on the specific direction the reforms of the law should take. If the 113th Congress takes
up comprehensive immigration reform (CIR), many maintain that revision of the legal
immigration system should be one of the major components of a CIR proposal.2 This primer on
legal permanent immigration law, policies, and trends provides a backdrop for the policy options
and debates that may emerge if the 113th Congress considers a revision of the legal immigration
system.
Introduction
The two types of legal aliens are immigrants and nonimmigrants. As defined in the INA,
immigrants are synonymous with legal permanent residents (LPRs) and refer to foreign nationals
who come to live lawfully and permanently in the United States. The other major class of legal
aliens are nonimmigrants—such as tourists, foreign students, diplomats, temporary agricultural
workers, exchange visitors, or intracompany business personnel—who are admitted for a specific
purpose and a temporary period of time. Nonimmigrants are required to leave the country when
their visas expire, though certain classes of nonimmigrants may adjust to LPR status if they
otherwise qualify.3
The conditions for the admission of immigrants are much more stringent than nonimmigrants, and
many fewer immigrants than nonimmigrants are admitted. Once admitted, however, immigrants
are subject to few restrictions; for example, they may accept and change employment, and may
apply for U.S. citizenship through the naturalization process, generally after five years.
The prospective immigrant must maneuver a multi-step process through federal departments and
agencies to obtain LPR status. Petitions for immigrant (i.e., LPR) status are first filed with U.S.
Citizenship and Immigration Services (USCIS) in the Department of Homeland Security (DHS)
by the sponsoring relative or employer in the United States. If the prospective immigrant is
already legally residing in the United States, USCIS handles most of the process, which is called
“adjustment of status” in the INA because the alien is moving from a temporary category to LPR
status.4 If the prospective LPR has not established a lawful residence in the United States, the
1 Congress has significantly amended the INA numerous times since 1952. Other major laws amending the INA are the
Refugee Act of 1980, the Immigration Reform and Control Act of 1986, and the Illegal Immigration Reform and
Immigrant Responsibility Act of 1996. 8 U.S.C. §1101 et seq.
2 Other major components of CIR that are commonly mentioned are: increased border security and enforcement of
immigration laws within the U.S. interior; reform of temporary worker visas; and options to address the millions of
unauthorized aliens residing in the country.
3 Nonimmigrants are often referred to by the letter that denotes their specific provision in the statute, such as H-2A
agricultural workers, F-1 foreign students, or J-1 cultural exchange visitors. CRS Report RL31381, U.S. Immigration
Policy on Temporary Admissions, by Ruth Ellen Wasem.
4 INA §245 details the circumstances under which an alien can change from a nonimmigrant or other temporary status
to legal permanent resident status without leaving the United States to apply for the LPR visa.
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petition is forwarded to the Department of State’s (DOS) Bureau of Consular Affairs in the home
country after USCIS has approved it. The Consular Affairs officer (when the alien is coming from
abroad) and USCIS adjudicator (when the alien is adjusting status in the United States) must be
satisfied that the alien is entitled to the immigrant status. These reviews are intended to ensure
that they are not ineligible for visas or admission under the grounds for inadmissibility spelled out
in the INA.5
Many LPRs are adjusting status from within the United States rather than receiving visas issued
abroad by Consular Affairs.6 As discussed more fully in the Immigration Trends section below,
54.6% of all LPRs adjusted to LPR status in the United States rather than abroad in FY2011.
The INA specifies that each year countries are held to a numerical limit of 7% of the worldwide
level of U.S. immigrant admissions, known as per-country limits. The actual number of
immigrants that may be approved from a given country, however, is not a simple percentage
calculation. Immigrant admissions and adjustments to LPR status are subject to a complex set of
numerical limits and preference categories that give priority for admission on the basis of family
relationships, needed skills, and geographic diversity.
