Immigration: Visa Security Policies
Ruth Ellen Wasem
Specialist in Immigration Policy
June 9, 2014
Congressional Research Service
7-5700
www.crs.gov
R43589
Immigration: Visa Security Policies
Summary
The visa issuance process is widely recognized as an integral part of immigration control and
border security. Foreign nationals (i.e., aliens) not already legally residing in the United States
who wish to come to the United States generally must obtain a visa to be admitted. The foreign
national must establish that he/she is qualified for the visa under one of the various admission
criteria. He or she must also establish that he/she is not ineligible for the visa due to one or more
of the legal bars to admission. Applying for a visa is the first gateway for foreign nationals to seek
admission to the United States, and the data collected as part of that process forms the core of the
biometric and associated biographic data that the United States collects on foreign nationals.
The visa applicant is required to submit his or her photograph and fingerprints, as well as full
name (and any other name used or by which he or she has been known), age, gender, and the date
and place of birth. Depending on the visa category, certain documents must be certified by the
proper government authorities (e.g., birth certificates and marriage licenses). All prospective
lawful permanent residents (LPRs) must submit to physical and mental examinations, and
prospective nonimmigrants also may be required to have physical and mental examinations.
Consular officers use the Consular Consolidated Database (CCD), a biometric and biographic
database, to screen visa applicants. Records of all visa applications are now automated in the
CCD, with some records dating back to the mid-1990s. Since February 2001, the CCD has stored
photographs of all visa applicants in electronic form; since 2007, the CCD has begun storing 10-
finger scans. The system links with other databases to flag problems that may have an impact on
the issuance of the visa. For some years, consular officers have been required to check the
background of all aliens in the “lookout” databases, specifically the Consular Lookout and
Support System (CLASS) database, which contained over 42.5 million records in 2012. Consular
officers use name-searching algorithms to ensure matches between names of visa applicants and
any derogatory information contained in CLASS.
At its core, visa integrity protects the United States from foreign nationals who threaten public
health and safety or national security, while at the same time welcomes legitimate foreign
nationals who bolster the U.S. economy and foster international exchanges. Balancing these dual,
and some would say competing, missions is an ongoing challenge. The policy questions center on
the efficacy of the process, the security features of the policies, and whether the law needs to be
revised to improve efficiency and strengthen security.
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Immigration: Visa Security Policies
Contents
Introduction ...................................................................................................................................... 1
Overview on Visa Issuances ............................................................................................................ 2
Immigrant Visas ......................................................................................................................... 2
Nonimmigrant Visas .................................................................................................................. 3
Key Provisions ................................................................................................................................. 3
§221(g) Disqualification ............................................................................................................ 4
§214(b) Presumption ................................................................................................................. 4
§212(a) Exclusion ...................................................................................................................... 5
Consular Screening Procedures ....................................................................................................... 6
Exclusion Trends ....................................................................................................................... 7
National Security and Public Safety Reviews ........................................................................... 9
Visa Revocation ............................................................................................................................. 11
DHS Visa Security Program .......................................................................................................... 13
Congressional Activity ................................................................................................................... 14
Competing Concerns ..................................................................................................................... 14
Figures
Figure 1. Aliens Denied Visas Under §212(a) Inadmissibility ........................................................ 7
Figure 2. Prospective LPRs Denied Visas by Major §212(a) Inadmissibility Grounds ................... 8
Figure 3. Prospective Nonimmigrants Denied Visas by Major §212(a) Inadmissibility
Grounds ........................................................................................................................................ 9
Figure 4. Aliens Denied Visas Under Terrorist Grounds of Inadmissibility .................................. 11
Appendixes
Appendix. Respective Roles of the Departments of State and Homeland Security ....................... 16
Contacts
Author Contact Information........................................................................................................... 19
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Immigration: Visa Security Policies
Introduction
The visa issuance process is widely recognized as an integral part of immigration control and
border security. Foreign nationals (i.e., aliens) not already legally residing in the United States
who wish to come to the United States generally must obtain a visa to be admitted.1 The foreign
national must establish that he/she is qualified for the visa under one of the various admission
criteria. He or she must also establish that he/she is not ineligible for the visa due to one or more
of the legal bars to admission. Applying for a visa is the first gateway for foreign nationals to seek
admission to the United States, and the data collected as part of that process forms the core of the
biometric and associated biographic data that the United States collects on foreign nationals.
Under current law, two departments—the Department of State (DOS) and the Department of
Homeland Security (DHS)—play key roles in administering the law and policies on immigration
visas.2 DOS’s Bureau of Consular Affairs (Consular Affairs) is responsible for issuing visas,
DHS’s Citizenship and Immigration Services Bureau (USCIS) is charged with approving
immigrant petitions (and nonimmigrant petitions stateside), DHS’s Immigration and Customs
Enforcement (ICE) operates the Visa Security Program in selected embassies abroad, and DHS’s
Customs and Border Protection Bureau (CBP) is tasked with inspecting all people who enter the
United States.
Today’s visa issuance policy dates back to 1924, when Congress first passed legislation assigning
consular officers with the responsibility to approve or deny visas.3 The Immigration Act of 1924
codified a decree in 1917 as a consequence of World War I that proclaimed aliens must present
certain documents as a prerequisite to entering the United States. When the Senate Committee on
the Judiciary was tasked with investigating the immigration system in 1947,4 their report offered
the following observation:
After a study of this problem, the Congress provided in the Immigration Act of 1924 for a
double check of aliens by separate independent agencies of the Government, first by consular
officers before the visas were issued, and by immigration officers after the aliens reached the
port of entry. If a double check was essential 25 years ago to protect the United States
against criminals or other undesirables, it is the opinion of the subcommittee that it is even
more necessary in the present critical condition of the world to use the double check to
screen aliens seeking to enter the United States.5
1 Authorities to except or to waive visa requirements are specified in law, such as the broad parole authority of the
Attorney General under §212(d)(5) of Immigration and Nationality Act (INA) and the specific authority of the Visa
Waiver Program in §217 of INA. CRS Report RL32221, Visa Waiver Program, by Alison Siskin.