Current Law and Policy
Worldwide Immigration Levels
The INA provides for a permanent annual worldwide level of 675,000 legal permanent residents
(LPRs), but this level is flexible and certain categories of LPRs are permitted to exceed the
limits.7 The permanent worldwide immigrant level consists of the following components: family
immigration, including immediate relatives of U.S. citizens and family-sponsored preference
immigrants (480,000 plus certain unused employment-based preference numbers from the prior
year); employment-based preference immigrants (140,000 plus certain unused family preference
numbers from the prior year); and diversity immigrants (55,000). Immediate relatives8 of U.S.
citizens as well as refugees and asylees who are adjusting status are exempt from direct numerical
limits.9
The annual level of family-sponsored preference immigrants is determined by subtracting the
number of immediate relative visas issued in the previous year and the number of aliens paroled10
into the United States for at least a year from 480,000 (the total family immigration level) and—
when available—adding employment preference immigrant numbers unused during the previous
5 These include criminal, national security, health, and indigence grounds as well as past violations of immigration law.
§ 212(a) of INA. CRS Report R41104, Immigration Visa Issuances and Grounds for Exclusion: Policy and Trends, by
Ruth Ellen Wasem.
6 For background and analysis of visa issuance and admissions policy, see CRS Report R41104, Immigration Visa
Issuances and Grounds for Exclusion: Policy and Trends, by Ruth Ellen Wasem.
7 §201 of INA; 8 U.S.C. §1151.
8 “Immediate relatives” are defined by the INA to include the spouses and unmarried minor children of U.S. citizens,
and the parents of adult U.S. citizens.
9 Refugees are admitted to the United States as such and then may adjust to LPR status after one year. Asylees are
foreign nationals who request and receive asylum after they have entered the United States. They too, can adjust to
LPR status after one year. CRS Report RL31269, Refugee Admissions and Resettlement Policy, by Andorra Bruno.
10 “Parole” is a term in immigration law which means that the alien has been granted temporary permission to be
present in the United States. Parole does not constitute formal admission to the United States and parolees are required
to leave when the terms of their parole expire, or if otherwise eligible, to be admitted in a lawful status.
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year. By law, the family-sponsored preference level may not fall below 226,000. As a
consequence, the 480,000 level of family immigration has often been exceeded to maintain the
226,000 floor on family-sponsored preference visas, because the number of immediate relatives is
greater than 254,000 annually.
Per-country Ceilings
As mentioned above, the INA establishes per-country levels at 7% of the worldwide level.11 For a
dependent foreign state, the per-country ceiling is 2%.12 The per-country level is not a quota or set
aside for individual countries, as each country in the world could not receive 7% of the overall
limit. As the State Department describes, “(T)he country limitation serves to avoid
monopolization of virtually all the annual limitation by applicants from only a few countries. This
limitation is not a quota to which any particular country is entitled, however.”13
Two important exceptions to the per-country ceilings were enacted in the past decade. Foremost is
an exception for certain family-sponsored immigrants. More specifically, the INA states that 75%
of the visas allocated to spouses and children of LPRs are not subject to the per-country ceiling.14
Prior to FY2001, employment-based preference immigrants were also held to per-country
ceilings. The American Competitiveness in the Twenty-First Century Act of 2000 (P.L. 106-313)
enabled the per-country ceilings for employment-based immigrants to be surpassed for individual
countries that are oversubscribed as long as visas are available within the worldwide limit for
employment-based preferences. The impact of these revisions to the per-country ceilings is
discussed later in this report. The actual per-country ceiling varies from year to year according to
the prior year’s immediate relative and parolee admissions and unused visas that roll over.
Family and Employment-Based Preferences
Within each family and employment preference, the INA further allocates the number of LPRs
issued visas each year. The family preferences are based upon the closeness of the family
relationship to U.S. citizens and LPRs. The employment preferences are based upon the
professional accomplishments and skills needed by U.S. employers. As Table 1 summarizes the
legal immigration preference system, the complexity of the allocations becomes apparent. Note
that in most instances unused visa numbers are allowed to roll down to the next preference
category. Employment-based visa allocations not used in a given year roll-over to the family
preference categories the following year, and vice versa.15
11 §202(a)(2) of the INA; 8 U.S.C. §1151.
12 Macau, the former Portuguese colony that became a special administrative region of the Peoples’ Republic of China
in 1999, would be considered a dependent foreign state.
13 Bureau of Consular Affairs, Operation of the Immigrant Numerical Control Process, U.S. Department of State,
undated, p. 3, http://www.travel.state.gov/pdf/Immigrant%20Visa%20Control%20System_operation%20of.pdf.
14 §202(a)(4) of the INA; 8 U.S.C. §1151.
15 Employment-based allocations are further affected by §203(e) of the Nicaraguan and Central American Relief Act
(NACARA), as amended by §1(e) of P.L. 105-139. This provision states that when the employment 3rd preference
“other worker” (OW) cut-off date reached the priority date of the latest OW petition approved prior to November 19,
1997, the 10,000 OW numbers available for a fiscal year are to be reduced by up to 5,000 annually beginning in the
following fiscal year. This reduction is to be made for as long as necessary to offset adjustments under NACARA.
Since the OW cut-off date reached November 19, 1997 during FY2001, the reduction in the OW limit to 5,000 began in
FY2002.
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Table 1. Legal Immigration Preference System
Category Numerical
limit
Total Family-Sponsored Immigrants
480,000
Immediate relatives
Aliens who are the spouses and unmarried minor children Unlimited
of U.S. citizens and the parents of adult U.S. citizens
Family-sponsored Preference Immigrants
Worldwide Level 226,000
1st preference
Unmarried sons and daughters of citizens
23,400 plus visas not required for
4th preference
2nd preference
(A) Spouses and minor children of LPRs
114,200 plus visas not required for
(B) Unmarried sons and daughters of LPRs
1st preference [77% are reserved
for spouses and children of LPRs]
3rd preference
Married sons and daughters of citizens
23,400 plus visas not required for
1st or 2nd preference
4th preference
Siblings of citizens age 21 and over
65,000 plus visas not required for
1st, 2nd, or 3rd preference
Employment-Based Preference Immigrants
Worldwide Level 140,000
1st preference
Priority workers: persons of extraordinary ability in the
28.6% of worldwide limit plus
arts, science, education, business, or athletics; outstanding unused 4th and 5th preference
professors and researchers; and certain multi-national
executives and managers
2nd preference
Members of the professions holding advanced degrees or
28.6% of worldwide limit plus
persons of exceptional abilities in the sciences, art, or
unused 1st preference
business
3rd preference—
Skil ed shortage workers with at least two years training
28.6% of worldwide limit plus
skilled
or experience, professionals with baccalaureate degrees
unused 1st or 2nd preference
3rd preference—
Unskilled shortage workers
10,000 (taken from the total
“other”
available for 3rd preference)
4th preference
“Special immigrants,” including ministers of religion,
7.1% of worldwide limit; religious
religious workers other than ministers, certain employees
workers limited to 5,000
of the U.S. government abroad, and others
5th preference
Employment creation investors who invest at least $1
7.1% of worldwide limit; 3,000
million (amount may vary in rural areas or areas of high
minimum reserved for investors in
unemployment) which will create at least 10 new jobs
rural or high unemployment areas
Source: CRS summary of §§203(a), 203(b), and 204 of INA; 8 U.S.C. §1153.
Note: Employment-based al ocations are further affected by §203(e) of the Nicaraguan and Central American
Relief Act (NACARA), as amended by §1(e) of P.L. 105-139. This provision states that the employment 3rd
preference “other workers” category is to be reduced by up to 5,000 annual y for as long as necessary to offset
adjustments under NACARA.
As part of the Immigration Act of 1990, Congress added a fifth preference category for foreign
investors to become LPRs. The INA allocates up to10,000 admissions annually and generally
requires a minimum $1 million investment and employment of at least 10 U.S. workers. Less
capital is required for aliens who participate in the immigrant investor pilot program, in which
they invest in targeted regions and existing enterprises that are financially troubled.16
16 CRS Report RL33844, Foreign Investor Visas: Policies and Issues, by Alison Siskin and Chad C. Haddal.
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Employers who seek to hire prospective employment-based immigrants through the second and
third preference categories also must petition the U.S. Department of Labor (DOL) on behalf of
the alien. The prospective immigrant must demonstrate that he or she meets the qualifications for
the particular job as well as the preference category. If DOL determines that a labor shortage
exists in the occupation for which the petition is filed, labor certification will be issued. If there is
not a labor shortage in the given occupation, the employer must submit evidence of extensive
recruitment efforts in order to obtain certification.17
Other Permanent Immigration Categories
There are several other major categories of legal permanent immigration in addition to the family-
sponsored and employment-based preference categories. These classes of LPRs cover a variety of
cases, ranging from aliens who win the Diversity Visa Lottery to aliens in removal (i.e.,
deportation) proceedings granted LPR status by an immigration judge because of exceptional and
extremely unusual hardship.18 Table 2 summarizes these major classes and identifies whether
they are numerically limited.