2 Other departments, notably the Department of Labor (DOL), and the Department of Agriculture (USDA), play roles
in the approval process depending on the category or type of visa sought, and the Department of Health and Human
Services (DHHS) sets policy on the health-related grounds for inadmissibility discussed below. The Department of
Justice’s Executive Office for Immigration Review (EOIR) has a significant policy role through its adjudicatory
decisions on specific immigration cases.
3 Immigration Act of May 26, 1924; 43 Stat. 153.
4 During the 80th Congress, Senate Resolution 137, which passed on July 26, 1947, directed the Senate Committee on
the Judiciary to make a full and complete investigation of the entire immigration system.
5 U.S. Congress, Senate Committee on the Judiciary, The Immigration and Naturalization Systems of the United States,
report pursuant to S. Res.137, committee print, 81st Cong., 2nd sess., April 20, 1950.
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This view prevailed in 1952 when Congress codified the various statutes on immigration and
nationality into the Immigration and Nationality Act of 1952 (P.L. 82-414), which remains the
basis of governing law.
At its core, visa integrity protects the United States from foreign nationals who threaten public
health and safety or national security, while at the same time welcomes legitimate foreign
nationals who bolster the U.S. economy and foster international exchanges. Balancing these dual,
and some would say competing, missions is an ongoing challenge.6 The policy questions center
on the efficacy of the process, the security features of the policies, and whether the law needs to
be revised to improve efficiency and strengthen security.
The report opens with an overview of visa issuance policy. It then explains the key provisions that
guide the documentary requirements and approval/disapproval process. The section on consular
screening procedures includes an analysis of trends over time in denying visas. Visa revocation, a
reoccurring issue of concern to Congress, and the visa security program are discussed as well.
Overview on Visa Issuances
There are two broad classes of aliens that are issued visas: immigrants and nonimmigrants.
Humanitarian admissions, such as asylees, refugees, parolees and other aliens granted relief from
deportation, are handled separately under the Immigration and Nationality Act (INA). Persons
granted asylum or refugee status are ultimately eligible to become legal permanent residents
(LPRs).7 Illegal aliens or unauthorized aliens include those noncitizens who entered the United
States without an official inspection at a port of entry, entered with fraudulent documents, or who
violated the terms of their visas after entering the United States.
Immigrant Visas
Aliens who wish to come to live permanently in the United States must meet a set of criteria
specified in the INA. They must qualify as
• a spouse or minor child of a U.S. citizen;
• a parent, adult child, or sibling of an adult U.S. citizen;
• a spouse or minor child of a legal permanent resident;
• an employee that a U.S. employer has gotten approval from the Department of
Labor to hire;
• a person of extraordinary or exceptional ability in specified areas;
• a refugee or asylee determined to be fleeing persecution;
6 These goals are comparable to the twofold mission of the CBP port-of-entry border inspections process. For further
discussion of border inspections, see CRS Report R43356, Border Security: Immigration Inspections at Ports of Entry,
by Lisa Seghetti.
7 For background and further discussion of humanitarian cases, see CRS Report RL31269, Refugee Admissions and
Resettlement Policy, by Andorra Bruno, and CRS Report RS20844, Temporary Protected Status: Current Immigration
Policy and Issues, by Ruth Ellen Wasem and Karma Ester.
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• winner of a visa in the diversity lottery; or
• a person having met other specialized provisions of law.8
Petitions for immigrant (i.e., LPR) status are first filed with USCIS by the sponsoring relative or
employer in the United States. If the prospective immigrant is already residing in the United
States, the USCIS handles the entire process, which is called “adjustment of status.” If the
prospective LPR does not have legal residence in the United States, the petition is forwarded to
Consular Affairs in their home country after USCIS has reviewed 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.
Nonimmigrant Visas
Aliens seeking to come to the United States temporarily rather than to live permanently are
known as nonimmigrants.9 These aliens are admitted to the United States for a temporary period
of time and for an expressed reason. There are 24 major nonimmigrant visa categories, and over
70 specific types of nonimmigrant visas are issued currently. Most of these nonimmigrant visa
categories are defined in §101(a)(15) of the INA. These visa categories are commonly referred to
by the letter and numeral that denotes their subparagraph in §101(a)(15), e.g., B-2 tourists, F-1
foreign students, H-1B temporary professional workers, or J-1 cultural exchange participants.
Most visitors, however, enter the United States without nonimmigrant visas through the Visa
Waiver Program (VWP). This provision of the INA allows the Attorney General to waive the visa
documentary requirements for aliens coming as visitors from 38 countries. Since aliens entering
through VWP do not have visas, CBP inspectors at the port of entry perform the background
checks and admissibility reviews.10
Key Provisions
The documentary requirements for visas are stated in §§221-222 of the INA, with some discretion
for further specifications or exceptions by regulation. Generally, the application requirements are
more extensive for aliens who wish to permanently live in the United States than those coming
for visits. The amount of paperwork required and the length of adjudication process to obtain a
visa to come to the United States are analogous to that of the Internal Revenue Service’s (IRS’s)
tax forms and review procedures. Just as persons with uncomplicated earnings and expenses may
file an IRS “short form” while those whose financial circumstances are more complex may file a
series of IRS forms, so too an alien whose situation is straightforward and whose reason for
seeking a visa is easily documented generally has fewer forms and procedural hurdles than an
alien whose circumstances are more complex. The visa application files must be stored in an
electronic database that is available to immigration adjudicators and immigration officers in DHS.
8 For a more complete discussion of LPR categories and a statistical analysis of admissions trends, see CRS Report
R42866, Permanent Legal Immigration to the United States: Policy Overview, by Ruth Ellen Wasem.
9 For a full discussion and analysis of nonimmigrant visas, see CRS Report RL31381, U.S. Immigration Policy on
Temporary Admissions, by Ruth Ellen Wasem. (Hereinafter cited as RL31381, Temporary Admissions.)
10 CRS Report RL32221, Visa Waiver Program, by Alison Siskin.
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There are over 70 U.S. Citizenship and Immigration Services (USCIS) forms as well as DOS
forms that pertain to the visa issuance process.
The visa issuance procedures delineated in the statute require the petitioner to submit his or her
photograph, as well as full name (and any other name used or by which he or she has been
known), age, gender, and the date and place of birth. Depending on the visa category, certain
documents must be certified by the proper government authorities (e.g., birth certificates and
marriage licenses). All prospective LPRs must submit to physical and mental examinations, and
prospective nonimmigrants also may be required to have physical and mental examinations.
§221(g) Disqualification
The statutory provision that gives the consular officer the authority to disqualify a visa applicant
is broad and straightforward:
No visa or other documentation shall be issued to an alien if (1) it appears to the consular
officer, from statements in the application, or in the papers submitted therewith, that such
alien is ineligible to receive a visa or such other documentation under section 212 [8 USC
§1182], or any other provision of law, (2) the application fails to comply with the provisions
of this Act, or the regulations issued there under, or (3) the consular officer knows or has
reason to believe that such alien is ineligible to receive a visa or such other documentation
under section 212 [8 USC §1182], or any other provision of law.... 11
These determinations are based on the eligibility criteria of the various and numerous visa
categories.12 The shorthand reference for these disqualifications is §221(g), which is the
subsection of the INA that provides the authority.
A §221(g) disqualification is generally the most common reason an LPR visa is denied. DOS
disqualified 312,968 LPR visas in FY2011 and 303,166 LPR visas in FY2012. In terms of
nonimmigrant visas, DOS disqualified 837,477 visas in FY2011 and 806,773 visas in FY2012.13
§214(b) Presumption
Overwhelmingly, the most common reason that DOS denies nonimmigrant visas is the “failure to
establish entitlement to nonimmigrant status.” Specifically, §214(b) of the INA generally
presumes that all aliens seeking admission to the United States are coming to live permanently; as
a result, most aliens seeking a nonimmigrant visa must demonstrate that they are not coming to
11 Section 221(g) of the INA. 8 U.S.C. 1201.
12 For further information and analysis of these numerous visa categories, see CRS Report RL32235, U.S. Immigration
Policy on Permanent Admissions, by Ruth Ellen Wasem, and CRS Report RL31381, Temporary Admissions.
13 Bureau of Consular Affairs, Report of the Visa Office 2012, U.S. Department of State, Table XX, 2013; and Bureau
of Consular Affairs, Report of the Visa Office 2011, U.S. Department of State, Table XX, 2012.
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reside permanently.14 DOS denied 1.2 million nonimmigrant visas in FY2011 and 1.3 million
nonimmigrant visas in FY2012 on the basis of INA §214(b).15
§212(a) Exclusion
In addition to the determination that a foreign national is qualified for a visa, a decision must be
made as to whether the foreign national is admissible or excludable under the INA. The grounds
for inadmissibility are spelled out in §212(a) of the INA. These INA §212(a) inadmissibility
criteria are
• health-related grounds,16
• criminal history,17
• security and terrorist concerns,18
• public charge (e.g., indigence),19
• seeking to work without proper labor certification,20
• illegal entrants and immigration law violations,
• ineligible for citizenship, and
• aliens previously removed.
In some cases, the foreign national may be successful in overcoming the §212(a) exclusion if new
or additional information comes forward. The decision of the consular officer, however, is not
subject to judicial appeals.21
14 §214(b) of the INA; 8 U.S.C. §1184(b). There are three nonimmigrant visas that might be considered provisional in
that the visaholder may simultaneously seek LPR status. As a result, the law exempts nonimmigrants seeking any one
of these three visas, i.e., H-1 professional workers, L intracompany transfers, and V accompanying family members,
from the requirement that they prove they are not coming to live permanently.
15 Bureau of Consular Affairs, Report of the Visa Office 2012, U.S. Department of State, Table XX, 2013; and Bureau
of Consular Affairs, Report of the Visa Office 2011, U.S. Department of State, Table XX, 2012.
16 For further discussion, see CRS Report R40570, Immigration Policies and Issues on Health-Related Grounds for
Exclusion, by Ruth Ellen Wasem.
17 For further discussion, see CRS Report RL32480, Immigration Consequences of Criminal Activity, by Michael John
Garcia.
18 For further discussion, see CRS Report RL32564, Immigration: Terrorist Grounds for Exclusion and Removal of
Aliens, by Michael John Garcia and Ruth Ellen Wasem.
19 For further discussion, see CRS Report R43220, Public Charge Grounds of Inadmissibility and Deportability: Legal
Overview, by Kate M. Manuel.
20 For further discussion, see CRS Report R43223, The Framework for Foreign Workers’ Labor Protections Under
Federal Law, by Margaret Mikyung Lee and Jon O. Shimabukuro; and CRS Report RL33977, Immigration of Foreign
Workers: Labor Market Tests and Protections, by Ruth Ellen Wasem.
21 For more complete discussion of INA §212(a), see CRS Report R41104, Immigration Visa Issuances and Grounds
for Exclusion: Policy and Trends, by Ruth Ellen Wasem.
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Consular Screening Procedures
Foreign nationals seeking visas must undergo admissibility reviews performed by DOS consular
officers abroad.22 The visa applicant is required to submit his or her photograph and fingerprints,
as well as full name (and any other name used or by which he or she has been known), age,
gender, and the date and place of birth. Depending on the visa category, certain documents must
be certified by the proper government authorities (e.g., birth certificates and marriage licenses).
All prospective LPRs must submit to physical and mental examinations, and prospective
nonimmigrants also may be required to have physical and mental examinations. These reviews
are intended to ensure that aliens are not ineligible for visas or admission under the INA §212(a)
grounds for inadmissibility.
Consular officers use the Consular Consolidated Database (CCD), a biometric and biographic
database, to screen all visa applicants. Over 143 million records of visa applications are now
automated in the CCD, with some records dating back to the mid-1990s. Since February 2001, the
CCD has stored photographs of all visa applicants in electronic form; since 2007, the CCD has
begun storing 10-finger scans.23 The number of visa cases in the CCD surpassed 100 million in
2009, including 75 million photographs.24
In addition to indicating the outcome of any prior visa application of the alien in the CCD and
comments by consular officers, the system links with other databases to flag problems that may
have an impact on the issuance of the visa. These databases linked with the CCD include DHS’s
Automated Biometric Identification System (IDENT) and the Federal Bureau of Investigation
(FBI) Integrated Automated Fingerprint Identification System (IAFIS) results, and supporting
documents. In addition to performing biometric checks of the fingerprints for all visa applicants,
DOS uses facial recognition technology to screen visa applicants against a watchlist of photos of
known and suspected terrorists obtained from the Terrorist Screening Center (TSC), as well as the
entire gallery of visa applicant photos contained in the CCD.