Table 2. Other Major Legal Immigration Categories
Non-preference Immigrants
Numerical Limit
Asylees
Aliens in the United States who have been
No limits on LPR adjustments as of
granted asylum due to persecution or a well-
FY2005. (Previously limited to
founded fear of persecution and who must wait
10,000)
one year before petitioning for LPR status
Cancellation of
Aliens in removal proceedings granted LPR
4,000 (with certain exceptions)
Removal
status by an immigration judge because of
exceptional and extremely unusual hardship
Diversity Lottery
Aliens from foreign nations with low admission
55,000
levels; must have high school education or
equivalent or minimum two years work
experience in a profession requiring two years
training or experience
Refugees
Aliens abroad who have been granted refugee
Presidential Determination for
status due to persecution or a wel -founded fear
refugee status, no limits on LPR
of persecution and who must wait one year
adjustments
before petitioning for LPR status
Other
Various classes of immigrants, such as
Dependent on specific adjustment
Amerasians, parolees, and certain Central
authority
Americans, Cubans, and Haitians who are
adjusting to LPR status
Source: CRS summary of §§203(a), 203(b), 204, 207, 208, and 240A of INA; 8 U.S.C. §1153.
17 See CRS Report RL33977, Immigration of Foreign Workers: Labor Market Tests and Protections, by Ruth Ellen
Wasem.
18 CRS Report R41747, Diversity Immigrant Visa Lottery Issues, by Ruth Ellen Wasem; and, CRS Report R42477,
Immigration Provisions of the Violence Against Women Act (VAWA), by William A. Kandel.
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Immigration Trends
Immigration Patterns, 1900-2010
Immigration to the United States is not totally determined by shifts in flow that occur as a result
of lawmakers revising the allocations. Immigration to the United States plummeted in the middle
of the 20th century largely as a result of factors brought on by the Great Depression and World
War II. There are a variety of “push-pull” factors that drive immigration. Push factors from the
immigrant-sending countries include such circumstances as civil wars and political unrest,
economic deprivation and limited job opportunities, and catastrophic natural disasters. Pull
factors in the United States include such features as strong employment conditions, reunion with
family, and quality of life considerations. A corollary factor is the extent that aliens may be able
to migrate to other “desirable” countries that offer circumstances and opportunities comparable to
the United States.
Figure 1. Annual LPR Admissions and Status Adjustments, 1900-2010
Source: Statistical Yearbook of Immigration, U.S. Department of Homeland Security, Office of Immigration
Statistics, multiple fiscal years. Aliens legalizing through the Immigration Reform and Control Act of 1986 are
depicted by year of arrival rather than year of adjustment.
The annual number of LPRs admitted or adjusted in the United States rose gradually after World
War II, as Figure 1 illustrates. The DHS Office of Immigration Statistics (OIS) data present those
admitted as LPRs or those adjusting to LPR status. The growth in immigration after 1980 is partly
attributable to the total number of admissions under the basic system, consisting of immigrants
entering through a preference system as well as immediate relatives of U.S. citizens, that was
augmented considerably by legalized aliens.19 The Immigration Act of 1990 increased the ceiling
on employment-based preference immigration, with the provision that unused employment visas
19 The Immigration Reform and Control Act of 1986 legalized 2.7 million aliens residing in the United States without
authorization.
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would be made available the following year for family preference immigration. In addition, the
number of refugees admitted increased from 718,000 in the period 1966-1980 to 1.6 million
during the period 1981-1995, after the enactment of the Refugee Act of 1980.
Figure 2. Legal Permanent Residents, New Arrivals and Adjustments of Status,
FY1994-FY2010
Source: Statistical Yearbook of Immigration, U.S. Department of Homeland Security, Office of Immigration
Statistics, (multiple years).