The CCD also links to the DHS’s Traveler Enforcement Compliance System (TECS), a
substantial database of law enforcement and border inspection information that enables CBP
officers at ports of entry to have access to CCD.25 A limited number of consular officers have
been granted access to DHS’Arrival Departure Information System (ADIS).26 ADIS tracks
foreign nationals’ entries into and most exits out of the United States. DOS credits access to ADIS
with its ability to identify previously undetected cases of illegal overstays in the United States.27
22 USCIS adjudicators also conduct admissibility reviews for petitions filed within the United States, and CBP
inspectors do so when aliens seek entry to the United States.
23 Consular officers transmit the fingerprints taken during the visa process to CBP officers at ports of entry, enabling
them to match the fingerprints of persons entering the United States.
24 Margaret P. Grafeld, Department of State Privacy Coordinator, Consular Consolidated Database (CCD) Privacy
Impact Assessment (PIA), U.S. Department of State, March 22, 2010.
25 Consular officers do not have direct access to the TECS database.
26 Unclassified congressional staff briefing by Assistant Secretary of State Janice Jacobs, January 11, 2010.
27 CRS Report RS22446, Nonimmigrant Overstays: Brief Synthesis of the Issue, by Ruth Ellen Wasem.
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Exclusion Trends28
As Figure 1 shows, §212(a) denials for LPR visas have fluctuated over the past 18 years. After
spiking during the FY1998-FY1999 years, they declined during the FY2000-FY2003 period.
Subsequently they increased during the FY2009-FY2012 period, then dropped in FY2013. In
terms of nonimmigrants, §212(a) denials have exhibited a slower, but steadier upward trend
during the period examined.
Figure 1. Aliens Denied Visas Under §212(a) Inadmissibility
FY1994 through FY2013
Source: CRS presentation of initial determination data from Table XX of the annual reports of the U.S.
Department of State, Office of Visa Statistics (multiple years).
Notes: FY2013 data is preliminary. Data are initial determinations of inadmissibility. Some denials may be
overcome with additional evidence.
Public charge exclusions accounted for the spike during the period immediately after passage of
the Illegal Immigration Reform and Immigrant Responsibility Act (IIRIRA) of 1996 (Division C
of P.L. 104-208), as depicted in Figure 2. IIRIRA had strengthened the enforceability of the
inadmissibility provisions aimed at indigent or low-income people.29 Public charge exclusions
dominated inadmissibility for LPRs until the FY2003-FY2005 period.
Since FY2008, prior removals/illegal presence has become the top single ground of
inadmissibility. IIRIRA had ramped up the consequences for foreign nationals attempting to
28 For a more complete analysis of exclusion trends, see CRS Report R41104, Immigration Visa Issuances and
Grounds for Exclusion: Policy and Trends, by Ruth Ellen Wasem.
29 For further discussion, see CRS Report R43220, Public Charge Grounds of Inadmissibility and Deportability: Legal
Overview, by Kate M. Manuel.
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return to the United States if they had prior orders of removal or had been illegally present in the
United States, and the databases monitoring such violations improved over the years. The failure
of some employers hiring foreign workers to meet the labor certification ground consistently
ranked third over the period examined.30
Figure 2. Prospective LPRs Denied Visas by Major §212(a) Inadmissibility Grounds
FY1994 through FY2013
Source: CRS presentation of initial determination data from Table XX of the annual reports of the U.S.
Department of State, Office of Visa Statistics (multiple years).
Notes: FY2013 data is preliminary. Data are initial determinations of inadmissibility. Some denials may be
overcome with additional evidence.
In terms of nonimmigrants, prior removals/illegal presence has also become the top single ground
of inadmissibility; however, the grounds for excluding nonimmigrants have otherwise exhibited a
different pattern than that of immigrant exclusions. Two grounds less commonly cited for
immigrant exclusions—criminal history and INA violations—have been frequent grounds for
denying nonimmigrant visas.
As Figure 3 shows, criminal history has been a leading basis of nonimmigrant exclusion. The
preliminary FY2013 data31 indicate that prior removals/illegal presence comprised 39% of the
30 Bureau of Consular Affairs, Report of the Visa Office, U.S. Department of State, Table XX (multiple years).
31 DOS Office of Visa Statistics states that “Fiscal Year 2013 data is preliminary and is subject to change. Any changes
would not be statistically significant.” http://travel.state.gov/content/visas/english/law-and-policy/statistics/annual-
reports/report-of-the-visa-office-2013.html.
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basis of nonimmigrant exclusions and criminal history made up 26% of the basis of
nonimmigrant exclusions. In contrast, criminal history comprised only 4% of immigrant
exclusions in FY2013 and was too small to depict. Another top basis of excluding nonimmigrants
has been INA violations, i.e., nonimmigrants who sought to procure or had procured either
admission into the United States or a benefit under the INA by fraud or willful misrepresentation
of a material fact.32 This latter ground had been the most common basis for nonimmigrant
exclusion in the late 1990s, as Figure 3 depicts.33
Figure 3. Prospective Nonimmigrants Denied Visas by Major §212(a) Inadmissibility
Grounds
FY1994 through FY2013
Source: CRS presentation of initial determination data from Table XX of the annual reports of the U.S.
Department of State, Office of Visa Statistics (multiple years).
Notes: FY2013 data is preliminary. Data are initial determinations of inadmissibility. Some denials may be
overcome with additional evidence. “INA violations” as depicted here have largely been those of
misrepresentation under INA §212(a)(6).
National Security and Public Safety Reviews
For some years, consular officers have been required to check the background of all aliens in the
“lookout” databases.34 DOS specifically uses the Consular Lookout and Support System
(CLASS) database, which contained over 42.5 million records in 2012. Consular officers use
32 INA §212(a)(6).
33 Bureau of Consular Affairs, Report of the Visa Office, U.S. Department of State, Table XX (multiple years).
34 Lookout databases store information on persons whose entry might pose a threat to the safety or security of the
United States.
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name-searching algorithms to ensure matches between names of visa applicants and any
derogatory information contained in CLASS. DOS reports that about 70% of the records in
CLASS come from other agencies, including DHS, the FBI, and the Drug Enforcement
Administration (DEA). DOS also employs an automated CLASS search algorithm that runs the
names of all visa applicants against the CCD to check for any prior visa applications, refusals, or
issuances.35
DOS has relied on the Security Advisory Opinion (SAO) system, which requires a consular
officer abroad to refer selected visa cases for greater review by intelligence and law enforcement
agencies.36 The current interagency procedures for alerting officials about foreign nationals who
may be suspected terrorists, referred to in State Department nomenclature as Visa Viper, began
after the 1993 World Trade Center bombing and were institutionalized by enactment of the
Enhanced Border Security and Visa Entry Reform Act of 2002. If consular officials receive
information about a foreign national that causes concern, they send a Visa Viper cable (which is a
dedicated and secure communication) to the National Counterterrorism Center (NCTC).
In a similar set of SAO procedures, consular officers send suspect names, identified by law
enforcement and intelligence information, to the FBI for a name check program called Visa
Condor.37 There is also the “Terrorist Exclusion List” (TEL), which lists organizations designated
as terrorist-supporting and includes the names of individuals associated with these
organizations.38
In June 2013, DOS began “Kingfisher Expansion” (KFE) in partnership with the NCTC for
conducting interagency counterterrorism screening of all visa applicants.39 The consular official
submits the visa applicants’ electronic visa applications as a “vetting package” to the NCTC. In
turn NCTC uses an automated process to compare the vetting package with its holdings. A “hit”
in KFE triggers a Washington-based interagency review of the visa application. KFE also
conducts post-issuance reviews of valid visas to check for new information on emerging threats.40
Despite dipping somewhat in FY2013, the number of aliens denied visas under terrorist grounds
of inadmissibility has increased since the 1990s and mid-2000s. As Figure 4 shows, this trend
holds for immigrant and nonimmigrant exclusions.41
35 U.S. Congress, House Committee on Homeland Security, Subcommittee on Border and Maritime Security, From the
9/11 Hijackers to Amine El-Khalifi: Terrorists and the Visa Overstay Problem, testimony of David T. Donahue,
Deputy Assistant Secretary for Visa Services, 112th Cong., 2nd sess., March 6, 2012.
36 U.S. Congress, Senate Committee on Foreign Relations, Subcommittee on International Operations and Terrorism,
The Post 9/11 Visa Reforms and New Technology: Achieving the Necessary Security Improvements in a Global
Environment, hearing, October 23, 2003.
37 U.S. Congress, Senate Committee on Foreign Relations, Subcommittee on International Operations and Terrorism,
The Post 9/11 Visa Reforms and New Technology: Achieving the Necessary Security Improvements in a Global
Environment, hearing, October 23, 2003.
38 For further discussion of terrorist screening, see CRS Report RL32564, Immigration: Terrorist Grounds for
Exclusion and Removal of Aliens, by Michael John Garcia and Ruth Ellen Wasem.
39 KFE also coordinates with DHS (including CBP and U.S. Immigration and Customs Enforcement (ICE), the FBI,
and the FBI’s Terrorist Screening Center.
40 U.S. Congress, House Committee on Oversight and Government Reform, Subcommittee on National Security,
Hearing on Securing the U.S. Border, B1/B2 Visas and Border Crossing Cards, testimony of Edward J. Ramotowski,
Deputy Assistant Secretary for Visa Services, 113th Cong., 1st sess., November 14, 2013.
41 Bureau of Consular Affairs, Report of the Visa Office, U.S. Department of State, Table XX (multiple years).
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Figure 4. Aliens Denied Visas Under Terrorist Grounds of Inadmissibility
FY1994 through FY2013
Source: CRS presentation of initial determination data from Table XX of the annual reports of the U.S.
Department of State, Office of Visa Statistics (multiple years).
Notes: FY2013 data is preliminary. Data are initial determinations of inadmissibility. Some denials may be
overcome with additional evidence. The primary axis scale here is set at 1,400 (rather than 100,000 of the
Figures 1-3) to better illustrate the trends.
Visa Revocation
After a visa has been issued, the consular officer as well as the Secretary of State has the
discretionary authority to revoke a visa at any time.42 A consular officer must revoke a visa if
• the alien is ineligible under the INA §212(a) grounds of inadmissibility to receive
such a visa, or was issued a visa and overstayed the time limits of the visa;
• the alien is not entitled to the nonimmigrant visa classification under INA
§101(a)(15) definitions specified in such visa;
• the visa has been physically removed from the passport in which it was issued; or
• the alien has been issued an immigrant visa.43
This applies, for example, to findings of ineligibility under “misrepresentation,” “terrorist
activity” or “foreign policy.”44 FAM further instructs: “pending receipt of the Department’s
42 §221(i) of the INA; 8 U.S.C. §1201(i); §1201(i); 9 FAM 41.122 N1.
43 9 F.A.M. §41.122 Notes N1.
44 Testimony of Janice L. Jacobs, Deputy Assistant Secretary of State for Visa Services, in U.S. Congress, Senate
(continued...)
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advisory opinion, the consular officer must enter the alien’s name in the CLASS under a quasi-
refusal code, if warranted.”45 According to DOS officials, they sometimes prudentially revoke
visas (i.e., they revoke a visa as a safety precaution).46
When a consular officer suspects that a visa revocation may involve U.S. law enforcement
interests, FAM instructs the consular officer to consult with law enforcement agencies at the
consular post and inform the State officials of the case, to permit consultations with potentially
interested entities before a revocation is made.47 The rationale for this consultation is that there
may be legal or intelligence investigations that would be compromised if the visa were revoked
and that law enforcement and intelligence officials may prefer to monitor the individual to further
investigate their actions and associates.
Visa revocation has been a ground for removal in the INA §237(a)(1)(B) since enactment of P.L.
108-458 in December 2004. This provision (§5304 of P.L. 108-458) permits limited judicial
review of removal if visa revocation is the sole basis of the removal.
On April 27, 2011, the DOS promulgated regulations that broadened the revocation authority.
(a) Grounds for revocation by consular officers. A consular officer, the Secretary, or a
Department official to whom the Secretary has delegated this authority is authorized to
revoke a nonimmigrant visa at any time, in his or her discretion.