Many LPRs are adjusting status from within the United States rather than receiving visas issued
abroad by Consular Affairs before they arrive in the United States. In the past decade, the number
of LPRs arriving from abroad has remained somewhat steady, hovering between a high of
481,948 in FY2012 and a low of 358,411 in FY2003. Adjustments to LPR status in the United
States have fluctuated over the same period, from a low of 244,793 in FY1999 to a high of
819,248 in FY2006. As Figure 2 shows, most of the variation in total number of aliens granted
LPR status over the past decade is due to the number of adjustments processed in the United
States rather than visas issued abroad.
In any given period of United States history, a handful of countries have dominated the flow of
immigrants, but the dominant countries have varied over time. Figure 3 presents trends in the top
immigrant-sending countries (together comprising at least 50% of the immigrants admitted) for
selected decades. The figure illustrates that immigration at the close of the 20th century was not as
dominated by 3 or 4 countries as it was earlier in the century. These data suggest that the per-
country ceilings established in 1965 had some effect. As Figure 3 illustrates, immigrants from
only three or four countries made up more than half of all LPRs prior to 1960. By the last two
decades of the 20th century, immigrants from seven to nine countries comprised about half of all
LPRs and this pattern has continued into the 21st century.
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Figure 3. Top Sending Countries (Comprising at Least Half of All LPRs):
Selected Periods
Source: CRS analysis of Table 2, Statistical Yearbook of Immigration, U.S. Department of Homeland Security,
Office of Immigration Statistics, FY2010.
Although Europe was home to the countries sending the most immigrants during the early 20th
century (e.g., Germany, Italy, Austria-Hungary, and the United Kingdom), Mexico has been a top
sending country for most of the 20th century and into the 21st century. Other top sending countries
from FY2001 through FY2010 are the Dominican Republic, El Salvador, Colombia and Cuba
(Western Hemisphere) and the Philippines, India, China, South Korea and Vietnam (Asia).
FY2011 Admissions
In FY2011, just over 1 million aliens became LPRs. Of this total, nearly 65% entered on the basis
of family ties. As Figure 4 presents, other major categories were employment-based LPRs (13%),
refugees and asylees (16%), and diversity migrants (5%). Immediate relatives of U.S. citizens
accounted for 43% of all LPRs in 2011. Spouses of U.S. citizens were 57%, parents of U.S.
citizens were 25%, and children of U.S. citizens (included adopted orphans) were 18% of the
LPRs who were immediate relatives.
In FY2011, Mexico was the source country of 14% of LPRs who were admitted or who adjusted
status. Other top countries were China (8.2%), India (6.5%), Philippines (5.4%), and the
Dominican Republic (4.3%). These top five countries made up almost 38% of all LPRs who were
admitted or who adjusted status in FY2011. Similarly, the leading regions of birth for LPRs in
FY2011 were Asia (43%) and North America20 (31%), accounting for almost three quarters of the
LPRs in FY2011.21
20 North America includes the Caribbean and Central America as well as Mexico and Canada.
21 DHS Office of Immigration Statistics, Yearbook of Immigration Statistics: 2011, Table 7, http://www.dhs.gov/
yearbook-immigration-statistics-2011-1.
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Figure 4. Legal Permanent Residents by Major Category, FY2011
All Other
1%
Refugees &
Asylees
Diversity
16%
5%
Immediate
relatives
Employment-
43%
based
13%
Family-
sponsored
22%
1.1 Million
Source: U.S. Department of Homeland Security, Office of Immigration Statistics, U.S. Legal Permanent Residents:
2011, 2012.