(b) Provisional revocation. A consular officer, the Secretary, or any Department official to
whom the Secretary has delegated this authority may provisionally revoke a nonimmigrant
visa while considering information related to whether a visa holder is eligible for the visa.
Provisional revocation shall have the same force and effect as any other visa revocation
under INA 221(i).
(c) Notice of revocation. Unless otherwise instructed by the Department, a consular officer
shall, if practicable, notify the alien to whom the visa was issued that the visa was revoked or
provisionally revoked. Regardless of delivery of such notice, once the revocation has been
entered into the Department’s Consular Lookout and Support System (CLASS), the visa is
no longer to be considered valid for travel to the United States. The date of the revocation
shall be indicated in CLASS and on any notice sent to the alien to whom the visa was issued.
(d) Procedure for physically canceling visas. A nonimmigrant visa that is revoked shall be
canceled by writing or stamping the word ``REVOKED” plainly across the face of the visa,
if the visa is available to the consular officer. The failure or inability to physically cancel the
visa does not affect the validity of the revocation.48
(...continued)
Committee on the Judiciary, Subcommittee on Immigration, Border Security and Citizenship, Visa Issuance,
Information Sharing and Enforcement in a Post-9/11 Environment: Are We Ready Yet? hearing, July 15, 2003.
45 22 C.F.R. §41.122 Notes PN3.
46 Testimony of Janice L. Jacobs, Deputy Assistant Secretary of State for Visa Services, in U.S. Congress, Senate
Committee on the Judiciary, Subcommittee on Immigration, Border Security and Citizenship, Visa Issuance,
Information Sharing and Enforcement in a Post-9/11 Environment: Are We Ready Yet? hearing, July 15, 2003.
47 22 C.F.R. §41.122 Notes PN9.2-1.
48 U.S. Department of State, “Visas: Documentation of Nonimmigrants Under the Immigration and Nationality Act, As
Amended,” 76 Federal Register 23477-23479, April 27, 2011.
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These regulations sought to address a series of concerns that have been raised in recent years
about the visa revocation process, especially relating to the timely transmission of information
among federal agencies.49
DHS Visa Security Program
As discussed more fully in Appendix, §428 of the Homeland Security Act (HSA) gave the
Secretary of DHS the authority to assign DHS employees to diplomatic and consular posts. The
duties of these DHS employees were delineated in HSA §428 as
• provide expert advice and training to consular officers regarding specific security
threats relating to the adjudication of individual visa applications or classes of
applications;
• review any such applications, either on the initiative of DHS or upon request by a
consular officer or other person charged with adjudicating such applications; and
• conduct investigations with respect to consular matters under the jurisdiction of
the Secretary of DHS.
This statutory language established what is currently known as the Visa Security Program (VSP).
The Immigration and Customs Enforcement (ICE) Office of International Affairs (OIA) operates
the VSP in consular posts deemed to be high-risk. As described by DHS, the VSP sends ICE
special agents with expertise in immigration law and counterterrorism to diplomatic posts
overseas to perform visa security activities, which aim to complement the DOS visa screening
process with law enforcement resources not available to consular officers.
The first VSP units were established in Saudi Arabia, as required by HSA §428. In October 2005,
VSP units were set up in: Manila, Philippines; Abu Dhabi and Dubai in the United Arab Emirates;
and Islamabad, Pakistan. By the end of 2007, there were VSP units in: Cairo, Egypt; Caracas,
Venezuela; Montreal, Canada; Hong Kong, China; and Casablanca, Morocco.50 There were 19
VSP units in 13 countries as of November 2013.
One of the major tasks of the VSP agents is to screen visa applicants to determine the applicant’s
risk profile. Unlike consular officers, VSP agents have access to DHS’s Traveler Enforcement
Compliance System (TECS). The ICE agent further vets visa applicants who are possible
matches, performing additional research and investigation of the visa applicant (e.g., in-depth
searches in law enforcement databases and other information systems, examining documents, and
consulting with consular, law enforcement, or other officials).51
VSP agents are supposed to engage in informal discussions with consular officers, as well as
develop formal, targeted training and briefings to inform consular officers and others about
49 For examples of past critiques, see U.S. General Accounting Office, New Policies and Procedures Are Needed to Fill
Gaps in the Visa Revocation Process, GAO 03-798, June 18, 2003; and U.S. General Accounting Office, Border
Security: Additional Actions Needed to Eliminate Weaknesses in the Visa Revocation Process, GAO-04-795, July 13,
2004.
50 Office of Inspector General, U.S. Immigration and Customs Enforcement Visa Security Program, U.S. Department of
Homeland Security, July 2008. (Hereafter OIG, Visa Security Program, July 2008.)
51 OIG, Visa Security Program, July 2008.
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threats to the visa process. They “identify and monitor the threat environment and trends in the
visa applicant pool specific to their post and host country.... Examples of topics covered in these
briefings include fraud trends in specific visa categories and how to identify fraudulent
documents and imposters.”52 Aimed at improving VSP integration in the SAO process, Congress
appropriated $5 million to establish an SAO review unit within VSP headquarters in FY2007.53
Congressional Activity54
Since the beginning of the 113th Congress, a series of hearings have been held that discussed visa
issuances and security policy. These hearings include the following:
• Senate Committee on the Judiciary hearing on the Border Security, Economic
Opportunity, and Immigration Modernization Act, S. 744 (April 22, 2013)
• House Committee on Homeland Security, Subcommittee on Border and Maritime
Security hearing titled “Visa Security and Overstays: How Secure is America?”
(May 13, 2013)
• House Committee on the Judiciary hearing on H.R. 2278, the Strengthen and
Fortify Enforcement Act (June 13, 2013)
• House Committee on Oversight and Government Reform, Subcommittee on
National Security hearing on Securing the U.S. Border, B1/B2 Visas and Border
Crossing Cards (November 14, 2013)
As evident from the hearing titles, the different committees explored various aspects of the issues.
One piece of legislation with provisions aimed at visa security (H.R. 2278) has received action
thus far in the 113th Congress.55 The Senate-passed comprehensive immigration reform
legislation, the Border Security, Economic Opportunity, and Immigration Modernization Act (S.
744) does not include provisions on visa security, but it does include provisions aimed at
enhanced processing of certain visas.56
Competing Concerns
Some have expressed the view that DOS retains too much power and control over visa security.
They maintain the Homeland Security Act of 2002 intended DHS to be the lead department and
that DOS was to merely administer the visa issuances. They warn that consular officers are too
concerned about facilitating tourism and trade to scrutinize visa applicants thoroughly. 57 Some
52 OIG, Visa Security Program, July 2008.
53 House and Senate Committees on Appropriations, “Summary of the Fiscal 2007 Supplemental Funding Legislation,”
press release, April 23, 2007.
54 For legislative tracking of the major immigration bills, see CRS Report R43320, Immigration Legislation and Issues
in the 113th Congress, coordinated by Andorra Bruno.
55 For a legal analysis of this legislation, see CRS Report R43192, Immigration Enforcement: Major Provisions in H.R.
2278, the Strengthen and Fortify Enforcement Act (SAFE Act), by Michael John Garcia and Kate M. Manuel.
56 For a discussion of these provisions, see CRS Report R43097, Comprehensive Immigration Reform in the 113th
Congress: Major Provisions in Senate-Passed S. 744, by Ruth Ellen Wasem, pp. 50-51.
57 Proponents of this view often cite Office of Inspector General, Review of Nonimmigrant Visa Issuance Policy and
(continued...)
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argue that visa issuance is the real “front line” of homeland security against terrorists and that the
principal responsibility should be in DHS, which does not have competing priorities of diplomatic
relations and reciprocity with foreign governments.58
Others have indicated satisfaction with current law, arguing that it strikes the proper balance
between the two departments and reflects the bifurcation envisioned in the act. They maintain that
it plays off the strengths of the two departments and allows for refinement of the implementation
in the future.59 Proponents of DOS playing the lead role in visa issuances assert that only consular
officers in the field have the country-specific knowledge to make decisions about whether an
alien is admissible and that staffing 250 diplomatic and consular posts around the world would
stretch DHS beyond its capacity.60
(...continued)
Procedures, U.S. Department of State, Memorandum Report ISP-I-03-26, December 2002, http://oig.state.gov/
documents/organization/16215.pdf.
58 Former Senator Joseph Lieberman appearing on ABC’s “This Week,” January 3, 2010.
59 U.S. Congress, Senate Committee on the Judiciary, Securing America’s Safety: Improving the Effectiveness of Anti-
Terrorism Tools and Inter-Agency Communication, Statement of Senator Patrick Leahy, 111th Cong., 2nd sess., January
20, 2010.
60 Proponents of this view often cite the conclusions of this report: U.S. Government Accountability Office,
Strengthened Visa Process Would Benefit from Improvements in Staffing and Information Sharing, GAO-05-859,
September, 2005.
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Appendix. Respective Roles of the Departments of
State and Homeland Security
When the 107th Congress weighed the creation of the Department of Homeland Security,
considerable debate surfaced about whether or not any or all visa issuance functions should be
located in the new agency. Enactment of the Homeland Security Act of 2002 (P.L. 107-293)
resolved most of these issues, but concerns over the roles and responsibilities of the two
departments have frequently arisen.
Immigration and Nationality Act
The powers and duties of the Secretary of State are delineated in §104 of the INA. Most
significantly, §104 (a) states: “The Secretary of State shall be charged with the administration and
the enforcement of the provisions of this Act and all other immigration and nationality laws
relating to (1) the powers, duties and functions of diplomatic and consular officers of the United
States, except those powers, duties and functions conferred upon the consular officers relating to
the granting or refusal of visas;.... ”61 The INA specifically gives consular officers the sole
authority to issue visas in §221 of the act.62 Over the years, the courts have held that consular
decisions are not appealable.63 Under proscribed circumstances, the Secretary of State may direct
a consular officer to deny a visa to a particular inadmissible alien.64
Enhanced Border Security and Visa Entry Reform Act of 2002
After the terrorist attacks on September 11, 2001, Congress enacted the Enhanced Border
Security and Visa Entry Reform Act of 2002 (P.L. 107-173), which aimed to improve the visa
issuance process abroad, as well as immigration inspections at the border. It expressly increased
consular officers’ access to electronic information needed for alien screening. Specifically, it
required the development of an interoperable electronic data system to be used to share
information relevant to alien admissibility and removability and the implementation of an
integrated entry-exit data system. It also required that all visas issued by October 2004 have
biometric identifiers.65 In addition to increasing consular officers’ access to electronic information
needed for visa issuances, it expanded the training requirements for consular officers who issue
visas.
61 8 U.S.C. 1104.
62 8 U.S.C. 1201.
63 Some critics of transferring the visa function to DHS warned that visa issuance “adjudication” might become subject
to judicial appeals or other due process considerations if a stateside agency, such as DHS, assumed responsibility. As a
result, §428(f) of the HSA stated: “Nothing in this section shall be construed to create or authorize a private right of
action to challenge a decision of a consular officer or other United States official or employee to grant or deny a visa.”
64 §428(c) of the Homeland Security Act of 2002 (P.L. 107-296)
65 DOS met the 2004 deadline for biometric visas.
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§428 of the Homeland Security Act of 2002
The Homeland Security Act of 2002 (HSA) contained language stating that DHS is responsible
for formulating regulations on visa issuances. In §428, the Secretary of DHS is expressly tasked
as follows:
... shall be vested exclusively with all authorities to issue regulations with respect to,
administer, and enforce the provisions of such Act, and of all other immigration and
nationality laws, relating to the functions of consular officers of the United States in
connection with the granting or refusal of visas, and shall have the authority to refuse visas
in accordance with law and to develop programs of homeland security training for consular
officers (in addition to consular training provided by the Secretary of State), which
authorities shall be exercised through the Secretary of State, except that the Secretary shall
not have authority to alter or reverse the decision of a consular officer to refuse a visa to an
alien.... 66
The HSA also enabled DHS to assign staff to consular posts abroad to advise, review, and
conduct investigations, which is discussed more fully below. It further stated that DOS’s Consular
Affairs continued to be responsible for issuing visas. The HSA required DHS and DOS to reach
an understanding on how the details of this division of responsibilities would be implemented.67
2003 Memorandum of Understanding
On September 28, 2003, then-Secretary of State Colin Powell and then-Secretary of Homeland
Security Thomas Ridge signed the memorandum of understanding (MOU) implementing §428 of
the HSA. The MOU described each department’s responsibilities in the area of visa issuances.