In FY2011, USCIS adjusted 580,092 aliens to LPR status, which was 54.6% of all LPRs. The
lowest number of foreign nationals adjusted in the United States was in FY2003, when USCIS
was just standing up as an agency after the creation of DHS. Most (89.3%) of the employment-
based immigrants adjusted to LPR status within the United States in FY2011. Many (53.7%) of
the immediate relatives of U.S. citizens also did so that year. Only 12.1% of the other family-
preference immigrants adjusted to LPR status within the United States in FY2011.22
Approved Visa Petitions Pending
The pool of people who are eligible to immigrate to the United States as LPRs each year typically
exceeds the worldwide level set by U.S. immigration law. At the end of each fiscal year, the
Department of State publishes a tabulation of approved visa petitions pending with the National
Visa Center.23 These data do not constitute a backlog of petitions to be processed; rather, these
data represent persons who have been approved for visas that are not yet available due to the
numerical limits in the INA. The National Visa Center caseload is the data that drive the priority
dates published in the Visa Bulletin each month.24
22 DHS Office of Immigration Statistics, Yearbook of Immigration Statistics: 2011, Table 7, http://www.dhs.gov/
yearbook-immigration-statistics-2011-1.
23 U.S. Department of State, Annual Report of Immigrant Visa Applicants in the Family-Sponsored and Employment-
Based Preferences Registered at the National Visa Center as of November 1, 2011; available at the Department of State
website: http://www.travel.state.gov/pdf/WaitingListItem.pdf
24 For further specifications of the data that DOS factors into the visa priority dates, see U.S. Department of State, Visa
Office, Annual Numerical Limits for Fiscal Year 2013, http://www.travel.state.gov/pdf/
Web_Annual_Numerical_Limits.pdf.
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Figure 5. Approved LPR Visa Petitions Pending November 2011
Source: U.S. Department of State, Annual Report of Immigrant Visa Applicants in the Family-Sponsored and
Employment-Based Preferences Registered at the National Visa Center as of November 1, 2011.
The family-based preference categories dominate the approved visa petitions pending. Figure 5
presents approved petitions for the 4.5 million LPR visas pending with the National Visa Center
at the end of FY2011, by preference category.25 Over half (55%) of all approved petitions pending
were 5th preference (i.e., brothers and sisters of U.S. citizens). Children of U.S. citizens with
approved LPR visas pending totaled 24% (i.e., 6% unmarried and 18% married). Family
members of LPRs totaled 18% of the 4.5 million approved visa petitions pending.
As Figure 5 indicates, the employment-based preferences account for only 3% (123,333) of the
4.5 million LPR visas pending with the National Visa Center as of November 1, 2011. This figure
of 123,333 reflects persons registered under each respective numerical limitation (i.e., the totals
represent not only principal applicants or petition beneficiaries, but their spouses and children
entitled to derivative status under the INA).26
Visa Processing Dates
According to the INA, family-sponsored and employment-based preference visas are issued to
eligible immigrants in the order in which a petition has been filed. Spouses and children of
prospective LPRs are entitled to the same status, and the same order of consideration as the
person qualifying as principal LPR, if accompanying or following to join (referred to as
25 U.S. Department of State, Annual Report of Immigrant Visa Applicants in the Family-Sponsored and Employment-
Based Preferences Registered at the National Visa Center as of November 1, 2011.
26 For further discussion and analysis on numerical limits and backlogs, see CRS Report R42048, Numerical Limits on
Employment-Based Immigration: Analysis of the Per-Country Ceilings, by Ruth Ellen Wasem; and congressional
distribution memorandum, Approved Legal Permanent Resident Petitions Pending for 2012, by Ruth Ellen Wasem,
May 2, 2012, available upon request.
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derivative status). When visa demand exceeds the per-country limit, visas are prorated according
to the preference system allocations (detailed in Table 1) for the oversubscribed foreign state or
dependent area.27
Family-Based Visa Priority Dates
As Table 3 evidences, relatives of U.S. citizens and LPRs are waiting in backlogs for a visa to
become available. Brothers and sisters of U.S. citizens now can expect to wait over 11 years, with
even longer waits for siblings from Mexico and the Philippines. “Priority date” means that
unmarried adult sons and daughters of U.S. citizens who filed petitions on December 1, 2005, are
now being processed for visas (with older priority dates for certain countries as noted in Table 3).
Married adult sons and daughters of U.S. citizens who filed petitions over 10 years ago (June 8,
2002) are now being processed for visas. Prospective family-sponsored immigrants from the
Philippines have the most substantial waiting times before a visa is scheduled to become available
to them; consular officers are now considering the petitions of the brothers and sisters of U.S.
citizens from the Philippines who filed almost 24 years ago.