Among its major elements, the MOU stated that DOS may propose and issue visa regulations
subject to DHS consultation and final approval. It further stated that DHS shall assign personnel
to diplomatic posts, but that DOS will determine who, how many, and the scope of their
functions.68
Then-Assistant Secretary of State for Consular Affairs Maura Harty described several key
responsibilities that remain with the DOS.
The Secretary of State will have responsibility over certain visa decisions, including
decisions of a foreign policy nature.... He will also be responsible for establishing visa
validity periods and fees based on reciprocity. In the case of visa validity periods, however,
he will consult with Homeland Security before lengthening them, and Homeland Security
will have authority to determine that certain persons or classes of persons cannot benefit
from the maximum validity period for security reasons. The Secretary of State will also
exercise all the foreign policy-related grounds of visa denial enumerated in Section 428 and
66 §428 (b)(1) of the Homeland Security Act (P.L. 107-296).
67 For a complete account of this debate, see CRS Report R41093, Visa Security Policy: Roles of the Departments of
State and Homeland Security, by Ruth Ellen Wasem.
68 Colin L. Powell and Thomas J. Ridge, Memorandum of Understanding between the Secretaries of State and
Homeland Security Concerning the Implementation of Section 428 of the Homeland Security Act of 2002, September
29, 2003.
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the additional provision, not specifically enumerated, under which we deny visas to persons
who have confiscated the property of American citizens without just compensation.69
She emphasized that the MOU “recognizes that the Secretary of State must have control over
officers in his chain of command.” She further stated that “DHS officers assigned visa duties
abroad may provide input related to the evaluations of consular officers doing visa work, but the
evaluations themselves will be written by State Department consular supervisors,” and that
“direction to consular officers will come from their State Department supervisors, and all officers
assigned abroad, including DHS, come under the authority of the Chief of Mission.”70
In congressional testimony during October 2003, C. Stewart Verdery, Jr., as then-DHS Assistant
Secretary for Border and Transportation Security Policy and Planning, discussed DHS’ role in
visa security. Verdery reported that DHS officers were already in Saudi Arabia reviewing all visa
applications prior to adjudication (as required by §428(i) of P.L. 107-296). He indicated that
officers in Riyadh and Jeddah also provided assistance, expert advice and training to consular
officers on fraudulent documents, fingerprinting techniques and identity fraud. More specifically,
he stated:
As part of the review process, DHS officers at home and abroad have full access to a variety
of law enforcement databases, including the National Crime Information Center (NCIC);
Treasury Enforcement Communication System (TECS); Interagency Border Inspections
System (IBIS); National Security Entry Exit System (NSEERS); Student Exchange and
Visitor Information System (SEVIS); Biometric 2-print fingerprint system (IDENT); and
Advanced Passenger Information System (APIS). They also have access to selected legacy-
INS automated adjudications data and certain commercial databases.71
Visa Security Program Memoranda of Understanding
Additionally, §428 of the HSA gave the Secretary of DHS the authority to assign DHS employees
to diplomatic and consular posts, which became the statutory basis of the Visa Security Program
(VSP). In 2004, DHS and DOS signed a MOU on administrative aspects of assigning personnel
overseas as part of the VSP. Among other things, this MOU described administrative support,
security, facilities, security awareness training, and information systems for VSP personnel.
On January 11, 2011, DHS and DOS signed another MOU which further delineates the roles,
responsibilities, and collaboration of VSP agents, consular officers, and diplomatic security
officers in daily operations of VSP at posts overseas.72 The 2011 MOU discusses general
collaboration between ICE and State for VSP operations; roles and responsibilities of VSP agents
and consular officers and routine interaction between the officers and agents; development of
formal, targeted training and briefings by VSP agents for consular officers and other U.S.
69 U.S. Congress, Senate Committee on the Judiciary, Subcommittee On Immigration, Border Security and Citizenship,
Visa Issuance: Our First Line of Defense for Homeland Security, hearing, September 30, 2003.
70 Ibid.
71 U.S. Congress, Senate Committee on Foreign Relations, Subcommittee on International Operations and Terrorism,
The Post 9/11 Visa Reforms and New Technology: Achieving the Necessary Security Improvements in a Global
Environment, hearing, Oct. 23, 2003.
72 Memorandum of Understanding Among U.S. Immigration and Customs Enforcement of the Department of Homeland
Security and the Bureau of Consular Affairs and Diplomatic Security of the Department of State on Roles,
Responsibilities, and Collaboration at Visa Security Units Abroad, January 11, 2011.
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government officials at post; clarification of the dispute resolution process; and collaboration
between diplomatic security officers and VSP agents on visa and passport fraud investigations.73
Intelligence Reform and Terrorism Prevention Act of 2004
Congress also relied on recommendations made by the National Commission on Terrorist Attacks
Upon the United States (also known as the 9/11 Commission) to revise visa security policies. The
Intelligence Reform and Terrorism Prevention Act of 2004 (P.L. 108-458) mandated
improvements in technology and training to assist consular and immigration officers in detecting
and combating terrorist travel. Among other provisions, it required the Secretary of Homeland
Security, in consultation with the Director of the National Counter Terrorism Center, to establish a
program to oversee DHS’s responsibilities with respect to terrorist travel and required the
Secretary of State to establish a Visa and Passport Security Program within the Bureau of
Diplomatic Security at the Department of State.
The Intelligence Reform and Terrorism Prevention Act added requirements for an in-person
consular interview of most applicants for nonimmigrant visas between the ages of 14 and 79. It
further mandated that an alien applying for a nonimmigrant visa must completely and accurately
respond to any request for information contained in his or her application.
Author Contact Information
Ruth Ellen Wasem
Specialist in Immigration Policy
rwasem@crs.loc.gov, 7-7342
73 For further discussion on the issues leading up to this MOU, see U.S. Government Accountability Office, Border
Security: DHS’s Visa Security Program Needs to Improve Performance Evaluation and Better Address Visa Risk
Worldwide, GAO-11-315, March 31, 2011, http://www.gao.gov/products/GAO-11-315.
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