Table 3. Priority Dates for Family Preference Visas, as of December 2012
Category Worldwide China
India
Mexico Philippines
Unmarried sons
Dec. 1, 2005
Dec. 1, 2005
Dec. 1, 2005
July 1, 1993
Oct. 8, 1997
and daughters of
citizens
Spouses and
Aug. 22, 2010
Aug. 22, 2010
Aug. 22, 2010
Aug. 1, 2010
Aug. 22, 2010
children of LPRs
Unmarried sons
Nov. 15, 2004
Nov. 15, 2004
Nov. 15, 2004
Nov. 1, 1992
Mar. 22, 2002
and daughters of
LPRs
Married sons and
June 8, 2002
June 8, 2002
June 8, 2002
Mar. 1, 1993
Aug. 1, 1992
daughters of
citizens
Siblings of citizens
April 1, 2001
April 1, 2001
April 1, 2001
July 22, 1996
Mar. 22, 1989
age 21 and over
Source: U.S. Department of State, Bureau of Consular Affairs, Visa Bulletin for December 2012.
Employment-Based Visa Priority Dates
As of December 2012, the priority workers (i.e., extraordinary ability) visa category is current, as
Table 4 presents. The advanced degree visa category is current worldwide, but those seeking
advanced degree visas from China have an October 22, 2007, priority and from India have a
September 1, 2004 priority date. Visas for professional and skilled workers have a worldwide
priority date of December 22, 2006, except for those workers from China, India, and the
Philippines, who have longer waits. Unskilled workers with approved petitions as of December
22, 2006, are now being issued visas, with those from China, India, and the Philippines again
having longer waits.
27 Bureau of Consular Affairs, Visa Bulletin For December 2012, U.S. Department of State, No. 51, Vol. IX, 2012,
http://www.travel.state.gov/visa/bulletin/bulletin_5803.html.
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Table 4. Priority Dates for Employment Preference Visas, as of December 2012
Category Worldwide
China India Mexico
Philippines
Priority workers
current
current
current
current
current
Advanced degrees/
current
Oct. 22, 2007 Sept. 1, 2004
current
current
exceptional ability
Skil ed and professional
Dec. 22, 2006
July 1, 2006
Nov. 1, 2002
Dec. 22, 2006
Aug. 15, 2006
Unskilled
Dec. 22, 2006
July 1, 2006
Nov. 1, 2002
Dec. 22, 2006
Aug. 15, 2006
Special immigrants
current
current
current
current
current
Investors current
current
current
current
current
Source: U.S. Department of State, Bureau of Consular Affairs, Visa Bulletin for December 2012.
Concluding Observations
Most agree that revision of the system of permanent legal immigration should be one of the major
components of a CIR proposal, along with increased border security and enforcement of
immigration laws within the U.S. interior, reform of temporary worker visas and options to
address the millions of unauthorized aliens residing in the country. The 113th Congress may
consider proposals to alter the legal immigration system—either in the form of CIR or in the form
of incremental revisions aimed at strategic changes.
Some are advocating for a significant reallocation of the visa categories or a substantial increase
in legal immigration to satisfy the desire of U.S. families to reunite with their relatives abroad and
to meet the labor force needs of employers hiring foreign workers. Some favor a reallocation
toward employment-based immigration to help U.S. employers compete for the “best and the
brightest,” including foreign professional workers in science, technology, engineering, or
mathematics (STEM) fields.28 Yet, proponents of family-based migration maintain that any
proposal to increase immigration should also include the option of additional family-based visas
to reduce waiting times—currently up to years or decades—for those already “in the queue.”
Arguing against these competing priorities for increased immigration are those who favor reduced
immigration, including proposals to limit family-based LPRs to the immediate relatives of U.S.
citizens, to confine employment-based LPRs to highly skilled workers, and to eliminate the
diversity visas.
Author Contact Information
Ruth Ellen Wasem
Specialist in Immigration Policy
rwasem@crs.loc.gov, 7-7342
28 CRS Report R42530, Immigration of Foreign Nationals with Science, Technology, Engineering, and Mathematics
(STEM) Degrees, by Ruth Ellen Wasem.
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